Vol. 79 Thursday, No. 39 February 27, 2014

Pages 10951–11294

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 79, No. 39

Thursday, February 27, 2014

Agency for International Development PROPOSED RULES NOTICES Energy Conservation Program for Certain Commercial and Meetings: Industrial Equipment: Advisory Committee on Voluntary Foreign Aid, 11074 Test Procedure for Commercial Water Heating Equipment, 10999–11004 Agriculture Department See Animal and Plant Health Inspection Service Environmental Protection Agency See Forest Service RULES Animal and Plant Health Inspection Service Air Quality State Implementation Plans; Approvals and PROPOSED RULES Promulgations: Importation of Beef From a Region in Brazil, 10999 Wisconsin; Transportation Conformity Procedures, 10995–10998 Army Department Revisions to Test Methods and Testing Regulations, 11228– NOTICES 11294 Meetings: PROPOSED RULES Army Education Advisory Committee, 11093 Air Quality State Implementation Plans; Approvals and Promulgations: Centers for Medicare & Medicaid Services Wisconsin; Transportation Conformity Procedures, 11050 NOTICES NOTICES Hearings: Agency Information Collection Activities; Proposals, Compliance of Florida State Plan Provisions Concerning Submissions, and Approvals: Payment for Outpatient Hospital Services, etc., Regulation of Fuels and Fuel Additives, etc.; Petition for 11110–11112 International Aggregate Compliance Approach, 11101–11102 Commerce Department Draft Guidelines: See International Trade Administration Product Environmental Performance Standards and PROPOSED RULES Ecolabels for Voluntary Use in Federal Procurement, Public Information, Freedom of Information Act and 11102 Privacy Act Regulations, 11025–11037 Pesticide Products: Registration Applications to Register New Uses, 11102– Consumer Product Safety Commission 11104 NOTICES Settlements: Meetings: Yosemite Slough Superfund Site, San Francisco, CA; Potential Ways to Reduce Third Party Testing Costs CERCLA, 11104 through Determinations Consistent with Assuring Compliance, 11088–11091 Executive Office of the President Defense Department See Trade Representative, Office of United States See Army Department PROPOSED RULES Privacy Act; Implementation, 11048–11050 Export-Import Bank NOTICES NOTICES Privacy Act; System of Records, 11091–11093 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 11104 Drug Enforcement Administration RULES Schedules of Controlled Substances: Federal Aviation Administration Placement of Alfaxalone into Schedule IV, 10985–10989 RULES PROPOSED RULES Airworthiness Directives: Schedules of Controlled Substances: Saab AB, Saab Aerosystems Airplanes, 10959–10962 Rescheduling of Hydrocodone Combination Products PROPOSED RULES from Schedule III to Schedule II, 11037–11045 Airworthiness Directives: Airbus Airplanes, 11016–11022 Education Department Bombardier, Inc. Airplanes, 11022–11025 NOTICES Embraer S.A. Airplanes, 11013–11016 Agency Information Collection Activities; Proposals, Changes to Production Certificates and Approvals, 11004– Submissions, and Approvals: 11013 Federal Direct Consolidation Loan Program Application NOTICES Documents, 11093–11094 Consensus Standards, Light-Sport Aircraft, 11175–11177 Meetings: Energy Department Government/Industry Aeronautical Charting Forum, See Federal Energy Regulatory Commission 11177

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Federal Communications Commission NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Petition for Reconsideration of Action in Rulemaking Submissions, and Approvals: Proceeding, 11052–11053 Evaluation of the General Market Youth Tobacco NOTICES Prevention Campaign, 11112 Agency Information Collection Activities; Proposals, Prescription Drug Advertisements, 11112–11114 Submissions, and Approvals, 11105–11107 Foreign Assets Control Office Federal Energy Regulatory Commission NOTICES NOTICES Iran General Licenses E and F, 11180–11181 Applications: Antrim Treatment Trust, 11094–11095 Forest Service Combined Filings, 11096 NOTICES Exempt Wholesale Generator or Foreign Utility Company Land Management Plans: Status: Carson National Forest; Ecological/Social/Economic Lakeland Solar Energy LLC, et al., 11096–11097 Sustainability, Conditions, and Trends Assessment Filings: Report, 11074–11075 Southern Cross Transmission, LLC, and Pattern Power Meetings: Marketing, LLC, 11097 Prince of Wales Island Resource Advisory Committee, Meetings: 11075 Third-Party Provision of Reactive Supply and Voltage Control and Regulation and Frequency Response Health and Human Services Department Services, 11097–11100 See Centers for Medicare & Medicaid Services Refund Effective Dates: See Food and Drug Administration Midcontinent Independent System Operator, Inc., 11100 See Substance Abuse and Mental Health Services Requests under Blanket Authorizations: Administration Columbia Gas Transmission, LLC, 11100–11101 Housing and Urban Development Department Federal Highway Administration PROPOSED RULES Environmental Compliance Recordkeeping Requirements, NOTICES 11045–11048 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 11177–11178 Agency Information Collection Activities; Proposals, Submissions, and Approvals Federal Mine Safety and Health Review Commission Federal Housing Administration Healthcare Facility NOTICES Documents Eligible for Electronic Submission, Meetings; Sunshine Act, 11107–11108 11114–11121

Federal Reserve System Indian Affairs Bureau NOTICES NOTICES Formations of, Acquisitions by, and Mergers of Bank Land Acquisitions: Holding Companies, 11108 Mechoopda Indian Tribe of Chico Rancheria of California; Correction, 11122 Federal Trade Commission NOTICES Interior Department Agency Information Collection Activities; Proposals, See Fish and Wildlife Service Submissions, and Approvals, 11108–11110 See Indian Affairs Bureau See National Indian Gaming Commission Fish and Wildlife Service See National Park Service PROPOSED RULES See Ocean Energy Management Bureau Endangered and Threatened Wildlife and Plants: Oenothera avita ssp. eurekensis and Swallenia International Trade Administration alexandrae; Removal, 11053–11073 NOTICES NOTICES Antidumping Duty Administrative Reviews; Results, Agency Information Collection Activities; Proposals, Extensions, Amendments, etc.: Submissions, and Approvals: Laminated Woven Sacks from the People’s Republic of Federal Fish and Wildlife Permit Applications and China, 11075–11077 Reports; Migratory Birds and Eagles, 11121–11122 Antidumping Duty Investigations; Results, Extensions, Amendments, etc.: Food and Drug Administration Carbon and Certain Alloy Steel Wire Rod from the RULES People’s Republic of China, 11077–11082 New Animal Drugs: Grain-Oriented Electrical Steel from the People’s Bambermycins; Clopidol; Ivermectin; et al.; Change of Republic of China, the Czech Republic, Germany, et Sponsor; Change of Sponsor Address, 10963–10965 al., 11082 Change of Sponsor, 10965–10974 Antidumping Duty New Shipper Reviews; Results, Zoetis Inc., et al.; Withdrawal of Approval; Combination Extensions, Amendments, etc.: Drug Medicated Feeds Containing an Arsenical Drug, Wooden Bedroom Furniture from the People’s Republic 10974–10985 of China, 11082–11083

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Xanthan Gum from the People’s Republic of China, National Park Service 11083–11085 NOTICES Countervailing Duty Investigations; Results, Extensions, Agency Information Collection Activities; Proposals, Amendments, etc.: Submissions, and Approvals: Carbon and Certain Alloy Steel Wire Rod from the National Park Service Leasing Program, 11123–11124 People’s Republic of China, 11085–11088 National Register of Historic Places: Pending Nominations and Related Actions, 11124–11125 International Trade Commission NOTICES National Science Foundation Investigations; Terminations, Modifications and Rulings, NOTICES etc.: Antarctic Conservation Act Permits, 11143 Steel Wire Garment Hangers from China, 11126 Welded Stainless Steel Pressure Pipe from Malaysia, Nuclear Regulatory Commission Thailand, and Vietnam, 11126–11127 NOTICES Facility Operating and Combined Licenses: Justice Department Applications and Amendments Involving Proposed No See Drug Enforcement Administration Significant Hazards Considerations, etc., 11143– RULES 11151 Members of the News Media: Policy Regarding Obtaining Information From, or Records Ocean Energy Management Bureau of and Questioning, Arresting, or Charging, 10989– NOTICES 10994 Oil and Gas Lease Sales: Central Gulf of Mexico Planning Area Outer Continental Labor Department Shelf Sale 231; Correction, 11125–11126 See Mine Safety and Health Administration Office of United States Trade Representative Mine Safety and Health Administration See Trade Representative, Office of United States NOTICES Agency Information Collection Activities; Proposals, Postal Service Submissions, and Approvals: RULES Escape and Evacuation Plans (Pertains to Underground Requirements for Authority to Manufacture and Distribute Metal and Nonmetal Mines), 11129–11130 Postage Evidencing Systems, 10994–10995 Hoist Operators’ Physical Fitness, 11130–11131 Securities and Exchange Commission Mine Accident, Injury, and Illness Report and Quarterly Mine Employment, 11133–11135 NOTICES Joint Industry Plans: Records of Tests and Examinations of Mine Personnel BATS Exchange, Inc., BATS–Y Exchange, Inc., BOX Hoisting Equipment, 11127–11128 Options Exchange, LLC, et al., 11152–11160 Respirator Program Records, 11128–11129 Meetings; Sunshine Act, 11161 Rock Burst Control Plan (Pertains to Underground Metal/ Self-Regulatory Organizations; Proposed Rule Changes: Nonmetal Mines), 11131–11132 Municipal Fund Securities, 11161–11169 Training Plans and Records of Training, for Underground NASDAQ Stock Market, LLC, 11169–11173 Miners and Miners Working at Surface Mines and Surface Areas of Underground Mines, 11132–11133 State Department Petitions for Modifications; Affirmative Decisions, 11135– NOTICES 11136 Culturally Significant Objects Imported for Exhibition: Petitions: Lygia Clark; Correction, 11173–11174 Mandatory Safety Standards; Modifications, 11136–11142 Meetings: Advisory Committee on International Postal and Delivery Mine Safety and Health Federal Review Commission Services, 11174 See Federal Mine Safety and Health Review Commission Substance Abuse and Mental Health Services National Archives and Records Administration Administration NOTICES Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 11142–11143 Meetings: Center for Substance Abuse Prevention Drug Testing National Capital Planning Commission Advisory Board, 11114 RULES Freedom of Information Act Regulations, 10951–10959 Trade Representative, Office of United States NOTICES National Credit Union Administration World Trade Organization Dispute Settlement Proceedings: PROPOSED RULES U.S. Anti-Dumping and Countervailing Measures on Prompt Corrective Action; Risk-Based Capital, 11184–11226 Large Residential Washers from Korea, 11174–11175

National Indian Gaming Commission Transportation Department NOTICES See Federal Aviation Administration Preliminary Fee Rate and Fingerprint Fees, 11122–11123 See Federal Highway Administration

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PROPOSED RULES Part III Review of Existing Regulations, 11051–11052 Environmental Protection Agency, 11228–11294

Treasury Department See Foreign Assets Control Office NOTICES Reader Aids Agency Information Collection Activities; Proposals, Consult the Reader Aids section at the end of this page for Submissions, and Approvals, 11178–11180 phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Separate Parts In This Issue LISTSERV electronic mailing list, go to http:// listserv.access.gpo.gov and select Online mailing list Part II archives, FEDREGTOC-L, Join or leave the list (or change National Credit Union Administration, 11184–11226 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.

1 CFR Proposed Rules: 456...... 10951 52...... 11050 9 CFR 46 CFR Proposed Rules: Proposed Rules: 94...... 10999 Ch. II ...... 11051 10 CFR 47 CFR Proposed Rules: Proposed Rules: 431...... 10999 73...... 11052 12 CFR 48 CFR Proposed Rules: Proposed Rules: 700...... 11184 Ch. XII...... 11051 701...... 11184 702...... 11184 49 CFR 703...... 11184 Proposed Rules: 713...... 11184 Ch. I ...... 11051 723...... 11184 Ch. II ...... 11051 747...... 11184 Ch. III ...... 11051 14 CFR Ch. V...... 11051 39...... 10959 Ch. VI...... 11051 Ch. VII...... 11051 Proposed Rules: Ch. VIII...... 11051 Ch. I ...... 11051 Ch. X...... 11051 Ch. II ...... 11051 Ch. XI...... 11051 Ch. III ...... 11051 21...... 11004 50 CFR 39 (4 documents) ...... 11013, Proposed Rules: 11016, 11019, 11022 17...... 11053 45...... 11004 15 CFR Proposed Rules: 4...... 11025 21 CFR 510...... 10963 520...... 10963 522...... 10963 524...... 10965 526 (2 documents) ...... 10963, 10965 529 (2 documents) ...... 10963, 10965 556 (2 documents) ...... 10974, 10976 558 (3 documents) ...... 10963, 10974, 10976 1308...... 10985 Proposed Rules: 1308...... 11037 23 CFR Proposed Rules: Ch. I ...... 11051 Ch. II ...... 11051 Ch. III ...... 11051 24 CFR Proposed Rules: 50...... 11045 58...... 11045 28 CFR 50...... 10989 59...... 10989 32 CFR Proposed Rules: 311...... 11048 39 CFR 501...... 10994 40 CFR 51...... 11228 52...... 10995 60...... 11228 61...... 11228 63...... 11228

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Rules and Regulations Federal Register Vol. 79, No. 39

Thursday, February 27, 2014

This section of the FEDERAL REGISTER section and the defined terms are then operating a central processing unit as contains regulatory documents having general capitalized throughout the document. part of Search fees (See§ 456.14(a)(iii)); applicability and legal effect, most of which These structural changes were done to and include an express statement that are keyed to and codified in the Code of make the rule more coherent and user NCPC shall release any portion of a Federal Regulations, which is published under friendly. The new rule also includes six withheld Record that reasonably can be 50 titles pursuant to 44 U.S.C. 1510. new sections—Definitions (§ 456.3), segregated from the exempt portion of The Code of Federal Regulations is sold by Multi-track Processing (§ 456.8), the record. (See, § 456.7(b)). the Superintendent of Documents. Prices of Expedited Processing (§ 456.9), The subcomponent of a federal agency new books are listed in the first FEDERAL Consultations and Referrals (§ 456.10), offered the following recommendations: REGISTER issue of each week. Classified and Controlled Unclassified (1) Add additional language clarifying Information (§ 456.11), Confidential the intersection between FOIA and the Commercial Information (§ 456.12), and Privacy Act; (2) add three new defined NATIONAL CAPITAL PLANNING FOIA Records Management § 456.16)— terms as follows: FOIA Public Liaison, COMMISSION to address issues that have developed Requestor Category, and Fee Waiver; (3) and/or been refined since the adoption use statutory language for the definition 1 CFR Part 456 of NCPC’s current rules. The authority of Representative of the News Media Freedom of Information Act for the subject matter of the new and consider incorporating the term Regulations sections is FOIA case law, other federal Freelance Journalist into the definition; statutes, and Executive Orders. With the (4) clarify that all Records subject to a AGENCY: National Capital Planning addition of the new sections in the rule, FOIA Request must be reviewed Commission. the NCPC’s FOIA regulations provide a regardless of what Requester Category ACTION: Final rule. complete and current compendium of the Requester falls into by removing the the rule governing the agency’s FOIA phrase Commercial Use Request from SUMMARY: The National Capital Planning activity. Requesters no longer need to the definition of Review; (5) eliminate Commission (NCPC or Commission) consult multiple sources when from the definition of Workday days revises the current rule the NCPC preparing a FOIA Request for when the federal government is closed follows for processing requests for submission to the NCPC. for any reason because the FOIA statute information under the Freedom of On August 19, 2013, the NCPC only excludes Saturdays, Sundays and Information Act (FOIA). The revisions published a Notice of Proposed legal holidays, and DOJ directs federal reorganize the rule to focus each section Rulemaking in the Federal Register (78 agencies to count days for reporting on a discrete topic. The revisions also FR 50351) and requested comments purposes when federal agencies are incorporate new information in during a 60-day period ending October closed due to weather conditions, response to changes to the FOIA since 18, 2013. The NCPC considered all furloughed employees, or other NCPC’s adoption of its current FOIA comments received in drafting the final circumstances; (6) clarify the language rule in 1982. Finally, the revisions of § 456.4 (General Policy) to indicate decrease the cost charged for hard rule. NCPC has administrative discretion to copies and increase the threshold dollar B. Discussion and Response to release documents without any charge amount that must be reached before the Comments or at a reduced rate, or to waive the NCPC charges members of the public a Two Parties responded to the Notice agency’s FOIA request requirements in processing fee for information. of Proposed Rulemaking—a private the interest of public disclosure of DATES: Effective March 31, 2014. individual and a subcomponent of a information eligible for disclosure under FOR FURTHER INFORMATION CONTACT: federal agency. Both parties offered the statute; (7) add a section indicating Anne R. Schuyler, (202) 482–7223 or specific recommendations they felt the that the content of denial letters will [email protected]. NCPC should incorporate into the final include a brief description of the SUPPLEMENTARY INFORMATION: rule. information being withheld and the I. Description of Changes and Response The private individual offered three exemption that provides for the to Comments recommendations as follows: (1) Reduce deletion, provided this can be duplication fees to reflect the decline in accomplished without revealing the A. Summary of Changes duplication costs over the years; (2) deleted information or compromising The two primary changes to the eliminate reference to central processing the interest protected by the exemption; NCPS’s current FOIA rule are a time as a component of fees as this is (8) include, in addition to the name of structural reorganization and the an outdated, technological term; and (3) the agency to which a request has been addition of five sections addressing new include an express reference to a referred, a description of the part of the subject matter. The structural commitment to release portions of request referred and the point of contact reorganization breaks up larger sections documents capable of segregation when at the receiving agency; (9) advise of the current rule which address part of the document is exempt from requesters that the Office of Government multiple, related topics into individual, release. In response, the final rule Information Services (OGIS) provides discrete sections addressing one establishes a 10 cents duplication fee for mediation services to resolve disputes individual topic per section. A second single and double sided copies contrary and include OGIS contact information; structural reorganization creates a to the proposed 15 cents per page and and (10) include information about the Definition section (§ 456.3) 30 cents for double sided pages (See, preservation of FOIA records and consolidating all defined terms into one § 456.14(a)(2)); eliminates the cost of records management in the rules.

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With one exception, the NCPC agreed endeavors to adhere to the provisions of constitute a major federal action to all recommended changes and the Executive Order. Accordingly, the significantly affecting the quality of the incorporated them into the final rule. NCPC, in consultation with OIRA, has human environment. The NCPC’s Thus, in corresponding order to the determined the rule is not a major rule adoption of the rule will have minimal above recommendations, the NCPC: (1) for purposes of Executive Order 12866. or no effect on the environment; impose Expanded the discussion of the Further, the NCPC developed the rule in no significant change to existing distinction between a FOIA Request and a manner consistent with the environmental conditions; and will a request made under the Privacy Act requirements of Executive Order 13563. have no cumulative environmental (See, § 456.1); (2) added new definitions impacts. 2. Regulatory Flexibility Act for the terms FOIA Public Liaison, Fee 9. Clarity of the Regulation Waiver, Representative of the News As required by the Regulatory Media, and Requestor Category (See, Flexibility Act (5 U.S.C. 601 et seq.), the Executive Order 12866, Executive § 456.3(l), (k), (t) and (v)); (3) included NCPC certifies that the rule will not Order 12988, and the Presidential the statutory definition of have a significant economic effect on a Memorandum of June 1, 1998 requires Representative of the News Media but substantial number of small entities. the NCPC to write all rules in plain language. The NCPC maintains the rule declined to reference a Freelance 3. Small Business Regulatory meets this requirement, and there were Journalist in the definition of Enforcement Fairness Act Representative of the News Media since no comments offered challenging this the definition of a Freelance Journalist This is not a major rule under 5 U.S.C. assertion. 804(2), the Small Business Regulatory states them to be part of this group (See, List of Subjects in 1 CFR Part 456 §§ 456.3(t) and (n)); (4) deleted the term Enforcement Fairness Act. It does not Commercial Use Request from the have an annual effect on the economy Freedom of Information. definition of Review to render it clear of $100 million or more; will not cause Dated: February 21, 2014. a major increase in costs for individuals, all FOIA Requests are subject to Review Anne R. Schuyler, various levels of governments or various (See, § 456.3(w)); (5) removed the General Counsel. reference to days when the federal regions; and does not have a significant government is closed for any reason adverse effect on competition, For the reasons stated in the from the definition of a Workday (See, employment, investment, productivity, preamble, the National Capital Planning § 456(3)(aa)); (6) acknowledged NCPC’s innovation or the competitiveness of Commission revises 1 CFR Part 456 to administrative discretion to waive fees U.S. enterprises with foreign read as follows: and request requirements (See, enterprises. PART 456—NATIONAL CAPITAL § 456.4(b)); (7) included a new section 4. Unfunded Mandates Reform Act (2 PLANNING COMMISSION FREEDOM addressing the additional information to U.S.C. 1531 et seq.) OF INFORMATION ACT be contained in denial letters (See, A statement required by the § 456.7(b)); (8) added additional content Sec. requirements for referral letters (See, Unfunded Mandates Reform Act is not 456.1 General information. § 456.10(b)); (9) added information required. The rule neither imposes an 456.2 Organization. regarding OGIS’s services and contact unfunded mandate of more than $100 456.3 Definitions. information (See, § 456.13(c)); and (10) million per year nor imposes a 456.4 General policy. added a new section addressing FOIA significant or unique effect on state, 456.5 Public reading rooms and information routinely available. Records Management (See, § 456.16). local or tribal governments or the private sector. 456.6 FOIA request requirements. Finally, in response to an internal 456.7 FOIA response requirements. agency peer review, the requirements 5. Federalism (Executive Order 13132) 456.8 Multi-track processing. for a Fee Waiver were removed from the In accordance with Executive Order 456.9 Expedited processing. section on fees and relegated to a 456.10 Consultations and referrals. separate section. At the same time the 13132, the rule does not have sufficient 456.11 Classified and controlled previous language for a Fee Waiver Federalism implications to warrant the unclassified information. contained in the Notice of Proposed preparation of a Federalism Assessment. 456.12 Confidential commercial Rulemaking was simplified to comply The rule does not substantially and information. with the plain English mandate. directly affect the relationship between 456.13 Appeals. the federal and state governments. 456.14 Fees. II. Compliance With Laws and 456.15 Fee waiver requirements. Executive Orders 6. Civil Justice Reform (Executive Order 456.16 Preservation of FOIA records. 12988) 1. Executive Order 12866 (Regulatory Authority: 40 U.S.C. 8701 et seq., as The General Counsel of the NCPC has amended and 5 U.S.C. 552, as amended. Planning and Review) and Executive determined that the rule does not Order 13563 (Improving Regulation and unduly burden the judicial system and § 456.1 General information. Regulatory Review) meets the requirements of Executive This part contains the rules the By Memorandum dated October 12, Order 12988 §§ 3(a) and 3(b)(2). National Capital Planning Commission 1993 from Sally Katzen, Administrator, (NCPC or Commission) shall follow in Office of Information and Regulatory 7. Paperwork Reduction Act processing third party Requests for Affairs (OIRA) to Heads of Executive The rule does not contain information Records concerning the activities of the Departments and Agencies and collection requirements, and it does not NCPC under the Freedom of Information Independent Agencies, the Office of require a submission to the OMB under Act (FOIA), 5 U.S.C. 552, as amended. Management and Budget (OMB) the Paperwork Reduction Act. Requests made by a U.S. citizen or an rendered the NCPC exempt from the individual lawfully admitted for requirements of Executive Order 12866 8. National Environmental Policy Act permanent residence to access his or her (See, Appendix A of cited The rule is of an administrative own records under the Privacy Act, 5 Memorandum). Nonetheless, the NCPC nature, and its adoption does not U.S.C. 522a are processed under this

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part and in accordance with part 455 of (5) The Chairman of the Senate information that does not meet the Title 1 of the Code of Federal Committee of Homeland Security and standards for National Security Regulations (CFR) to provide the Governmental Affairs; and Classification under Executive Order greatest degree of access while (6) The Chairman of the House 13536, as amended, but is pertinent to safeguarding an individual’s personal Committee on Oversight and the national interests of the United privacy. Information routinely provided Government Reform or their designated States or to the important interests of to the public as part of regular NCPC alternates. entities outside the federal government, activity shall be provided to the public (d) A professional staff, headed by an and under law or policy requires without regard to this part. Executive Director, assists the protection from unauthorized Commission and is organized as disclosure, special handling safeguards, § 456.2 Organization. described on the NCPC Web site or prescribed limits on exchange or (a) The NCPC serves as the planning (www.ncpc.gov). dissemination. agency for the federal government in the (f) Commercial Use Request means a National Capital Region (NCR). The § 456.3 Definitions. FOIA Request from or on behalf of one NCR includes the District of Columbia; For purposes of this part, the who seeks information for a use or Montgomery and Prince George’s following definitions shall apply: purpose that furthers the commercial, Counties in Maryland; Arlington, (a) Act and FOIA mean the Freedom trade, or profit interests of the Requester Fairfax, Loudon, and Prince William of Information Act, 5 U.S.C. 552, as or the person on whose behalf the Counties in Virginia; and all cities in amended. Request is made. Maryland and Virginia in the (b) Adverse Determination or (g) Direct Costs means those aforementioned counties. Determination shall include a expenditures that the NCPC incurs in (b) Pursuant to the Planning Act, 40 determination to withhold, in whole or searching for, duplicating, and U.S.C. 8701 et seq., the NCPC’s primary in part, Records requested in a FOIA reviewing documents to respond to a mission includes: Request; the failure to respond to all FOIA Request. Direct Costs include, for (1) Preparation of the aspects of a Request; the determination example, the salary of the employee ‘‘Comprehensive Plan for the National to deny a request for a Fee Waiver; or performing the work (the basic rate of Capital: Federal Elements’’ the determination to deny a request for pay for the employee plus 16 percent of (Comprehensive Plan). The expedited processing. The term shall the rate to cover benefits) and the cost Comprehensive Plan sets forth the also encompass a challenge to NCPC’s of operating duplicating machinery. principles, goals and planning policies determination that Records have not Direct Costs do not include overhead that guide federal government growth been described adequately, that there expenses such as costs of space, and and development of the NCR, and it are no responsive Records, or that an heating or lighting the facility in which serves as the foundation for all other adequate Search has been conducted. the Records are stored. plans prepared by the NCPC. (c) Agency Record or Record means (h) Duplication means the process of (2) Review of Federal and District of any documentary material which is making a copy of a document necessary Columbia Agency Plans and Projects. either created or obtained by a federal to respond to a FOIA Request in a form The Commission reviews, and takes agency (Agency) in the transaction of that is reasonably usable by a Requester. appropriate action on, federal and Agency business and under Agency Copies can take the form of, among District government agency plans and control. Agency Records may include others, paper copy, audio-visual projects to ensure compliance with, without limitation books; papers; maps; materials, or machine readable among others, the Comprehensive Plan, charts; plats; plans; architectural documents (i.e., computer disks or principals of good planning and urban drawings; photographs and microfilm; electronic data storage devices). design, and federal environmental and machine readable materials such as (i) Educational Institution means a historic preservation policies mandated magnetic tape, computer disks and preschool, a public or private by the National Environmental Policy electronic data storage devices; elementary or secondary school, an Act (NEPA) and the National Historic electronic records including email institution of undergraduate higher Preservation Act (NHPA). messages; and audiovisual material such education, an institution of graduate (3) Preparation of the ‘‘Federal Capital as still pictures, sound, and video higher education, an institution of Improvement Program for the National recordings. This definition generally professional education, and an Capital Region’’ (FCIP). The FCIP is an does not cover records of Agency staff institution of vocational education, annual, six year program of prioritized that are created and maintained which operates a program or programs federal government capital projects primarily for a staff member’s of scholarly research. To be classified in prepared by the NCPC for the Office of convenience, exempt from Agency this category, a Requester must show Management and Budget (OMB). creation or retention requirements, and that the Request is authorized by and is (c) The Commission is comprised of withheld from distribution to other made under the auspices of a qualifying five citizen members, three of whom are Agency employees for their official use. institution and that the records are not appointed by the President of the (d) Confidential Commercial sought for a commercial use but are United States without Senate approval, Information means commercial or sought to further scholarly research. including the Chairman, and two of financial information obtained by the (j) Expedited Processing means giving whom are appointed by the Mayor of NCPC from a Submitter that may be a FOIA Request priority because a the District of Columbia. Ex-officio protected from disclosure under Requester has shown a compelling need members of the Commission include: Exemption 4 of the FOIA. Exemption 4 for the Records. (1) The Secretary of Defense; of the FOIA protects trade secrets and (k) Fee Waiver means a waiver in (2) The Administrator of the General commercial or financial information whole or in part of fees if a Requester Services Administration; obtained from a person which can demonstrate that certain statutory (3) The Mayor of the District of information is privileged or requirements are satisfied including that Columbia; confidential. the information is in the public interest (4) The Chairman of the Council of (e) Controlled Unclassified and is not requested for commercial the District of Columbia; Information means unclassified purposes.

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(l) FOIA Public Liaison means an for inspection and copying without establishments that are separate from NCPC official who is responsible for requiring the filing of a FOIA Request. the Commission’s offices; assisting in reducing delays, increasing (t) Representative of the News Media (2) The need to Search for, collect and transparency and understanding the means any person or entity that gathers appropriately examine and Review a status of Requests, and assisting in the information of potential interest to a voluminous amount of separate and resolution of disputes. segment of the population, uses his/her/ distinct Agency Records which are (m) FOIA Request or Request means a its editorial skills to turn raw material demanded in a single Request; or written Request made by an entity or into a distinct work, and distributes that (3) The need for consultation with member of the public for an Agency work to an audience. News media another Agency having a substantial Record submitted via the U.S. Postal entities include television or radio interest in the determination of the Service mail or other delivery means to stations broadcasting to the public at FOIA Request. include without limitation electronic- large; publishers of periodicals that (aa) Workday means a regular Federal mail (email) or facsimile. qualify as disseminators of news and workday. It does not include Saturdays, (n) Freelance Journalist means a make their products available for Sundays, and legal public holidays. Representative of the News Media who purchase or subscription by the general is able to demonstrate a solid basis for public; and alternative media to include § 456.4 General policy. expecting publication through a news electronic dissemination through (a) It is the NCPC’s general policy to organization, even though not actually telecommunication (internet) services. facilitate the broadest possible employed by that news organization. A To be in this category, a Requester must availability and dissemination of publication contract or past evidence of not be seeking the Requested Records information to the public through use of a specific freelance assignment from a for a commercial use. the NCPC’s Web site, www.ncpc.gov, news organization may indicate a solid (u) Requester means an entity or and physical distribution of materials basis for expecting publication. member of the public submitting a FOIA not available electronically. The NCPC (o) Frequently Requested Documents Request. staff shall be available to assist the means documents that have been (v) Requester Category means one of public in obtaining information formally Requested at least three times under the the five categories NCPC places by using the procedures herein or FOIA. It also includes documents the Requesters in for the purpose of informally in a manner not inconsistent NCPC anticipates would likely be the determining whether the Requester will with the rule set forth in this part. In subject of multiple Requests. be charged for Search, Review and addition, to the extent permitted by (p) Multi-track Processing means Duplication, and includes Commercial other laws, the NCPC will make placing simple Requests requiring Use Requests, Educational Institutions, available Agency Records of interest to relatively minimal work and/or review Noncommercial Scientific Institutions, the public that are appropriate for in one processing track, more complex Representatives of the News Media, and disclosure. Requests in one or more other tracks, all other Requesters. (b) The NCPC possesses the and expedited Requests in a separate (w) Review means the examination of administrative discretion in the context track. Requests in each track are Records to determine whether any of individual Requests to release processed on a first-in/first-out basis. portion of the located Record is eligible documents for no or reduced fees or to (q) Noncommercial Scientific to be withheld. It also includes waive any of the NCPC’s FOIA Request Institution means an institution that is processing any Records for disclosure, requirements in the interest of public not operated for commerce, trade or i.e., doing all that is necessary to excise disclosure of information eligible for profit, but is operated solely for the the record and otherwise prepare the disclosure under the Act. purpose of conducting scientific Record for release. Review does not research the results of which are not include time spent resolving general § 456.5 Public reading rooms and intended to promote any particular legal or policy issues regarding the information routinely available. product or industry. To be in this application of exemptions. (a) The NCPC shall maintain an category, a Requester must show that (x) Search means the process of electronic library at www.ncpc.gov that the Request is authorized by and is looking for material, by manual or makes Reading Room Materials capable made under the auspices of a qualifying electronic means that is responsive to a of production in electronic form institution and that the Records are not FOIA Request. The term also includes available for public inspection and sought for commercial use but are page-by-page or line-by-line downloading. The NCPC shall also sought to further scientific research. identification of material within maintain an actual public reading room (r) Privacy Act Request means a documents. containing Reading Room Materials written (paper copy with an original (y) Submitter means any person or incapable of production in electronic signature) request made by an entity outside the federal government form at NCPC’s offices. The actual individual for information about from whom the NCPC directly or reading room shall be available for use himself/herself that is contained in a indirectly obtains commercial or on Workdays during the hours of 9:00 Privacy Act system of records. The financial information. The term a.m. to 4:00 p.m. Requests for Privacy Act applies only to U.S. citizens includes, among others, corporations, appointments to review Reading Room and aliens lawfully admitted for banks, state and local governments, and Materials in the actual public reading permanent residence such that only agencies of foreign governments who room should be directed to the NCPC’s individuals satisfying these criteria may provide information to the NCPC. Information Resources Specialist make Privacy Act Requests. (z) Unusual Circumstances means, for identified on the NCPC Web site (s) Reading Room Materials means purposes of § 456.7(c), and only to the (www.ncpc.gov). Records, paper or electronic, that are extent reasonably necessary to the (b) The following types of Records required to be made available to the proper processing of a particular shall be available routinely (subject to public under 5.U.S.C. 552(a)(2) as well Request: the fee schedule set forth in § 456.14) as other Records that the NCPC, at its (1) The need to Search for and collect without resort to formal FOIA Request discretion, makes available to the public the Requested Agency Records from procedures unless such Records fall

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within one of the exemptions listed at is seeking a Fee Waiver or placement in of more than 10 Working Days unless 5 U.S.C. 552(b) of the Act: a certain Requester Category; the Freedom of Information Act Officer (1) Commission agendas; (4) State the desired form or format of affords the Requester an opportunity to (2) Plans and supporting disclosure of Agency Records with modify his/her Request or arranges an documentation submitted by applicants which the NCPC shall endeavor to alternative timeframe with the to the Commission to include comply unless compliance would Requester for completion of the NCPC’s environmental and historic preservation damage or destroy an original Agency processing. reports prepared for a plan or project; Record or reproduction is costly and/or (3) Executive Director’s requires the acquisition of new § 456.8 Multi-track processing. Recommendations; equipment; and The NCPC may use multiple tracks for (4) Commission Memoranda of (5) Provide a phone number or email processing FOIA Requests based on the Action; address at which the Requester can be complexity of Requests and those for (5) Transcripts of Commission reached to facilitate the handling of the which expedited processing is proceedings; Request. Requested. Complexity shall be (6) ‘‘The Comprehensive Plan for the (e) If a FOIA Request is unclear, determined based on the amount of National Capital: Federal Elements’’ and overly broad, involves an extremely work and/or time needed to process a other plans prepared by the NCPC; voluminous amount of Records or a Request and/or the number of pages of (7) ‘‘Federal Capital Improvements burdensome Search, or fails to state a responsive Records. If the NCPC utilizes Plan for the National Capital Region’’ willingness to pay the requisite fees or Multi-track Processing, it shall advise a following release of the President’s the maximum fee which the Requester Requester when a Request is placed in Budget; is willing to pay, the NCPC shall a slower track of the limits associated (8) Policies adopted by the endeavor to contact the Requester to with a faster track and afford the Commission; define the subject matter, identify and Requester the opportunity to limit the (9) Correspondence between the clarify the Records being sought, narrow scope of its Request to qualify for faster Commission and the Congress, other the scope of the Request, and obtain processing. federal and local government agencies, assurances regarding payment of fees. and the public; and The timeframe for a response set forth § 456.9 Expedited processing. (10) Frequently Requested in § 456.7(a) shall be tolled (stopped (a) The NCPC shall provide Expedited Documents. temporarily) and the NCPC will not Processing of a FOIA Request if the begin processing a Request until the person making the Request § 456.6 FOIA request requirements. NCPC obtains the information necessary demonstrates that the Request involves: (a) The NCPC shall designate a Chief to clarify the Request and/or clarifies (1) Circumstances in which the lack of Freedom of Information Act Officer who issues pertaining to the fee. expedited treatment could reasonably be shall be authorized to grant or deny any § 456.7 FOIA response requirements. expected to pose an imminent threat to Request for a Record of the NCPC. the life or physical safety of an (b) Requests for a Record or Records (a) The Freedom of Information Act individual; that is/are not available in the actual or Officer, upon receipt of a FOIA Request (2) An urgency to inform the public electronic reading rooms shall be made in compliance with these rules, about an actual or alleged federal directed to the Chief Freedom of shall determine within 20 Workdays government activity, if made by a Information Act Officer. whether to grant or deny the Request. person primarily engaged in (c) All FOIA Requests shall be made The Freedom of Information Officer disseminating information; in writing. If sent by U.S. mail, Requests shall within 20 Workdays notify the should be sent to NCPC’s official Requester in writing of his/her (3) The loss of substantial due process business address contained on the determination and the reasons therefore rights; or NCPC Web site. If sent via email, they and of the right to appeal any Adverse (4) A matter of widespread and should be directed to www.ncpc.gov. To Determination to the head of the NCPC. exceptional media interest in which expedite internal handling of FOIA (b) If a Request is denied in whole or there exists possible questions about the Requests, the words Freedom of in part, the Chief FOIA Officer’s written government’s integrity which affect Information Act Request shall appear determination shall include, if public confidence. prominently on the transmittal envelope technically feasible, the precise amount (b) A Request for Expedited or the subject line of a Request sent via of information withheld, a brief Processing may be made at the time of email or facsimile. description of the information withheld the initial FOIA Request or at a later (d) The FOIA Request shall: without revealing its content, and the time. (1) State that the Request is made exemption under which it is being (c) A Requester seeking Expedited pursuant to the FOIA; withheld unless revealing the Processing must submit a detailed (2) Describe the Agency Record(s) exemption would harm an interested statement setting forth the basis for the Requested in sufficient detail including, protected by the exemption. NCPC shall Expedited Processing Request. The without limitation, any specific release any portion of a withheld Record Requester must certify in the statement information known such as date, title or that reasonably can be segregated from that the need for Expedited Processing name, author, recipient, or time frame the exempt portion of the Record. is true and correct to the best of his/her for which you are seeking Records, to (c) In cases involving Unusual knowledge. To qualify for Expedited enable the NCPC personnel to locate the Circumstances, the Chief FOIA Officer Processing, a Requester relying upon the Requested Agency Records; may extend the 20 Workday time limit category in paragraph (a)(2) of this (3) State, pursuant to the fee schedule by written notice to the Requester. The section must establish: set forth in § 456.14, a willingness to written notice shall set forth the reasons (1) He/she is a full time pay all fees associated with the FOIA for the extension and the date on which Representative of the News Media or Request or the maximum fee the a determination is expected to be primarily engaged in the occupation of Requester is willing to pay to obtain the dispatched. No such notice shall specify information dissemination, though it Requested Records, unless the Requester a date that would result in an extension need not be his/her sole occupation;

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(2) A particular urgency to inform the for responding to the FOIA Request to Information Requested or include copies public about the information sought by the Agency that either classified the of the Requested Records or portions the FOIA Request beyond the public’s Record, should consider classifying the thereof containing the Confidential right to know about the government Record, or has primary interest in the Commercial Information. When notice activity generally; and Record, as appropriate. to a large number of Submitters is (3) The information is of the type that (b) Whenever a Request is made for a required, NCPC may provide has value that will be lost if not Record that is designated Controlled notification by posting or publishing the disseminated quickly such as a breaking Unclassified Information by another notice in a place reasonably likely to news story. Information of historical Agency, the NCPC shall refer the FOIA accomplish the intent of the notice interest only or information sought for Request to the Agency that designated requirement such as a newspaper, litigation or commercial activities will the Record as Controlled Unclassified newsletter, the NCPC Web site, or the not qualify nor would a news media Information. Decisions to disclose or Federal Register. deadline unrelated to breaking news. withhold information designated as (e) The NCPC shall allow a Submitter (d) Within 10 calendar days of receipt Controlled Unclassified Information a reasonable time to respond to the of a Request for expedited processing, shall be made based on the applicability notice described in paragraph (d) of this the NCPC shall decide whether to grant of the statutory exemptions contained in section and shall specify within the or deny the Request and notify the the FOIA, not on a Controlled notice the time period for response. If a Requester of the decision in writing. If Unclassified Information marking or Submitter has any objection to a Request for Expedited Processing is designation. disclosure, it shall submit a detailed granted, the Request shall be given written statement. The statement must priority and shall be processed in the § 456.12 Confidential commercial information. specify all grounds for withholding any expedited processing track. If a Request portion of the Confidential Commercial (a) Confidential Commercial for Expedited Processing is denied, any Information under any exemption of the Information obtained by the NCPC from appeal of that decision shall be acted on FOIA and, in the case of Exemption 4, a Submitter shall be disclosed under the expeditiously. it must show why the Confidential FOIA only in accordance with the Commercial Information is a trade secret § 456.10 Consultations and referrals. requirements of this section. or commercial or financial information (b) A Submitter of Confidential (a) Unless the NCPC determines that that is privileged or confidential. If the Commercial Information shall use good- it is best able to process a Record in Submitter fails to respond to the notice faith efforts to designate, by appropriate response to a FOIA Request, the NCPC within the specified time, the NCPC markings, either at the time of shall either respond to the FOIA shall consider this failure to respond as submission or at a reasonable time Request after consultation with the no objection to disclosure of the thereafter, any portions of its Agency best able to determine if the Confidential Commercial Information submission that it considers to be Requested Record(s) is/are subject to on the part of the Submitter, and NCPC protected from disclosure under disclosure; or refer the responsibility for shall proceed to release the requested Exemption 4 of the FOIA. These responding to the FOIA Request to the information. A statement provided by designations will expire ten years after Agency responsible for originating the the Submitter that is not received by the date of the submission unless the Record(s). Generally, the Agency NCPC until after the NCPC’s disclosure Submitter requests, and provides originating a Record will be presumed decision has been made shall not be justification for, a longer designation by the NCPC to be the Agency best considered by the NCPC. Information period. qualified to render a decision regarding provided by a Submitter under this disclosure or exemption except for (c) Notice shall be given to a Submitter of a FOIA Request for paragraph may itself be subject to Agency Records submitted to the NCPC disclosure under the FOIA. pursuant to its authority to review potential Confidential Commercial Information if: (f) The NCPC shall consider a Agency plans and/or projects. Submitter’s objections and specific (b) Upon referral of a FOIA Request to (1) The requested information has grounds for nondisclosure in deciding another Agency, the NCPC shall notify been designated in good faith by the whether to disclose Confidential the Requester in writing of the referral, Submitter as Confidential Commercial Commercial Information. Whenever the inform the Requester of the name of the Information eligible for protection from NCPC decides to disclose Confidential Agency to which all or part of the FOIA disclosure under Exemption 4 of the Commercial Information over the the Request has been referred, provide the FOIA; or objection of a Submitter, the NCPC shall Requester a description of the part of the (2) The NCPC has reason to believe give the Submitter written notice, which Request referred, and advise the the requested information is shall include: Requester of a point of contact within Confidential Commercial Information (1) A statement of the reason(s) why the receiving Agency. protected from disclosure under each of the Submitter’s disclosure (c) The timeframe for a response to a Exemption 4 of the FOIA. objections was not sustained; FOIA Request requiring consultation or (d) Subject to the requirements of referral shall be based on the date the paragraphs (c) and (g) of this section, the (2) A description of the Confidential FOIA Request was initially received by NCPC shall provide a Submitter with Commercial Information to be disclosed; the NCPC and not any later date. prompt written notice of a FOIA and Request or administrative appeal that (3) A specified disclosure date, which § 456.11 Classified and controlled seeks the Submitter’s Confidential shall be a reasonable time subsequent to unclassified information. Commercial Information. The notice the notice. (a) For Requests for an Agency Record shall give the Submitter an opportunity (g) The notice requirements of that has been classified or may be to object to disclosure of any specified paragraphs (c) and (d) of this section appropriate for classification by another portion of that Confidential Commercial shall not apply if: Agency pursuant to an Executive Order Information pursuant to paragraph (e) of (1) The NCPC determines that the concerning the classification of Records, this section. The notice shall either Confidential Commercial Information is the NCPC shall refer the responsibility describe the Confidential Commercial exempt under FOIA;

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(2) The Confidential Commercial demonstration of compliance with the (assigned at the GS 11–13 grades); and Information has been published requirements of §§ 456.9(a) and (c) or Managerial Staff (assigned at the 14–15 lawfully or has been officially made 456.14(a) through (c) respectively. grades). For a Staff Assistant the quarter available to the public; (c) The Chairman shall respond to an hour fee to Search for and retrieve a (3) The Confidential Commercial appeal of an Adverse Determination in Requested Record shall be $9.00. If a Information’s disclosure is required by writing within 20 Workdays of receipt. Search and retrieval cannot be statute (other than the FOIA) or by a If the Chairman grants the appeal, the performed entirely by a Staff Assistant, regulation issued in accordance with the Chairman shall notify the Requester, and the identification of Records within requirements of Executive Order 12600 and the NCPC shall make available the scope of a Request requires the use (Predisclosure Notification Procedures copies of the Requested Records of Professional Personnel, the fee shall for Confidential Commercial promptly thereafter upon receipt of the be $12.00 for each quarter hour of Information); or appropriate fee determined in Search time spent by Professional (4) The designation made by the accordance with § 456.14. If the Personnel. If the time of Managerial Submitter under paragraph (b) of this Chairman denies the appeal in whole or Personnel is required, the fee shall be section appears obviously frivolous in in part, the letter to the Requester shall $18.00 for each quarter hour of Search which case the NCPC shall, within a state the reason(s) for the denial, time spent by Managerial Personnel. reasonable time prior to a specified including the FOIA exemptions(s) (iii) For a computer Search of disclosure date, give the Submitter applied; a statement that the decision is Records, Requesters shall be charged the written notice of any final decision to final; and notification of the Requester’s Direct Costs of creating a computer disclose the Confidential Commercial right to seek judicial review of the program, if necessary, and/or Information. denial in the District Court of the United conducting the Search, although certain (h) Whenever a Requester files a States in either the locale in which the Requesters (as provided in paragraph lawsuit seeking to compel the disclosure Requester resides, the locale in which (b)(1) of this section) will be charged no of Confidential Commercial the Requester has his/her principal Search fee and certain other Requesters Information, the NCPC shall promptly place of business, or in the District of (as provided in paragraph (b)(3) of this notify the Submitter. Columbia. The Chairman’s letter of section) will be entitled to the cost (i) Whenever the NCPC provides a denial shall also advise the Requester equivalent of two hours of manual Submitter with notice and an that the Office of Government Search time without charge. These opportunity to object to disclosure Information Services (OGIS) offers Direct Costs for a computer Search shall under paragraph (d) of this section, the mediation services to resolve disputes include the cost that is directly NCPC shall also notify the Requester. between a Requester and the NCPC as a attributable to a Search for responsive Whenever the NCPC notifies a non-exclusive alternative to litigation. Records, and the costs of the operator’s Submitter of its intent to disclose Contact information for OGIS can be salary for the time attributable to the Requested Information under paragraph obtained from the OGIS Web site at Search. (f) of this section, the NCPC shall also [email protected]. (2) Duplication fees shall be charged notify the Requester. Whenever a (d) The NCPC shall not act on an to all Requesters, subject to the Submitter files a lawsuit seeking to appeal of an Adverse Determination if limitations of paragraph (b) of this prevent the disclosure of Confidential the underlying FOIA Request becomes Section. For a paper photocopy of a Commercial Information, the NCPC the subject of FOIA litigation. Record (no more than one copy of shall notify the Requester. (e) A party seeking court review of an which shall be supplied), the fee shall be 10 cents per page for single or double § 456.13 Appeals. Adverse Determination must first appeal the decision under this section to NCPC. sided copies, 90 cents per page for 81⁄2 (a) An appeal of an Adverse by 11 inch color copies, and $1.50 per Determination shall be made in writing § 456.14 Fees. page for color copies up to 11 x 17 to the Chairman of the Commission (a) In responding to FOIA Requests, inches per page. For copies produced by (Chairman). An appeal may be the NCPC shall charge the following fees computer, and placed on an electronic submitted via U.S. mail or other type of unless a Fee Waiver has been granted data saving device or provided as a manual delivery service or via email or under § 456.15. printout, the NCPC shall charge the facsimile within 30 Workdays of the (1) Search Fees shall be as follows: Direct Costs, including operator time, of date of a notice of an Adverse (i) Search fees shall be charged for all producing the copy. For other forms of Determination. To facilitate handling of Requests, subject to the limitations of Duplication, the NCPC shall charge the an appeal, the words Freedom of paragraph (b) of this section. The NCPC Direct Costs of that Duplication. Information Act Appeal shall appear may charge for time spent conducting a (3) Review fees shall be charged to prominently on the transmittal envelope Search even if it fails to locate any Requesters who make a Commercial Use or the subject line of a Request sent via responsive Records or if the NCPC Request. Review fees will be charged electronic-mail or facsimile. withholds Records located based on a only for the NCPC initial Review of a (b) An appeal of an Adverse FOIA exemption. Record to determine whether an Determination shall include a detailed (ii) For each quarter hour spent by exemption applies to a particular statement of the legal, factual or other personnel searching for Requested Record or portion thereof. No charge basis for the Requester’s objections to an Records, including electronic searches will be made for Review at the Adverse Determination; a daytime that do not require new programming, administrative appeal level for an phone number or email address where the fees will be calculated based on the exemption already applied. However, the Requester can be reached if the average hourly General Schedule (GS) Records or portions thereof withheld NCPC requires additional information or base salary, plus the District of under an exemption that is clarification regarding the appeal; Columbia locality payment, plus 16 subsequently determined not applicable copies of the initial Request and the percent for benefits, of employees in the upon appeal may be reviewed again to NCPC’s written response; and for an following three categories: Staff determine whether any other exemption Adverse Determination of a Request for Assistant (assigned at the GS 9–11 not previously considered applies. If the Expedited Processing or a Fee Waiver, a grades); Professional Personnel NCPC determines a different exemption

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applies, the costs of that Review are (e) The NCPC shall charge interest on (h) Where Records responsive to chargeable. Review fees will be charged any unpaid fee starting on the 31st day Requests are maintained for distribution at the same rates as those charged for a following the date of billing the by Agencies operating statutorily based Search under paragraph (a)(1)(ii) of this Requester. Interest charges will be fee schedule programs, the NCPC shall section. assessed at the rate provided in 31 inform Requesters of the steps for (b) The following limitations on fees U.S.C. 3717 (Interest and Penalty on obtaining Records from those sources so shall apply: Claims) and will accrue from the date of that they may do so most economically. (1) No Search fee shall be charged for the billing until payment is received by (i) All fees shall be paid by personal FOIA Requests made by Educational the NCPC. The NCPC shall follow the check, money order or bank draft drawn Institutions, Noncommercial Scientific provisions of the Debt Collection Act of on a bank of the United States, made Institutions, or Representatives of the 1982 (Pub. L. No. 97–365, 96 Stat. 1749), payable to the order of the Treasurer of News Media. as amended, and its administrative the United States. procedures, including the use of (2) No Search or Review fees shall be § 456.15 Fee waiver requirements. charged for a quarter-hour period unless consumer reporting agencies, collection agencies, and offset. (a) Records responsive to a Request more than half of that period is required shall be furnished without charge or at for Search or Review. (f) Where the NCPC reasonably believes that one or more Requesters are a charge reduced below that established (3) Except for Requesters of a under § 456.14 if the Requester Commercial Use Request, the NCPC acting in concert to subdivide a Request into a series of Requests to avoid fees, demonstrates to the NCPC, and the shall provide without charge the first NCPC determines, based on all available two hours of Search (or the cost the NCPC may aggregate the Requests and charge accordingly. The NCPC shall information, that Disclosure of the equivalent) and the first 100 pages of Requested information is in the public Duplication (or the cost equivalent); and presume that multiple Requests of this type made within a 30-day period have interest because it is likely to contribute (4) Except for Requesters of a significantly to public understanding of Commercial Use Request, no fee shall be been made to avoid fees. Where Requests are separated by a time period the operations or activities of the charged for a Request if the total fee in excess of 30 days, the NCPC shall government, and disclosure of the calculated under this section equals aggregate the multiple Requests if a information is not primarily in the $50.00 or less. solid basis exists for determining commercial interest of the Requester. (5) The fee provisions of this section aggregation is warranted under all (b) To determine if disclosure of the shall be cumulative. Requesters other circumstances involved. Requested information is in the public than those making a Commercial Use (g) Advance payments shall be treated interest because it is likely to contribute Request shall not be charged a fee as follows: significantly to public understanding of unless the total cost of a Search in (1) For Requests other than those the operations or activities of the excess of two hours plus the cost of described in paragraphs (g)(2) and (3) of government, the Requester shall Duplication in excess of 100 pages totals this section, the NCPC shall not require demonstrate, and NCPC shall consider, more than $50.00. an advance payment. An advance the following factors: (c) If the NCPC determines or payment refers to a payment made (1) Whether the subject of the estimates fees in excess of $50.00, the before work on a Request is begun or Requested Records concerns the NCPC shall notify the Requester of the continued after being stopped for any operations or activities of the actual or estimated amount of total fees, reason but does not extend to payment government. The subject of the unless in its initial Request the owed for work already completed but Requested Records must concern Requester has indicated a willingness to not sent to a Requester. identifiable operations or activities of pay fees as high as those determined or (2) If the NCPC determines or the federal government, with a estimated. If only a portion of the fee estimates a total fee under this section connection that is direct and clear, not can be estimated, the NCPC shall advise of more than $250.00, it shall require an remote or attenuated. the Requester that the estimated fee advance payment of all or part of the (2) Whether the disclosure is likely to constitutes only a portion of the total anticipated fee before beginning to contribute to an understanding of fee. If the NCPC notifies a Requester that process a Request, unless the Requester government operations or activities. The actual or estimated fees amount to more provides satisfactory assurance of full portions of the Requested Records than $50.00, the Request shall not be payment or has a history of prompt eligible for disclosure must be considered received for purposes of payment. meaningfully informative about calculating the timeframe for a (3) If a Requester previously failed to government operations or activities. The Response, and no further work shall be pay a properly charged FOIA fee to the disclosure of information that already is undertaken on the Request until the NCPC within 30 days of the date of in the public domain, in either a Requester agrees to pay the anticipated billing, the NCPC shall require the duplicative or a substantially identical total fee. Any such agreement shall be Requester to pay the full amount due, form, is not likely to contribute to an memorialized in writing. A notice under plus any applicable interest, and to understanding of government operations this paragraph shall offer the Requester make an advance payment of the full and activities because this information an opportunity to work with the NCPC amount of any anticipated fee, before is already known. to reformulate the Request to meet the the NCPC begins to process a new (3) Whether disclosure of the Requester’s needs at a lower cost. Request or continues processing a Requested information will contribute (d) Apart from other provisions of this pending Request from that Requester. to public understanding. The disclosure section, if the Requester asks for or the (4) If the NCPC requires advance must contribute to the understanding of NCPC chooses as a matter of payment or payment due under a reasonably broad audience of persons administrative discretion to provide a paragraphs (g)(2) or (3) of this section, interested in the subject, as opposed to special service—such as certifying that the Request shall not be considered the individual understanding of the Records are true copies or sending them received and no further work will be Requester. A Requester’s expertise in by other than ordinary mail—the actual undertaken on the Request until the the subject area and ability and costs of special service shall be charged. required payment is received. intention to effectively convey

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information to the public shall be apply to each Request. The NCPC shall a placard. We are issuing this AD to considered. It shall be presumed that a exercise its discretion to consider the detect and correct worn brushes Representative of the News Media cost-effectiveness of its investment of contacting the commutator, which could satisfies this consideration. administrative resources in this result in a fire under the cabin floor (4) Whether the disclosure is likely to decision-making process in deciding to with no means to detect or extinguish contribute significantly to public grant Fee Waivers. the fire. understanding of government operations DATES: § 456.16 Preservation of FOIA records. This AD is effective April 3, or activities. The public’s understanding 2014. of the subject in question must be (a) The NCPC shall preserve all enhanced by the disclosure to a correspondence pertaining to FOIA Examining the AD Docket significant extent, as compared to the Requests received and copies or Records You may examine the AD docket on level of public understanding existing provided until disposition or the Internet at http:// prior to the disclosure. The NCPC shall destruction is authorized by the NCPC’s www.regulations.gov by searching for not make value judgments about General Records schedule of the and locating Docket No. FAA–2013– whether information that would National Archives and Records 0695; or in person at the Docket contribute significantly to public Administration (NARA) or other NARA- Management Facility between 9 a.m. understanding of the operations or approved Schedule. and 5 p.m., Monday through Friday, activities of the government is important (b) Materials that are responsive to a except Federal holidays. The AD docket enough to be made public. FOIA Request shall not be disposed of contains this AD, the regulatory (c) To determine whether disclosure or destroyed while the Request or a evaluation, any comments received, and of the information is not primarily in related lawsuit is pending even if the other information. The address for the the commercial interest of the Records would otherwise be authorized Docket Office (phone: 800–647–5527) is Requester, the Requester shall for disposition under the NCPC’s Docket Management Facility, U.S. demonstrate, and NCPC shall consider, General Records Schedule or NARA or Department of Transportation, Docket the following factors: other NARA-approved records schedule. Operations, M–30, West Building (1) Whether the Requester has a [FR Doc. 2014–04180 Filed 2–26–14; 8:45 am] Ground Floor, Room W12–140, 1200 commercial interest that would be BILLING CODE 7520–01–P New Jersey Avenue SE., Washington, furthered by the Requested disclosure. DC 20590. The NCPC shall consider any commercial interest of the Requester FOR FURTHER INFORMATION CONTACT: (with reference to the definition of DEPARTMENT OF TRANSPORTATION Gregory Thiele, Aerospace Engineer, Commercial Use Request in § 456.3(f)), Special Certification Office, ASW–190, Federal Aviation Administration or of any person on whose behalf the FAA, 2601 Meacham Boulevard, Fort Requester may be acting, that would be Worth, TX 76137; phone: (817) 222– furthered by the Requested disclosure. 14 CFR Part 39 5229; fax: (817) 222–5785; email: Requesters shall be given an [Docket No. FAA–2013–0695; Directorate [email protected]. opportunity in the administrative Identifier 2011–NM–264–AD; Amendment SUPPLEMENTARY INFORMATION: 39–17726; AD 2014–01–03] process to provide explanatory Discussion information regarding this RIN 2120–AA64 consideration. We issued a notice of proposed (2) Whether any identified Airworthiness Directives; Saab AB, rulemaking (NPRM) to amend 14 CFR commercial interest of the Requester is Saab Aerosystems Airplanes part 39 by adding an AD that would sufficiently large in comparison with apply to certain Saab AB, Saab the public interest in disclosure that AGENCY: Federal Aviation Aerosystems Model 340A (SAAB/ disclosure is primarily in the Administration (FAA), DOT. SF340A) and SAAB 340B airplanes commercial interest of the Requester. A ACTION: Final rule. modified by Supplemental Type Fee Waiver is justified where the public Certificate SA7971SW (http:// interest standard of paragraph (b) of this SUMMARY: We are adopting a new rgl.faa.gov/Regulatory_and_Guidance_ section is satisfied and that public airworthiness directive (AD) for certain Library/rgstc.nsf/0/CE3676ED interest is greater in magnitude than that Saab AB, Saab Aerosystems Model 340A FD53938785256CC20058E501? of any identified commercial interest in (SAAB/SF340A) and SAAB 340B OpenDocument&Highlight=sa7971sw). disclosure. The NCPC ordinarily shall airplanes modified by Supplemental The NPRM published in the Federal presume that a Representative of the Type Certificate SA7971SW. This AD Register on August 16, 2013 (78 FR News Media satisfies the public interest was prompted by reports of smoke, a 49982). The NPRM was prompted by standard, and the public interest will be burning odor, and possible fire in the reports of smoke, a burning odor, and the interest primarily served by flight deck and cabin of the airplane, possible fire in the flight deck and cabin disclosure to that Requester. Disclosure which was caused by brushes wearing of the airplane, which was caused by to data brokers or others who merely beyond their limits in the air brushes wearing beyond their limits in compile and market government conditioning motor. This AD requires an the air conditioning motor. The NPRM information for direct economic return inspection to determine if a certain air proposed to require an inspection to shall not be presumed to primarily serve compressor motor is installed, an determine if a certain air compressor the public interest. inspection to determine the age of a motor is installed, an inspection to (d) Where only some of the Records certain compressor hour meter since determine the age of a certain to be released satisfy the requirements new or overhauled, and repetitive compressor hour meter since new or for a Fee Waiver, a Fee Waiver shall be replacement of the brushes on affected overhauled, and repetitive replacement granted for those Records. air conditioning compressor motor of the brushes on affected air (e) Requests for a Fee Waiver should units. As an option to the replacement, conditioning compressor motor units. address the factors listed in paragraphs this AD allows pulling the air As an option to the replacement, the (b) and (c) of this section, insofar as they conditioning circuit breaker and adding NPRM proposed to allow pulling the air

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conditioning circuit breaker and adding Conclusion Interim Action a placard. We are issuing this AD to We reviewed the relevant data and We consider this AD interim action. detect and correct worn brushes The inspection reports required by this contacting the commutator, which could determined that air safety and the public interest require adopting this AD AD will enable us to obtain better result in a fire under the cabin floor as proposed except for minor editorial insight into the nature, cause, and with no means to detect or extinguish changes. We have determined that these extent of the brush wear, and eventually the fire. minor changes: to develop final action to address the Comments • unsafe condition. Once final action has Are consistent with the intent that been identified, we might consider was proposed in the NPRM (78 FR We gave the public the opportunity to further rulemaking. 49982, August 16, 2013) for correcting participate in developing this AD. We the unsafe condition; and Costs of Compliance received no comments on the NPRM (78 • FR 49982, August 16, 2013) or on the Do not add any additional burden We estimate that this AD affects 23 determination of the cost to the public. upon the public than was already airplanes of U.S. registry. proposed in the NPRM (78 FR 49982, We estimate the following costs to August 16, 2013). comply with this AD:

ESTIMATED COSTS

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

Inspection, drive motor as- 11 work-hours × $85 per $252 per replacement $1,187 per replacement $27,301 per replacement sembly brush replace- hour = $935 per re- cycle. cycle. cycle. ment; and parts return placement cycle. and report.

Paperwork Reduction Act promoting safe flight of civil aircraft in Adoption of the Amendment air commerce by prescribing regulations A federal agency may not conduct or for practices, methods, and procedures Accordingly, under the authority sponsor, and a person is not required to the Administrator finds necessary for delegated to me by the Administrator, respond to, nor shall a person be subject safety in air commerce. This regulation the FAA amends 14 CFR part 39 as to penalty for failure to comply with a is within the scope of that authority follows: collection of information subject to the because it addresses an unsafe condition requirements of the Paperwork PART 39—AIRWORTHINESS that is likely to exist or develop on Reduction Act unless that collection of DIRECTIVES products identified in this rulemaking information displays a current valid action. OMB control number. The control ■ 1. The authority citation for part 39 number for the collection of information Regulatory Findings continues to read as follows: required by this AD is 2120–0056. The Authority: 49 U.S.C. 106(g), 40113, 44701. paperwork cost associated with this AD This AD will not have federalism has been detailed in the Costs of implications under Executive Order § 39.13 [Amended] Compliance section of this document 13132. This AD will not have a ■ and includes time for reviewing substantial direct effect on the States, on 2. The FAA amends § 39.13 by adding instructions, as well as completing and the relationship between the national the following new airworthiness reviewing the collection of information. government and the States, or on the directive (AD): Therefore, all reporting associated with distribution of power and 2014–01–03 Saab AB, Saab Aerosystems: this AD is mandatory. Comments responsibilities among the various Amendment 39–17726; Docket No. concerning the accuracy of this burden levels of government. FAA–2013–0695; Directorate Identifier and suggestions for reducing the burden For the reasons discussed above, I 2011–NM–264–AD. should be directed to the FAA at 800 certify that this AD: (a) Effective Date Independence Ave. SW., Washington, (1) Is not a ‘‘significant regulatory This AD is effective April 3, 2014. DC 20591, ATTN: Information action’’ under Executive Order 12866, Collection Clearance Officer, AES–200. (b) Affected ADs (2) Is not a ‘‘significant rule’’ under None. Authority for This Rulemaking DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979), (c) Applicability Title 49 of the United States Code This AD applies to Saab AB, Saab specifies the FAA’s authority to issue (3) Will not affect intrastate aviation in Alaska, and Aerosystems Model 340A (SAAB/SF340A) rules on aviation safety. Subtitle I, and SAAB 340B airplanes, certificated in any section 106, describes the authority of (4) Will not have a significant category, that have been modified as the FAA Administrator. Subtitle VII: economic impact, positive or negative, specified in Supplemental Type Certificate Aviation Programs, describes in more on a substantial number of small entities SA7971SW (http://rgl.faa.gov/Regulatory_ detail the scope of the Agency’s under the criteria of the Regulatory and_Guidance_Library/rgstc.nsf/0/ authority. Flexibility Act. CE3676EDFD53938785256CC200 We are issuing this rulemaking under 58E501?OpenDocument&Highlight= List of Subjects in 14 CFR Part 39 sa7971sw). the authority described in Subtitle VII, Part A, Subpart III, Section 44701: Air transportation, Aircraft, Aviation (d) Subject ‘‘General requirements.’’ Under that safety, Incorporation by reference, Air Transport Association (ATA) of section, Congress charges the FAA with Safety. America Code 21, Air Conditioning.

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(e) Unsafe Condition replacement in accordance with the actions (14) Seat new brushes in accordance with This AD was prompted by reports of specified in paragraph (j) of this AD. paragraph (j)(15) of this AD. All new brushes smoke, a burning odor, and possible fire in (1) Before or when the A/C compressor must be seated to assure proper motor the flight deck and cabin of the airplane, motor reaches a total of 500 hours time-in- operation and/or performance. service. (15) Brush Seating Procedure: Cut a 7 inch which were caused by brushes wearing ± beyond their limits in the air conditioning (2) Before further flight after the inspection long by 1.5 inch wide ( 0.125 inch, both motor. We are issuing this AD to detect and required by paragraph (h) of this AD. dimensions) strip of 400–500 grit sand paper and place, with rough side out, on correct worn brushes contacting the (j) Motor Brush Replacement Instructions commutator, which could result in a fire commutator. Secure one end of the paper to Do the actions specified in paragraphs (j)(1) under the cabin floor with no means to detect the commutator with masking tape in a through (j)(23) of this AD to replace the or extinguish the fire. manner such that the taped end will lead in compressor motor brushes as required by the direction of shaft rotation (counter- (f) Compliance paragraph (i) of this AD: clockwise looking at fan end). The other end (1) New brushes may be installed by first Comply with this AD within the will remain loose and overlap the taped end. level maintenance personnel only under the compliance times specified, unless already Raise each brush momentarily while rotating conditions listed in paragraphs (j)(1)(i) done. the shaft until the taped end passes under through (j)(1)(iv) of this AD. If these each brush. After the sand paper is properly (g) Part Number (P/N) Inspection conditions are not met, deactivate the A/C in located tight against the commutator and accordance with paragraph (k)(1) of this AD Within 30 days or 10 flight hours after the encompasses all brush surface areas, until the conditions listed in paragraphs effective date of this AD, whichever occurs carefully rotate the armature, by hand, in the (j)(1)(i) through (j)(1)(iv) of this AD are met, first: Inspect the air conditioner (A/C) normal direction of rotation until a full seat or the entire compressor motor is replaced. compressor motor to determine if P/N is obtained on each new brush. Three or four (i) Motor was operating correctly prior to rotations is usually adequate. Excessive 1134104–1 is installed. A review of airplane brush replacement. seating is not advised. Brush life may be maintenance records is acceptable in lieu of (ii) The motor is tested to verify proper reduced. this inspection if the part number of the operation and does not show any defects that (16) Remove sand paper and blow out all A/C compressor motor can be conclusively would require motor replacement. carbon dust from the commutator and brush determined from that review. (iii) Only approved vendor brushes are area. CAUTION: Eye, nose, and throat used (P/N 1251171). (h) Inspection of Compressor Hour Meter protection must be worn during this and Maintenance Records (iv) Brushes are installed, seated, and tested in accordance with paragraphs (j)(2) procedure. If, during the inspection required by through (j)(23) of this AD. (17) Lay brush shunt leads in position paragraph (g) of this AD, any A/C compressor (2) Verify all electrical power is off to the carefully such as to prevent any shorting motor is found having P/N 1134104–1: system. problems. Leads must be able to easily follow Within 30 days or 10 flight hours after the (3) Remove all access panels and exhaust brush and spring movement as brush wear effective date of this AD, whichever occurs ducts to gain access to the drive motor. occurs. first, determine the hour reading on the (4) Disconnect power leads from motor (18) Replace brush cover and attach motor A/C compressor hour meter as specified in terminals (1/4–28). Tag the positive lead. power cables, if required. paragraphs (h)(1) and (h)(2) of this AD. (5) Remove condenser support bracket to (19) Replace all bracketry and hardware (1) Inspect the number of hours on the provide access to brush cover fasteners and removed to access motor. A/C compressor hour meter. remove motor cuff shroud. (20) Assure that brackets are properly (2) Check the airplane logbook for any (6) Loosen and unsnap brush cover installed, cooling fan does not interfere with entry for replacing the A/C compressor motor assembly. Remove from the motor. shroud, motor drive belt aligned/tensioned, brushes with new brushes, or for replacing (7) Verify all power is off, and that all and belt cover is installed. the compressor motor or compressor panels, shrouds, brackets, and fairings are (21) Test the motor to verify proper condenser module assembly (pallet) with a removed. operation. Therefore, connect ground power motor or assembly that has new brushes. (8) With a stiff wire hook or scribe, lift source or verify aircraft power is on and turn (i) If the logbook contains an entry for brush spring from holder and remove each system on. replacement of parts as specified in worn brush set until all four sets are (22) Run system for a minimum of 15 paragraph (h)(2) of this AD, determine the removed. minutes to seat brushes and check motor number of hours on the A/C compressor (9) Remove brush shunt wire terminal operation. motor brushes by comparing the number of screw. Continue this step until all four (23) Turn system and aircraft power off. hours on the compressor motor since screws are removed. System is ready for use. replacement and use this number in lieu of (10) With brushes removed and using shop (k) Deactivation/Reactivation the number determined in paragraph (h)(1) of air at 30–40 pounds per square inch gauge this AD. (psig) and nozzle, blow out as much carbon (1) In lieu of replacing the A/C compressor (ii) If, through the logbook check, the and/or copper dust as possible from the motor brushes as required by paragraphs (i) number of hours on the A/C compressor commutator, armature, and field windings. and (j) of this AD, before further flight, motor brushes cannot be positively Purge from the commutator end of the motor. deactivate the A/C by doing the actions determined as specified in paragraph (h)(2) of (11) Install each new brush set by lifting specified in paragraph (k)(1)(i) or (k)(1)(ii) of this AD, use the number of hours on the brush springs, sliding brush into holder (with this AD, as applicable. A/C compressor hour meter determined in brush leading edge in direction of motor (i) Single System: Pull the compressor paragraph (h)(1) of this AD, or assume the rotation) and lightly releasing the brush control circuit breaker (cockpit right-hand brushes have over 500 hours time-in-service. spring on the brush. (See Figure 1 to 10VU panel, ‘‘REAR AIR COND’’); install a paragraph (m)(4)(vii) of this AD.) CAUTION: placard by the A/C selection switch (co- (i) Replacement Do not allow brush spring to strike hard into pilot’s side panel) prohibiting use of the air Except as provided by paragraph (k) of this place or damage to brush may result. conditioner; and document deactivation of AD: Using the hour reading on the A/C (12) Verify that the brush seats flat on the the system in the airplane logbook referring compressor hour meter determined in commutator and that no binding in the to this AD as the reason for deactivation. paragraph (h) of this AD, replace the A/C holder is present. Align brush spring in (ii) Dual System: Pull the compressor compressor motor brushes with new brushes center of brush groove. control circuit breakers (cockpit right-hand at the later of the times specified in (13) Install terminal screw and lock washer 10VU panel, ‘‘REAR AIR COND,’’ and paragraphs (i)(1) and (i)(2) of this AD. on brush shunt lead and other leads and cockpit left-hand 9VU panel, ‘‘FWD AIR Thereafter, repeat the replacement of the tighten. Repeat this step for other brush sets. COND’’); install a placard (or placards) by the A/C compressor motor brushes at intervals Torque to 15–20 in.-lbs. CAUTION: Do not A/C selection switches (co-pilot’s side panel) not to exceed 500 hours time-in-service on cross thread or over torque brush lead screws prohibiting use of the air conditioners; and the A/C compressor motor. Do the or thread damage may result. document deactivation of the system in the

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airplane logbook referring to this AD as the this AD are done at the times specified in (4) The amount of wear on the brushes reason for deactivation. paragraph (i) of this AD. (including overall length and total calculated (2) If an operator chooses to deactivate the (m) Reporting Requirement wear), calculated as specified in paragraphs system and then later chooses to return the (m)(4)(i) through (m)(4)(ix) of this AD. airplane to service: Before returning the A/C Submit a report of the results of the (i) Verify all electrical power is off to the system to service and removing the determination of hours required by paragraph system. (h) of this AD to the Special Certification placard(s), do the inspection specified in (ii) Remove all access panels and exhaust Office, ASW–190, FAA, Attn: Gregory Thiele, paragarph (g) of this AD, and, as applicable, ducts to gain access to the drive motor. Aerospace Engineer, 2601 Meacham the inspection specified in paragraph (h) of (iii) Disconnect power leads from motor this AD, and the replacements specified in Boulevard, Fort Worth, TX 76137; or email terminals (1/4–28). Tag positive lead. paragraph (i) of this AD at the times specified to: [email protected]. The report (iv) Remove condenser support bracket to in paragraph (i) of this AD. must include the information specified in paragraphs (m)(1) through (m)(4) of this AD. provide access to brush cover fasteners and (l) Parts Installation Limitation (1) The model and serial number of the remove motor cuff shroud. As of the effective date of this AD, no airplane. (v) Loosen and unsnap brush cover person may install an A/C compressor motor (2) The elapsed amount of flight hours assembly. Remove from motor. having P/N 1134104–1 on any airplane, since the last brush/motor replacement, if (vi) Lift brush spring and remove brush unless the inspection specified in paragraph known. with wire hook or scribe. (h) of this AD has been done, and the (3) The amount of hours on the hour meter (vii) Measure each brush as shown in replacements specified in paragraph (i) of of the A/C compressor motor. figure below and record values.

(viii) Using the brush with the shortest specified in paragraph (k)(1) of this AD on 76137; phone: (817) 222–5229; fax: (817) measured length, calculate the wear by airplanes on which the A/C has been 222–5785; email: [email protected]. subtracting the measured value from 1.000 operated for 500 hours or more, and inch. replacement brushes are not available. (r) Material Incorporated by Reference (ix) Replace brushes in accordance with None. the instructions specified in paragraphs (j)(9) (p) Alternative Methods of Compliance through (j)(23) of this AD. (AMOCs) Issued in Renton, Washington, on January (1) The Manager, Special Certification 7, 2014. (n) Compliance Time for Reporting Office, ASW–190, FAA, has the authority to Jeffrey E. Duven, Submit the report required by paragraph approve AMOCs for this AD, if requested (m) of this AD at the applicable time using the procedures found in 14 CFR 39.19. Manager, Transport Airplane Directorate, specified in paragraph (n)(1) or (n)(2) of this In accordance with 14 CFR 39.19, send your Aircraft Certification Service. AD. request to your principal inspector or local [FR Doc. 2014–03817 Filed 2–26–14; 8:45 am] (1) If the determination of hours was done Flight Standards District Office, as BILLING CODE 4910–13–P on or after the effective date of this AD: appropriate. If sending information directly Submit the report within 30 days after the to the manager of the Special Certification inspection. Office, send it to the attention of the person (2) If the determination of hours was done identified in paragraph (q) of this AD. before the effective date of this AD: Submit (2) Before using any approved AMOC, the report within 30 days after the effective notify your appropriate principal inspector, date of this AD. or lacking a principal inspector, the manager of the local flight standards district office/ (o) Special Flight Permit certificate holding district office. Special flight permits may be issued in accordance with sections 21.197 and 21.199 (q) Related Information of the Federal Aviation Regulations (14 CFR For more information about this AD, 21.197 and 21.199) to operate the airplane to contact Gregory Thiele, Aerospace Engineer, an appropriately rated repair station, Special Certification Office, ASW–190, FAA, provided that the A/C is deactivated as 2601 Meacham Boulevard, Fort Worth, TX

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DEPARTMENT OF HEALTH AND amended to reflect a change of access to the Internet may obtain these HUMAN SERVICES sponsorship of an NADA and a change documents at the Center for Veterinary to a sponsor’s address. Medicine FOIA Electronic Reading Food and Drug Administration DATES: This rule is effective February Room: http://www.fda.gov/AboutFDA/ 27, 2014. CentersOffices/OfficeofFoods/CVM/ 21 CFR Parts 510, 520, 522, 526, 529, FOR FURTHER INFORMATION CONTACT: CVMFOIAElectronicReadingRoom/ and 558 George K. Haibel, Center for Veterinary default.htm. Medicine (HFV–6), Food and Drug [Docket No. FDA–2014–N–0002] In addition, West Agro, Inc., 11100 Administration, 7519 Standish Pl., New Animal Drugs; Bambermycins; Rockville, MD 20855, 240–276–9019, North Congress Ave., Kansas City, MO Clopidol; Ivermectin; Penicillin G [email protected]. 64153 has informed FDA that it has transferred ownership of, and all rights Procaine and Dihydrostreptomycin SUPPLEMENTARY INFORMATION: FDA is and interest in, NADA 055–028 for Sulfate; Progesterone; Robenicoxib; amending the animal drug regulations to Sulfadimethoxine; Change of Sponsor; reflect approval actions for NADAs and QUARTERMASTER (penicillin G Change of Sponsor’s Address ANADAs during December 2013, as procaine and dihydrostreptomycin sulfate) Dry Cow Treatment to HQ AGENCY: Food and Drug Administration, listed in table 1. In addition, FDA is informing the public of the availability, Specialty Pharma Corp., 120 Rte. 17 HHS. North, Suite 130, Paramus, NJ 07652. ACTION: Final rule. where applicable, of documentation of environmental review required under Following this change of sponsorship, SUMMARY: The Food and Drug the National Environmental Policy Act West Agro, Inc., is no longer a sponsor Administration (FDA) is amending the (NEPA) and, for actions requiring of an approved NADA, and HQ animal drug regulations to reflect review of safety or effectiveness data, Specialty Pharma Corp. is now the approval actions for new animal drug summaries of the basis of approval (FOI sponsor of an approved NADA. Also, applications (NADAs) and abbreviated Summaries) under the Freedom of Putney, Inc., 400 Congress St., Suite new animal drug applications Information Act (FOIA). These public 200, Portland, ME 04101 has informed (ANADAs) during December 2013. FDA documents may be seen in the Division FDA of a change of address to One is also informing the public of the of Dockets Management (HFA–305), Monument Sq., Suite 400, Portland, ME availability of summaries of the basis of Food and Drug Administration, 5630 04101. Accordingly, the Agency is approval and of environmental review Fishers Lane, Rm. 1061, Rockville, MD amending the regulations to reflect this documents, where applicable. The 20852, between 9 a.m. and 4 p.m., change of sponsorship and change of animal drug regulations are also being Monday through Friday. Persons with sponsor’s address.

TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING DECEMBER 2013

NADA/ New animal drug product 21 CFR FOIA ANADA Sponsor name Action Section summary NEPA review

141–419 ...... Huvepharma AD, 5th COYDEN 25 (clopidol) Original approval as an 558.95, Yes ...... CE.12 Floor, 3A Nikolay plus FLAVOMYCIN aid in prevention of 558.175 Haytov St., 1113 So- (bambermycins) Type coccidiosis caused by phia, Bulgaria. A medicated articles. Eimeria tenella, E. necatrix, E. acervulina, E. maxima, E. brunetti, and E. mivati; and for increased rate of weight gain and im- proved feed efficiency in broiler chickens. 200–523 ...... Cross Vetpharm Group SULFAMED Original approval as a 522.2220 Yes ...... CE.13 Ltd., Broomhill Rd., (sulfadimethoxine) generic copy of NADA Tallaght, Dublin 24, 40% Injectable Solu- 041–245. Ireland. tion. 200–564 ...... Merial Ltd., 3239 Sat- Ivermectin Paste 1.87% Original approval as a 4 N/A Yes ...... CE.13 ellite Blvd., Bldg. 500, generic copy of NADA Duluth, GA 30096– 134–314. 4640. 141–200 ...... Zoetis Inc., 333 Portage EAZI–BREED CIDR Supplemental approval 529.1940 Yes ...... EA/FONSI.5 St., Kalamazoo, MI (progesterone for induction of estrous 49007. intravaginal insert) cycles in anestrous Cattle Insert. lactating dairy cattle. 141–320 ...... Novartis Animal Health ONSIOR (robenacoxib) Supplemental approval 520.2075 Yes ...... CE.16 US, Inc., 3200 Tablets. lowering age at treat- Northline Ave., Suite ment from 6 months to 300, Greensboro, NC 4 months. 27408.

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TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING DECEMBER 2013—Continued

NADA/ New animal drug product 21 CFR FOIA ANADA Sponsor name Action Section summary NEPA review

200–341 ...... Sparhawk Laboratories, SPARMECTIN–E Supplemental approval 520.1195 Yes ...... CE.13 Inc., 12340 Santa Fe (ivermectin) Liquid. adding pathogens off Trail Dr., Lenexa, KS exclusivity to labeling. 66215. 1 The Agency has determined under § 25.33 (21 CFR 25.33) that this action is categorically excluded (CE) from the requirement to submit an environmental assessment (EA) or an environmental impact statement because it is of a type that does not individually or cumulatively have a significant effect on the human environment. 2 CE granted under § 25.33(a)(2). 3 CE granted under § 25.33(a)(1). 4 21 CFR 520.1192 already contains a drug labeler code entry for this sponsor. 5 The Agency has carefully considered an EA of the potential environmental impact of this action and has made a finding of no significant im- pact (FONSI). 6 CE granted under § 25.33(d)(1).

This rule does not meet the definition Drug labeler section as in paragraphs (e)(1)(i), of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because Firm name and address code (e)(1)(ii)(B), and (e)(1)(iii) of this section. it is a rule of ‘‘particular applicability.’’ * * * * * Therefore, it is not subject to the congressional review requirements in 5 ***** § 520.2075 [Amended] HQ Specialty Pharma Corp., ■ U.S.C. 801–808. 120 Rte. 17 North, Suite 5. In § 520.2075, in paragraph (c)(2), List of Subjects 130, Paramus, NJ 07652 .. 042791 remove ‘‘at least 6 months of age’’ and in its place add ‘‘at least 4 months of 21 CFR Part 510 ***** age’’. Administrative practice and Putney, Inc., One Monument Sq., Suite 400, Portland, PART 522—IMPLANTATION OR procedure, Animal drugs, Labeling, ME 04101 ...... 026637 INJECTABLE DOSAGE FORM NEW Reporting and recordkeeping ANIMAL DRUGS requirements. ***** ■ 21 CFR Parts 520, 522, 526, and 529 6. The authority citation for 21 CFR (2) * * * part 522 continues to read as follows: Animal drugs. Authority: 21 U.S.C. 360b. Drug labeler code Firm name and address 21 CFR Part 558 ■ 7. In § 522.2220, revise paragraphs Animal drugs, Animal feeds. (a)(1), (a)(2), and (a)(3)(iii) to read as ***** follows: Therefore, under the Federal Food, 026637 ...... Putney, Inc., One Monu- Drug, and Cosmetic Act and under ment Sq., Suite 400, § 522.2220 Sulfadimethoxine. authority delegated to the Commissioner Portland, ME 04101. (a)(1) Specifications. Each milliliter of of Food and Drugs and redelegated to solution contains 400 milligrams (mg) the Center for Veterinary Medicine, 21 ***** sulfadimethoxine. CFR parts 510, 520, 522, 526, 529, and 042791 ...... HQ Specialty Pharma (2) Sponsors. See sponsor numbers in 558 are amended as follows: Corp., 120 Rte. 17 § 510.600(c) of this chapter for North, Suite 130, Paramus, NJ 07652. conditions of use as in paragraph (a)(3) PART 510—NEW ANIMAL DRUGS of this section: ■ ***** (i) No. 054771 for use as in paragraph 1. The authority citation for 21 CFR (a)(3) of this section. part 510 continues to read as follows: (ii) Nos. 000859, 057561, and 061623 Authority: 21 U.S.C. 321, 331, 351, 352, PART 520—ORAL DOSAGE FORM for conditions of use as in paragraph 353, 360b, 371, 379e. NEW ANIMAL DRUGS (a)(3)(iii) of this section. ■ (3) * * * 2. In § 510.600, in the table in ■ 3. The authority citation for 21 CFR (iii) Cattle—(a) Amount. Administer paragraph (c)(1), alphabetically add an part 520 continues to read as follows: entry for ‘‘HQ Specialty Pharma Corp.’’, an initial dose of 25 mg per pound of revise the entry for ‘‘Putney, Inc.’’, and Authority: 21 U.S.C. 360b. body weight by intravenous injection remove the entry for ‘‘West Agro, Inc.’’; ■ 4. In § 520.1195, revise paragraphs followed by 12.5 mg per pound of body and in the table in paragraph (c)(2), (b)(1) and (b)(2) to read as follows: weight every 24 hours until the animal revise the entry for ‘‘026637’’, remove is asymptomatic for 48 hours. § 520.1195 Ivermectin liquid. the entry for ‘‘033392’’, and numerically (b) Indications for use. For the add an entry for ‘‘042791’’ to read as * * * * * treatment of bovine respiratory disease follows: (b) * * * complex (shipping fever complex) and (1) Nos. 000859, 050604, 054925, and bacterial pneumonia associated with § 510.600 Names, addresses, and drug 058005 for use of product described in Pasteurella spp. sensitive to labeler codes of sponsors of approved paragraph (a)(1) of this section as in sulfadimethoxine; necrotic applications. paragraphs (e)(1)(i), (e)(1)(ii)(A), and pododermatitis (foot rot) and calf * * * * * (e)(1)(iii) of this section. diphtheria caused by Fusobacterium (c) * * * (2) No. 058829 for use of product necrophorum sensitive to (1) * * * described in paragraph (a)(1) of this sulfadimethoxine.

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(c) Limitations. Milk taken from Authority: 21 U.S.C. 360b. through (d)(5)(xi); and add new animals during treatment and for 60 ■ 11. In § 529.1940, in paragraphs (b) paragraph (d)(5)(iii) to read as follows: hours (5 milkings) after the latest and (e)(1)(iii), remove ‘‘000009’’ and in § 558.95 Bambermycins. treatment must not be used for food. Do its place add ‘‘054771’’; in paragraph (c), not administer within 5 days of remove ‘‘§ 556.540(a)’’ and in its place * * * * * slaughter. A withdrawal period has not add ‘‘§ 556.540’’; and add paragraph (d) * * * been established for this product in (e)(1)(ii)(D) to read as follows: preruminating calves. Do not use in (5) * * * calves to be processed for veal. § 529.1940 Progesterone intravaginal (iii) Clopidol as in § 558.175. inserts. * * * * * * * * * * * * * * * PART 526—INTRAMAMMARY DOSAGE (e) * * * ■ 14. In § 558.175: FORM NEW ANIMAL DRUGS (1) * * * ■ a. Redesignate paragraph (d)(9) as (ii) * * * paragraph (d)(11). ■ 8. The authority citation for 21 CFR (D) For induction of estrous cycles in ■ part 526 continues to read as follows: anestrous lactating dairy cows. b. Redesignate paragraphs (d)(5) through (d)(8) as paragraphs (d)(6) Authority: 21 U.S.C. 360b. * * * * * through (d)(9). § 526.1696c [Amended] PART 558—NEW ANIMAL DRUGS FOR ■ c. Add new paragraphs (d)(5) and ■ 9. In paragraph (b) of § 526.1696c, USE IN ANIMAL FEEDS (d)(10). remove ‘‘033392’’ and in its place add The additions read as follows: ‘‘042791’’. ■ 12. The authority citation for 21 CFR part 558 continues to read as follows: § 558.175 Clopidol. PART 529—CERTAIN OTHER DOSAGE Authority: 21 U.S.C. 360b, 371. FORM NEW ANIMAL DRUGS * * * * * ■ 13. In paragraph (d)(5) of § 558.95, (d) * * * ■ 10. The authority citation for 21 CFR redesignate paragraphs (d)(5)(iii) part 529 continues to read as follows: through (d)(5)(x) as paragraphs (d)(5)(iv)

Clopidol in grams per Combination in Indications for use Limitations Sponsor ton grams per ton

******* (5) 113.5 ...... Bambermycins 1 to 2 Broiler chickens: As an aid in prevention of Feed continuously as the sole ration. Do 016592 coccidiosis caused by Eimeria tenella, not feed to chickens over 16 weeks of E. necatrix, E. acervulina, E. maxima, E. age brunetti, and E. mivati; and for increased rate of weight gain and improved feed efficiency

******* (10) 227 ...... Bambermycins 1 to 2 Broiler chickens: As an aid in prevention of Feed continuously as sole ration until 5 016592 coccidiosis caused by Eimeria tenella, days before slaughter. Withdraw 5 days E. necatrix, E. acervulina, E. maxima, E. before slaughter or feed 113.5 g/ton brunetti, and E. mivati; and for increased clopidol and 1 to 2 g/ton bambermycins rate of weight gain and improved feed during those 5 days before slaughter. efficiency Do not feed to chickens over 16 weeks of age

*******

Dated: January 27, 2014. DEPARTMENT OF HEALTH AND animal drug regulations to reflect a Bernadette Dunham, HUMAN SERVICES change of sponsor for 54 approved new Director, Center for Veterinary Medicine. animal drug applications (NADAs) and Food and Drug Administration [FR Doc. 2014–01959 Filed 2–26–14; 8:45 am] 1 approved abbreviated new animal drug application (ANADA) for topical, BILLING CODE 4160–01–P 21 CFR Parts 524, 526, and 529 intramammary, and certain other dosage form new animal drug products from [Docket No. FDA–2014–N–0002] Pfizer, Inc., including its several subsidiaries and divisions, to Zoetis, New Animal Drugs; Change of Sponsor Inc. AGENCY: Food and Drug Administration, DATES: This rule is effective February HHS. 27, 2014. ACTION: Final rule; technical amendments. FOR FURTHER INFORMATION CONTACT: Steven D. Vaughn, Center for Veterinary SUMMARY: The Food and Drug Medicine (HFV–100), Food and Drug Administration (FDA) is amending the Administration, 7520 Standish Pl.,

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Rockville, MD 20855; 240–276–8300, subsidiaries Alpharma, LLC; Fort Dodge ownership of, and all rights and interest [email protected]. Animal Health, Division of Wyeth; Fort in, the 54 approved NADAs and 1 Dodge Animal Health, Division of approved ANADA in table 1 to Zoetis, SUPPLEMENTARY INFORMATION: Pfizer, Wyeth Holdings Corp.; and its division, Inc., 333 Portage St., Kalamazoo, MI Inc., 235 E. 42d St., New York, NY Pharmacia & Upjohn Co., have informed 49007. 10017, and its wholly owned FDA that they have transferred

TABLE 1—NADAS AND ANADA TRANSFERRED FROM PFIZER, INC., TO ZOETIS, INC.

File No. Product name

008–763 ...... TERRAMYCIN (oxytetracycline hydrochloride) Ophthalmic Ointment with Polymyxin. 009–035 ...... OPHTHAINE (proparacaine hydrochloride) Solution. 009–782 ...... NOLVASAN (chlorhexidine acetate) Antiseptic Ointment. 009–809 ...... NOLVASAN CAP–TABS (chlorhexidine acetate) Tablets. 010–434 ...... NOLVASAN (chlorhexidine acetate) Suspension. 010–524 ...... NEO–CORTEF with Tetracaine (neomycin sulfate, hydrocortisone acetate, tetracaine hydrochloride) Ointment. 011–703 ...... NEO–DELTA CORTEF with Tetracaine (neomycin sulfate, prednisolone acetate, tetracaine hydrochloride) Ointment. 012–258 ...... PANOLOG (triamcinolone acetonide, nystatin, thiostrepton, neomycin sulfate) Ointment. 012–991 ...... KOPERTOX (copper naphthenate) Topical. 013–293 ...... TERRA–CORTRIL (oxytetracycline hydrochloride and hydrocortisone) Topical Spray. 014–170 ...... FLUOTHANE (halothane, USP). 015–433 ...... NEO–PREDEF with Tetracaine (neomycin sulfate, isoflupredone acetate, tetracaine hydrochloride, and myristyl- gammapicolinium chloride) Ointment. 030–025 ...... NEO–PREDEF with Tetracaine (neomycin sulfate, isoflupredone acetate, tetracaine hydrochloride) Topical Ointment. 032–168 ...... DOMOSO (dimethyl sulfoxide) Solution. 032–319 ...... TOPAZONE (furazolidone) Aerosol Powder. 034–872 ...... NEO PREDEF (neomycin sulfate and isoflupredone acetate) Ointment. 037–586 ...... ERYTHROMAST 36 (erythromycin) Intramammary Infusion. 038–801 ...... ANAPRIME (flumethasone, polymyxin B sulfate, and neomycin sulfate) Ophthalmic Solution. 042–661 ...... KANTRIM (kanamycin sulfate) Ophthalmic Ointment. 042–883 ...... KANTRIM (kanamycin sulfate) Ophthalmic Solution. 043–784 ...... KANFOSONE (kanamycin sulfate, calcium amphomycin, and hydrocortisone acetate) Ointment. 045–512 ...... SYNOTIC(fluocinolone acetonide and dimethyl sulfoxide) Otic Solution. 047–334 ...... SYNSAC (fluocinolone acetonide and dimethyl sulfoxide) Topical Solution. 047–925 ...... DOMOSO (dimethyl sulfoxide) Gel. 047–997 ...... AMPHODERM (kanamycin sulfate, calcium amphomycin, and hydrocortisone acetate) Ointment. 049–725 ...... ANAPRIME Opthakote (flumethasone, polymyxin B sulfate, and neomycin sulfate) Ophthalmic. 049–726 ...... OPTIPRIME OPTHAKOTE (neomycin sulfate and polymixin B sulfate) Ophthalmic Solution. 055–072 ...... ALBACILLIN (procaine penicillin G/novobiocin) Suspension for Intramammary Infusion. 055–095 ...... TICILLIN (ticarcillin disodium) Powder for Intrauterine Infusion. 055–098 ...... ALBADRY Plus (procaine penicillin G and novobiocin sodium) Suspension for Intramammary Infusion. 065–114 ...... MYCITRACIN (bacitracin zinc, neomycin sulfate, and polymyxin B sulfate) Ophthalmic Ointment. 065–119 ...... FORTE (neomycin sulfate, penicillin, polymyxin B, hydrocortisone) Topical Ointment. 065–122 ...... TETRACYN (tetracycline hydrochloride) Ointment. 065–149 ...... CHLOROMYCETIN (chloramphenicol) Ophthalmic Ointment. 091–534 ...... NEO–DELTA CORTEF (prednisolone acetate and neomycin sulfate) Solution. 093–514 ...... NEO–CORTEF (neomycin sulfate and hydrocortisone acetate) Ointment. 096–676 ...... PANOLOG (triamcinolone acetonide, nystatin, thiostrepton, neomycin sulfate) Cream. 100–808 ...... ALBAMAST (novobiocin sodium) Suspension for Intramammary Infusion. 102–511 ...... BIODRY (novobiocin sodium) Suspension for Intramammary Infusion. 120–299 ...... MITABAN (amitraz) Liquid Concentrate. 127–892 ...... AMIGLYDE–V (amikacin sulfate) Intrauterine Infusion. 130–435 ...... OXYMARINE (oxytetracycline hydrochloride) Fish Marker. 140–839 ...... BACTODERM (mupirocin) Ointment. 140–844 ...... TRAMISOL (levamisole) Pour-On Topical Solution. 140–879 ...... DERMA 4 (nystatin, neomycin sulfate, thiostrepton, and triamcinolone acetonide) Ointment. 141–003 ...... DERM–OTIC (nystatin, neomycin, thiostrepton, and triamcinolone acetonide) Ointment. 141–036 ...... PIRSUE (pirlimycin hydrochloride) Intramammary Infusion. 141–082 ...... DOXIROBE (doxycycline hyclate) Gel. 141–095 ...... DECTOMAX (doramectin) Pour-on Solution. 141–152 ...... REVOLUTION (selamectin) Topical Solution. 141–200 ...... EAZI-Breed CIDR (progesterone) Cattle Insert. 141–238 ...... SPECTRAMAST LC (ceftiofur hydrochloride) Sterile Suspension for Intramammary Infusion. 141–239 ...... SPECTRAMAST DC (ceftiofur hydrochloride) Sterile Suspension for Intramammary Infusion. 141–302 ...... EAZI–BREED CIDR (progesterone) Sheep Insert. 200–102 ...... GENTAGLYDE (gentamicin sulfate) Solution.

Accordingly, the Agency is amending corrections and to reflect a current In addition, FDA has noticed that the regulations in 21 CFR parts 524, 526, format. This is being done to increase certain sections of part 526 contain and 529 to reflect these transfers of the accuracy and readability of the entries describing conditions of use for ownership. In addition, the regulations regulations. new animal drug products for which no are being amended to make minor NADA is approved. These errors were

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introduced by the Agency during the (1) No. 054771 for use of product ■ 9. In § 524.575, revise paragraphs 1992 recodification of the regulations described in paragraph (a)(1) as in (c)(1) and (c)(3) to read as follows: for certifiable antibiotics (57 FR 37318, paragraph (c) of this section. August 18, 1992). That rule did not (2) Nos. 000061 and 043264 for use of § 524.575 Cyclosporine ophthalmic ointment. identify whether particular regulations product described in paragraph (a)(2) as were the subject of an approved NADA in paragraph (c) of this section. * * * * * (c) Conditions of use in dogs and (c) * * * and consequently resulted in 1 codification of certain conditions of use cats.*** (1) Amount. Apply a ⁄4-inch strip of ointment directly on the cornea or into for which there is no approved NADA. * * * * * the conjunctival sac of the affected At this time, the Agency is amending ■ 4. In § 524.155, revise the section eye(s) every 12 hours. the regulations to remove these entries. heading, redesignate paragraphs (a) and * * * * * This action is being taken to improve (b) as paragraphs (b) and (c); add new (3) Limitations. Federal law restricts the accuracy of the regulations. paragraph (a); and revise paragraph (b), this drug to use by or on the order of This rule does not meet the definition and the introductory text in paragraph a licensed veterinarian. of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because (c) to read as follows: it is a rule of ‘‘particular applicability.’’ ■ 10. Revise § 524.660 to read as Therefore, it is not subject to the § 524.155 Bacitracin, neomycin, polymyxin follows: congressional review requirements in 5 B, and hydrocortisone ophthalmic ointment. § 524.660 Dimethyl sulfoxide. U.S.C. 801–808. (a) Specifications. Each gram of ointment contains 400 units of (a) Specifications—(1) Each milliliter List of Subjects in 21 CFR Parts 524, bacitracin zinc, 5 milligrams (mg) of (mL) of solution contains 90 percent 526, and 529 neomycin sulfate (equivalent to 3.5 mg dimethyl sulfoxide and 10 percent Animal drugs. of neomycin sulfate), 10,000 units of water. Therefore, under the Federal Food, polymyxin B sulfate, and10 mg of (2) Each milliliter (mL) of gel product Drug, and Cosmetic Act and under hydrocortisone. contains 90 percent dimethyl sulfoxide. authority delegated to the Commissioner (b) Sponsors. See Nos. 000061 and (b) Sponsor. See No. 054771 in of Food and Drugs and redelegated to 043264 in § 510.600(c) of this chapter. § 510.600(c) of this chapter. (c) Conditions of use in horses and the Center for Veterinary Medicine, 21 (c) Conditions of use in dogs and dogs—(1) Amount—(i) Horses. Apply CFR parts 524, 526, and 529 are cats.* * * topically two to three times daily in an amended as follows: * * * * * amount not to exceed 100 mL per day. PART 524—OPHTHALMIC AND § 524.390 [Amended] Total duration of therapy should not exceed 30 days. TOPICAL DOSAGE FORM NEW ■ 5. In § 524.390, revise paragraphs (b) ANIMAL DRUGS (ii) Dogs. Apply topically three to four and (c)(3) to read as follows: times daily in an amount not to exceed ■ 1. The authority citation for 21 CFR § 524.390 Chloramphenicol ophthalmic 20 mL per day. Total duration of part 524 continues to read as follows: ointment. therapy should not exceed 14 days. Authority: 21 U.S.C. 360b. * * * * * (2) Indications for use. To reduce (b) Sponsors. See Nos. 043264 and acute swelling due to trauma. ■ 2. In § 524.86, revise the section (3) Limitations. Do not use in horses heading, and paragraphs (b) and (c)(3) to 054771 in § 510.600(c) of this chapter. (c) * * * intended for human consumption. read as follows: (3) Limitations. Federal law restricts Federal law restricts this drug to use by § 524.86 Amitraz. this drug to use by or on the order of or on the order of a licensed veterinarian. * * * * * a licensed veterinarian. Federal law (b) Sponsor. See No. 054771 in prohibits the use of this drug in food- §§ 524.660a and 524.660b [Removed] producing animals. § 510.600(c) of this chapter. ■ 11. Remove §§ 524.660a and 524.660b. (c) * * * § 524.402 [Amended] (3) Limitations. Federal law restricts ■ 12. In § 524.770, in paragraph (b), this drug to use by or on the order of ■ 6. In paragraph (b) of § 524.402, remove ‘‘000069’’ and in its place add a licensed veterinarian. remove ‘‘000856’’ and in its place add ‘‘054771’’; and revise paragraph (e)(3) to ■ 3. In § 524.154, revise the section ‘‘054771’’. read as follows: ■ heading, redesignate paragraphs (a) and 7. In § 524.450, revise the section § 524.770 Doramectin. (b) as paragraphs (b) and (c); add new heading, and paragraphs (b) and (c)(3) to read as follows: * * * * * paragraph (a); and revise paragraph (b), (e) * * * and the introductory text in paragraph § 524.450 Clotrimazole. (3) Limitations. Do not slaughter cattle (c) to read as follows: * * * * * within 45 days of latest treatment. This § 524.154 Bacitracin, neomycin, and (b) Sponsors. See No. 000859 in product is not approved for use in polymyxin B ophthalmic ointment. § 510.600(c) of this chapter. female dairy cattle 20 months of age or (a) Specifications. Each gram of (c) * * * older, including dry dairy cows. Use in ointment contains: (3) Limitations. Federal law restricts these cattle may cause drug residues in (1) 500 units of bacitracin, 3.5 this drug to use by or on the order of milk and/or in calves born to these milligrams of neomycin, and 10,000 a licensed veterinarian. cows. A withdrawal period has not been units of polymyxin B sulfate; or established for this product in (2) 400 units of bacitracin zinc, 3.5 § 524.463 [Amended] preruminating calves. Do not use in milligrams of neomycin, and 10,000 ■ 8. In paragraph (b) of § 524.463, calves to be processed for veal. units of polymyxin B sulfate. remove ‘‘000856, 017135, and 058829’’ ■ 13. In § 524.802, revise the section (b) Sponsors. See sponsor numbers in and in its place add ‘‘017135, 054771, heading and paragraph (c)(3) to read as § 510.600(c) of this chapter as follows: and 058829’’. follows:

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§ 524.802 Enrofloxacin and silver (d) Conditions of use—(1) Beef cattle drugs, pesticides, or chemicals. Host- sulfadiazine otic emulsion. and nonlactating dairy cattle—(i) parasite reactions such as bloat, * * * * * Amount. It is used at the rate of one-half salivation, staggering and paralysis may (c) * * * fluid ounce per 100 pounds of body sometimes occur when cattle are treated (3) Limitations. Federal law restricts weight applied topically on the backline while the common cattle grub this drug to use by or on the order of of the animal. Only one application per (Hypoderma lineatum) is in the gullet, a licensed veterinarian. Federal law season should be made for grub control or while the northern cattle grub (H. prohibits the extralabel use of this drug and this will also provide initial control bovis) is in the area of the spinal cord. in food-producing animals. of lice. A second application for lice Cattle should be treated before these ■ 14. In § 524.900, remove paragraph control may be made if animals become stages of grub development. Consult (a); redesignate paragraphs (b) through reinfested, but no sooner than 35 days your veterinarian, extension livestock (f) as paragraphs (a) through (e); and after the first treatment. Proper timing of specialist, or extension entomologist revise newly redesignated (e) to read as treatment is important for grub control; regarding the timing of treatment. If it is follows: cattle should be treated as soon as impossible to determine the area from possible after heel-fly activity ceases. § 524.900 Famphur. which the cattle came and/or exact stage (ii) Indications for use. For the control of the grubs, it is recommended that the * * * * * of grubs and lice in beef and cattle receive only a maintenance ration (e) Conditions of use—(1) Amount. nonlactating cattle. of low-energy feed during the treatment Apply 1 ounce per 200 pounds body (iii) Limitations. Do not use on period. This lessens the likelihood of weight, not to exceed a total dosage of animals simultaneously or within a few severe bloat which may occur in cattle 4 ounces, from the shoulder to the tail days before or after treatment with or on full feed when the common grub is head as a single treatment. Apply as exposure to cholinesterase-inhibiting killed while in the gullet. Do not treat soon as possible after heel fly activity drugs, pesticides, or chemicals. Cattle dairy cattle of breeding age; calves less ceases. should not be slaughtered within 35 than 3 months old; sick, convalescent, (2) Indications for use in beef and days following a single treatment. If a nonlactating dairy cattle. For control of or severely stressed livestock. Do not second application is made for lice treat cattle for 10 days before or after cattle grubs and to reduce cattle lice control, cattle should not be slaughtered infestations. shipping, weaning, dehorning, or after within 45 days of the second treatment. exposure to contagious or infectious (3) Limitations. Do not slaughter The drug must not be used within 28 within 35 days after treatment. Do not diseases. Do not slaughter within 45 days of freshening of dairy cattle. If days of treatment. use on lactating dairy cows or dry dairy freshening should occur within 28 days cows within 21 days of freshening, (3) Dogs—(i) Amount. Four to 8 after treatment, do not use milk as milligrams per kilogram of body weight. calves less than 3 months old, animals human food for the balance of the 28- stressed from castration, overexcitement Apply the contents of the proper size, day interval. Do not treat lactating dairy single-dose tube directly to one spot on or dehorning, sick or convalescent cattle; calves less than 3 months old; or animals. Animals may become the dog’s skin. sick, convalescent, or stressed livestock. (ii) Indications for use. For flea dehydrated and under stress following Do not treat cattle for 10 days before or shipment. Do not treat until they are in control on dogs only. after shipping, weaning, or dehorning or (iii) Limitations. Federal law restricts good condition. Brahman and Brahman after exposure to contagious infectious crossbreeds are less tolerant of this drug to use by or on the order of diseases. a licensed veterinarian. cholinesterase-inhibiting insecticides (2) Beef cattle and dairy cattle not of ■ 16. In § 524.960, in paragraph (b), than other breeds. Do not treat Brahman breeding age—(i) Amount. It is bulls. Swine should be eliminated from administered as a single, topical remove ‘‘000856’’ and in its place add area where runoff occurs. application placed on the backline of ‘‘054771’’; and revise the section ■ 15. Revise § 524.920, to read as animals as follows: For animals heading and paragraph (c)(3) to read as follows: weighing 150 to 300 pounds, apply 4 follows: milliliters (mL); for animals weighing § 524.920 Fenthion. § 524.960 Flumethasone, neomycin, and 301 to 600 pounds, apply 8 mL; for polymyxin B ophthalmic solution. (a) Specifications. (1) The drug is a animals weighing 601 to 900 pounds, * * * * * liquid containing: apply 12 mL; for animals weighing 901 (i) 3 percent of fenthion; or (c) * * * (ii) 20 percent fenthion. to 1,200 pounds, apply 16 mL; and for (3) Limitations. Federal law restricts (2) The drug is a solution containing animal weighing over 1,200 pounds, this drug to use by or on the order of either 5.6 or 13.8 percent fenthion. Each apply 20 mL. For most effective results, a licensed veterinarian. cattle should be treated as soon as concentration is available in 2 volumes § 524.981 [Removed and Reserved] which are contained in single-dose possible after heel-fly activity ceases. A applicators. second application is required for ■ 17. Remove and reserve § 524.981. (b) Sponsor. See sponsors in animals heavily infested with lice or for ■ 18. In § 524.981a, revise the section § 510.600(c) of this chapter: those which become reinfested. A heading, the introductory text in (1) No. 000859 for use of product second application should be made no paragraph (c), and paragraphs (c)(1) and described in paragraph (a)(1)(i) as in sooner than 35 days after the first (c)(2) to read as follows: paragraph (d)(1) of this section. treatment. (2) No. 000859 for use of product (ii) Indications for use. For control of § 524.981a Fluocinolone cream. described in paragraph (a)(1)(ii) as in cattle grubs and as an aid in controlling * * * * * paragraph (d)(2) of this section. lice on beef cattle and on dairy cattle (c) Conditions of use in dogs—(1) (3) No. 000859 for use of products not of breeding age. Amount—A small amount is applied to described in paragraph (a)(2) as in (iii) Limitations. Do not use on the affected area two or three times paragraph (d)(3) of this section. animals simultaneously or within a few daily. (c) Related tolerances. See 40 CFR days before or after treatment with or (2) Indications for use. For the relief 180.214. exposure to cholinesterase-inhibiting of pruritis and inflammation associated

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with certain superficial acute and apparently normal anal sacs, for the (ii) Infected superficial lesions. Apply chronic dermatoses. It is used in the reversal of inflammatory changes to cover the treatment area twice daily treatment of allergic and acute moist associated with abnormal anal sacs, and for 7 to 14 days. dermatitis and for the relief of to counteract the offensive odor of anal (2) Indications for use. For the superficial inflammation caused by sac secretions. treatment of acute and chronic otitis chemical burns and physical abrasions. (3) Limitations. Federal law restricts externa and infected superficial lesions * * * * * this drug to use by or on the order of caused by bacteria sensitive to ■ a licensed veterinarian. gentamicin. 19. In § 524.981b, revise the section (3) Limitations. Federal law restricts heading, paragraph (a), the introductory ■ 22. Revise § 524.981e to read as follows: this drug to use by or on the order of text in paragraph (c), and paragraphs a licensed veterinarian. (c)(1) and (c)(2) to read as follows: § 524.981e Fluocinolone and dimethyl ■ 28. In § 524.1044e, revise the section § 524.981b Fluocinolone solution. sulfoxide otic solution. heading and paragraph (c) to read as (a) Specifications. The drug contains (a) Specifications. Each milliliter of follows: 0.01 percent fluocinolone acetonide. solution contains 0.01 percent fluocinolone acetonide and 60 percent § 524.1044e Gentamicin spray. * * * * * dimethyl sulfoxide. * * * * * (c) Conditions of use in dogs—(1) (b) Sponsor. See No. 054771 in (c) Conditions of use in cattle—(1) Amount—A small amount of solution is § 510.600(c) of this chapter. Amount. Hold the sprayer upright 3 to applied to the affected area two or three (c) Conditions of use in dogs—(1) 6 inches from the affected eye, with the times daily. Amount—Instill 4 to 6 drops (0.2 opening directed towards the eye, and (2) Indications for use—(i) Dogs. For milliliter) twice daily into the ear canal pump once. Treat once daily for up to the relief of pruritis and inflammation for a maximum period of 14 days. The 3 days. associated with otitis externa and total dosage used should not exceed 17 (2) Indications for use. For the certain superficial acute and chronic milliliters. treatment of pinkeye in cattle (infectious dermatoses. (2) Indications for use. For the relief bovine keratoconjunctivitis) caused by (ii) Cats. For the relief of pruritis and of pruritis and inflammation associated Moraxella bovis. inflammation associated with acute with acute and chronic otitis. (3) Limitations. Conditions other than otitis externa and certain superficial (3) Limitations. Federal law restricts bacterial infections of the bovine eye acute and chronic dermatoses. this drug to use by or on the order of and infectious keratoconjunctivitis * * * * * a licensed veterinarian. caused by Moraxella bovis may produce similar signs. If conditions persists or ■ 20. In § 524.981c, revise the section ■ 23. In § 524.1005, in paragraph (b)(1), increases, discontinue use and consult a heading, the introductory text in remove ‘‘053501’’ and in its place add veterinarian. paragraph (c), and paragraphs (c)(1) and ‘‘054771’’; in paragraph (c)(3), remove ■ (c)(2) to read as follows: the last sentence and in its place add 29. In § 524.1044g, remove the second occurrence of paragraph (b)(3); and § 524.981c Fluocinolone and neomycin ‘‘Do not use in horses intended for human consumption.’’; and revise the revise the section heading to read as cream. follows: * * * * * section heading to read as follows: § 524.1044g Gentamicin, betamethasone, (c) Conditions of use in dogs—(1) § 524.1005 Furazolidone powder. and clotrimazole ointment. Amount—A small amount is applied to * * * * * the affected area two or three times * * * * * ■ daily. 24. In § 524.1044, revise the section ■ 30. In § 524.1044h, revise the section (2) Indications for use—(i) Dogs. For heading to read as follows: heading and add paragraph (c)(3) to read the relief of pruritis and inflammation § 524.1044 Gentamicin ophthalmic and as follows: associated with superficial acute and topical dosage forms. chronic dermatoses. It is used in the § 524.1044h Gentamicin, mometasone, and ■ 25. In § 524.1044b, revise the section clotrimazole otic suspension. treatment of allergic and acute moist heading to read as follows: dermatitis and nonspecific dermatoses. * * * * * (ii) Dogs and cats. Used in the (c) * * * § 524.1044b Gentamicin and (3) Limitations. Federal law restricts treatment of wound infections. betamethasone otic solution. this drug to use by or on the order of * * * * * * * * * * a licensed veterinarian. ■ 21. Revise § 524.981d to read as ■ 26. In § 524.1044c, revise the section ■ 31. In § 524.1132, revise the section follows: heading to read as follows: heading to read as follows: § 524.981d Fluocinolone and dimethyl § 524.1044c Gentamicin ophthalmic § 524.1132 Hydrocortisone, miconazole, sulfoxide solution. ointment. and gentamicin otic suspension. (a) Specifications. Each milliliter of * * * * * * * * * * solution contains 0.01 percent ■ 27. In § 524.1044d, revise the section ■ 32. Revise § 524.1200a to read as fluocinolone acetonide and 20 percent heading and paragraph (c) to read as follows: dimethyl sulfoxide. follows: (b) Sponsor. See No. 054771 in § 524.1200a Kanamycin ophthalmic § 510.600(c) of this chapter. § 524.1044d Gentamicin and ointment. (c) Conditions of use in dogs—(1) betamethasone ointment. (a) Specifications. Each gram of Amount—Instill 1 to 2 milliliters into * * * * * ointment contains 3.5 milligrams each anal sac following expression of (c) Conditions of use in dogs—(1) kanamycin activity as kanamycin anal sac contents. Amount—(i) Otitis externa. Instill 3 to 8 sulfate. (2) Indications for use. For the relief drops into the ear canal twice daily for (b) Sponsor. See No. 054771 in of impaction commonly present in 7 days. § 510.600(c) of this chapter.

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(c) Conditions of use in dogs—(1) improvement is observed, treatment can (3) Limitations. Federal law restricts Amount. Apply a thin film to the usually be reduced to once daily. this drug to use by or on the order of affected eye three or four times daily or (2) Indications for use. For the a licensed veterinarian. treatment of acute otitis externa, more frequently if deemed advisable. ■ 40. In § 524.1484c, revise the section furunculosis, folliculitis, pruritus, anal Treatment should be continued for at heading and paragraphs (b) and (c) to gland infections, erythema, decubital least 48 hours after the eye appears read as follows: normal. ulcers, superficial wounds, and (2) Indications for use. For the superficial abscesses associated with § 524.1484c Neomycin, isoflupredone, and treatment of various eye infections bacterial infections caused by organisms tetracaine ointment. (conjunctivitis, blepharitis, susceptible to one or both antibiotics. * * * * * dacryocystitis, keratitis, and corneal (3) Limitations. Federal law restricts (b) Sponsor. See No. 054771 in ulcerations) due to bacteria sensitive to this drug to use by or on the order of § 510.600(c) of this chapter. kanamycin. For prophylaxis in a licensed veterinarian. (c) Conditions of use in dogs—(1) traumatic conditions, removal of foreign ■ 35. In § 524.1240, revise paragraph (b) Amount. In treatment of otitis externa bodies, and intraocular surgery. to read as follows: (3) Limitations. Federal law restricts and other inflammatory conditions of this drug to use by or on the order of § 524.1240 Levamisole. the external ear canal, a quantity of a licensed veterinarian. * * * * * ointment sufficient to fill the external ■ (b) Sponsors. See Nos. 000061 and ear canal; may be applied one to three 33. Revise § 524.1200b to read as times daily. When used on the skin or follows: 054771 in § 510.600(c) of this chapter. * * * * * mucous membranes, the affected area should be cleansed, and a small amount § 524.1200b Kanamycin ophthalmic ■ 36. In § 524.1446, revise the section solution. of the ointment applied and spread or heading to read as follows: (a) Specifications. Each milliliter of rubbed in gently. The involved area may solution contains 10 milligrams § 524.1446 Milbemycin otic solution. be treated one to three times a day and kanamycin activity as kanamycin * * * * * these daily applications continued in sulfate. accordance with the clinical response. (b) Sponsor. See No. 054771 in § 524.1465 [Amended] (2) Indications for use. For the § 510.600(c) of this chapter. ■ 37. In paragraph (b) of § 524.1465, treatment of acute otitis externa in dogs (c) Conditions of use in dogs—(1) remove ‘‘000069, 025463, 026637, and and to a lesser degree, chronic otitis Amount. Instill a few drops into the 051672’’ and in its place add ‘‘025463, externa in dogs. It also is effective in affected eye every 3 hours or more 026637, 051672, and 054771’’. treating anal gland infections and moist frequently if deemed advisable. ■ 38. In § 524.1484, revise the section dermatitis in the dog and is a useful Administer as frequently as possible for heading to read as follows: dressing for minor cuts, lacerations, the first 48 hours, after which the abrasions, and post-surgical therapy in frequency of applications may be § 524.1484 Neomycin ophthalmic and the horse, cat, and dog. It may also be decreased. Treatment should be topical dosage forms. used following amputation of dewclaws, continued for at least 48 hours after the * * * * * tails and claws, following ear trimming eye appears normal. ■ 39. In § 524.1484b, revise the section and castrating operations. (2) Indications for use. For the heading and paragraphs (b) and (c) to (3) Limitations. Federal law restricts treatment of various eye infections read as follows: this drug to use by or on the order of (conjunctivitis, blepharitis, a licensed veterinarian. dacryocystitis, keratitis, and corneal § 524.1484b Neomycin, isoflupredone, ulcerations) due to bacteria sensitive to tetracaine, and myristyl-gamma-picolinium ■ 41. In § 524.1484d, revise the section kanamycin. For prophylaxis in powder. heading and paragraphs (b) and (c) to traumatic conditions, removal of foreign * * * * * read as follows: bodies, and intraocular surgery. (b) Sponsor. See No. 054771 in § 510.600(c) of this chapter. § 524.1484d Neomycin, hydrocortisone, (3) Limitations. Federal law restricts and tetracaine otic ointment. this drug to use by or on the order of (c) Conditions of use in horses, dogs, * * * * * a licensed veterinarian. and cats—(1) Amount. Apply to affected (b) Sponsor. See No. 054771 in ■ 34. Revise § 524.1204 to read as areas as a dusting powder. (2) Indications for use. For the § 510.600(c) of this chapter. follows: treatment or as adjunctive therapy of (c) Conditions of use in dogs and § 524.1204 Kanamycin, amphomycin, and certain ear and skin conditions caused cats—(1) Amount. Instill a quantity of hydrocortisone ointment. by or associated with neomycin- ointment sufficient to fill the external (a) Specifications. Each gram of susceptible organisms and/or allergy; as ear canal; may be applied one to three ointment contains 5 milligrams a superficial dressing applied to minor times daily. kanamycin activity as kanamycin cuts, wounds, lacerations, abrasions, (2) Indications for use. For the sulfate, 5 milligrams of amphomycin and for postsurgical application where treatment of ear canker and other activity as the calcium salt, and 10 reduction of pain and inflammatory inflammatory conditions of the external milligrams of hydrocortisone acetate. response is deemed desirable; as a ear canal, acute otitis externa and, to a (b) Sponsor. See No. 054771 in dusting powder following amputation of lesser degree, chronic otitis externa. § 510.600(c) of this chapter. tails, claws, and dewclaws and (c) Conditions of use in dogs—(1) following ear trimming, castrating, and (3) Limitations. Federal law restricts Amount. Apply to the affected areas of such surgical procedures as this drug to use by or on the order of the skin at least twice daily. In severe ovariohysterectomies. For the treatment a licensed veterinarian. or widespread lesions it may be of acute otitis externa, acute moist ■ 42. In § 524.1484e, revise the section desirable to apply the ointment more dermatitis, and interdigital dermatitis in heading and paragraphs (b) and (c) to than twice daily. After some dogs. read as follows:

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§ 524.1484e Neomycin and polymyxin B (b) Sponsor. See No. 054771 in those associated with allergic reactions ophthalmic solution. § 510.600(c) of this chapter. or gross irritants. * * * * * (c) Conditions of use in dogs—(1) (3) Limitations. Federal law restricts (b) Sponsor. See No. 054771 in Amount. Rub a small amount into the this drug to use by or on the order of § 510.600(c) of this chapter. affected area 1 to 3 times a day. After a licensed veterinarian. (c) Conditions of use in dogs—(1) definite improvement, apply once daily ■ 48. Add § 524.1484k to read as Amount. Instill 1 to 2 drops per eye or every other day. follows: every 6 hours. (2) Indications for use. For the (2) Indications for use. For the treatment of summer eczema, atopic § 524.1484k Prednisolone and neomycin treatment of bacterial infections dermatitis, interdigital eczema, and suspension. associated with topical otitis externa caused by bacteria (a) Specifications. Each milliliter of ophthalmological conditions such as susceptible to neomycin, penicillin, and suspension contains 2.5 milligrams of corneal injuries, superficial keratitis, polymyxin B. prednisolone acetate and 5 milligrams conjunctivitis, keratoconjunctivitis, and (3) Limitations. Federal law restricts of neomycin sulfate equivalent to 3.5 blepharitis. this drug to use by or on the order of milligrams of neomycin base. (3) Limitations. Federal law restricts a licensed veterinarian. (b) Sponsor. See No. 054771 in this drug to use by or on the order of ■ 46. In § 524.1484i, revise the section § 510.600(c) of this chapter. a licensed veterinarian. heading and paragraphs (b) and (c) to (c) Conditions of use in dogs and ■ 43. In § 524.1484f, revise the section read as follows: cats—(1) Amount. For beginning heading and paragraphs (b) and (c) to treatment of acute ocular inflammations read as follows: § 524.1484i Neomycin and hydrocortisone place 1 or 2 drops in the conjunctival ointment. § 524.1484f Neomycin, prednisolone, and sac 3 to 6 times during a 24 hour period. tetracaine otic suspension. * * * * * When improvement occurs, reduce the (b) Sponsor. See No. 054771 in dosage to 1 drop 2 to 4 times daily. For * * * * * § 510.600(c) of this chapter. otitis externa, place 2 to 6 drops in the (b) Sponsor. See No. 054771 in (c) Conditions of use in dogs and external ear canal 2 or 3 times daily. § 510.600(c) of this chapter. cats—(1) Amount. Apply 3 or 4 times (c) Conditions of use in dogs and (2) Indications for use. For the daily into the conjunctival sac. With cats—(1) Amount. Instill 2 to 6 drops in treatment of treating infectious, allergic improvement, frequency may be the external ear canal 2 or 3 times daily. and traumatic keratitis and reduced to 2 or 3 times daily. For (2) Indications for use. For the conjunctivitis, acute otitis externa, and treatment of ear canker and other treatment of acute otitis externa and, to chronic otitis externa. inflammatory conditions of the external a lesser degree, chronic otitis externa; as (3) Limitations. Federal law restricts ear canal, fill external ear canal 1 to 3 treatment or adjunctive therapy of this drug to use by or on the order of times daily. certain ear conditions caused by or a licensed veterinarian. (2) Indications for use. For the associated with neomycin-susceptible ■ 49. In § 524.1580, revise the section treatment of infections, allergic and organisms and/or allergy. heading to read as follows: (3) Limitations. Federal law restricts traumatic keratitis, conjunctivitis, acute otitis externa and, to a lesser degree, § 524.1580 Nitrofurazone topical dosage this drug to use by or on the order of forms. a licensed veterinarian. chronic otitis externa. (3) Limitations. Federal law restricts ■ * * * * * 44. In § 524.1484g, revise the section this drug to use by or on the order of heading and paragraph (c) to read as a licensed veterinarian. § 524.1580a [Removed] follows: ■ 47. Add § 524.1484j to read as follows: ■ 50. Remove § 524.1580a. § 524.1484g Neomycin, thiabendazole, and § 524.1580b [Amended] dexamethasone solution. § 524.1484j Neomycin and prednisolone ophthalmic ointment. * * * * * ■ 51. Redesignate § 524.1580b as (c) Conditions of use in dogs and (a) Specifications. Each gram of § 524.1580a; and in newly designated cats—(1) Amount. In treating ointment contains prednisolone sodium paragraph (b)(1), remove ‘‘000069,’’. dermatoses affecting areas other than phosphate equivalent to 2.5 milligrams § 524.1580c [Amended] the ear, the surface of the lesions should prednisolone 21-phosphate and 5 be well moistened (2 to 4 drops per milligrams neomycin sulfate equivalent ■ 52. Redesignate § 524.1580c as square inch) twice daily. In treating to 3.5 milligrams neomycin base. § 524.1580b; in paragraph (b), remove otitis externa, instill 5 to 15 drops in the (b) Sponsor. See No. 050604 in ‘‘Nos. 000069 and 054628’’ and in its ear twice daily. Treat for up to 7 days. § 510.600(c) of this chapter. place add ‘‘No. 054628’’; and in (2) Indications for use. As an aid in (c) Conditions of use in dogs and paragraphs (c)(2) and (c)(3), remove the treatment of bacterial, mycotic, and cats—(1) Amount. A small quantity of footnote 1. inflammatory dermatoses and otitis the ointment should be expressed into § 524.1580d [Removed] externa. the conjunctival sac 4 times a day (at (3) Limitations. Federal law restricts intervals of 1 to 8 hours) for a few days ■ 53. Remove § 524.1580d. this drug to use by or on the order of until there is a favorable response, then a licensed veterinarian. the frequency of application may be § 524.1580e [Amended] ■ 45. In § 524.1484h, revise the section reduced to twice daily as long as the ■ 54. Redesignate § 524.1580e as heading and paragraphs (b) and (c) to condition remains under control. § 524.1580c; in paragraph (c)(1) and read as follows: Treatment may require from a few days (c)(2), remove footnote 1; and revise the to several weeks. section heading to read as follows: § 524.1484h Neomycin, penicillin, (2) Indications for use. For use in polymyxin B, and hydrocortisone superficial ocular inflammations or § 524.1580c Nitrofurazone and butacaine suspension. infections limited to the conjunctiva or ointment. * * * * * the anterior segment of the eye, such as * * * * *

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■ 55. In § 524.1600a, revise the section Only sufficient spray to coat the skin § 524.1883 [Removed] heading, paragraphs (b) and (c)(3) to thinly is necessary. The application of ■ 61. Remove § 524.1883. read as follows: small amounts at frequent intervals will ■ 62. In § 524.1982, in paragraph (b), give best results. Before treating animals remove ‘‘053501’’ and in its place add § 524.1600a Nystatin, neomycin, with long or matted hair, it may be thiostrepton, and triamcinolone ointment. ‘‘054771’’; and revise the section necessary to clip the affected area or * * * * * heading and paragraph (c) to read as spread the hairs to allow the medication follows: (b) Sponsors. For petrolatum base to contact the skin surface. Relief may ointments see Nos. 000856, 025463, be noted following the first or second § 524.1982 Proparacaine ophthalmic 054771, and 054925 in § 510.600(c) of treatment; however, treatment should solution. this chapter. For vanishing cream base not be discontinued too soon after the * * * * * ointments see Nos. 025463, 054771, and initial favorable response has been (c) Conditions of use in dogs and 054925. obtained. cats—(1) Amount. It is administered as (c) * * * (2) Indications for use. For the relief follows: (3) Limitations. Federal law restricts of discomfort and continued treatment (i) For removal of sutures: Instill one this drug to use by or on the order of of many allergic, infectious, and to two drops 2 or 3 minutes before a licensed veterinarian. traumatic skin conditions; for the removal of stitches. ■ 56. In § 524.1600b, revise the section prevention of bacterial infections in (ii) For removal of foreign bodies from heading, and paragraph (c) to read as superficial wounds, cuts, and abrasions, eye, ear, and nose: For ophthalmic use, follows: treatment of allergic dermatoses, instill three to five drops in the eye including urticaria, eczemas, insect prior to examination; for otic use, instill § 524.1600a Nystatin, neomycin, five to ten drops in the ear; for nasal use, thiostrepton, and triamcinolone ophthalmic bites, and cutaneous drug reactions, ointment. infections associated with minor burns instill five to ten drops in each nostril and wounds, and nonspecific pruritus. every 3 minutes for three doses. * * * * * (3) Limitations. Keep away from eyes (iii) For tonometry: Instill one to two (c) Conditions of use—(1) Dogs and or other mucous membranes; avoid drops immediately before measurement. cats—(i) Amount. Apply 1 drop of inhaling; use with adequate ventilation; (iv) As an aid in treatment of otitis: ointment to the affected eye(s) 2 or 3 in case of deep or puncture wounds or Instill two drops into the ear every 5 times daily. Treatment may be serious burns, consult a veterinarian. minutes for three doses. continued for up to 2 weeks if ■ 59. In § 524.1662b, in paragraph (b), (v) For minor surgery: Instill one or necessary. remove ‘‘000069’’ and in its place add more drops as required. (ii) Indications for use. For use as an ‘‘054771’’; and revise the section (vi) For catheterization: Instill two to anti-inflammatory, antipruritic, heading and paragraph (c) to read as three drops with a blunt 20-gauge antifungal (Candida albicans), and follows: needle immediately before inserting antibacterial ointment for local therapy catheter. in keratitis and conjunctivitis. § 524.1662b Oxytetracycline and (2) Indications for use. For use as a (iii) Limitations. Federal law restricts polymyxin B ophthalmic ointment. topical ophthalmic anesthetic. It is used this drug to use by or on the order of * * * * * as an anesthetic in cauterization of a licensed veterinarian. (c) Conditions of use in dogs and corneal ulcers, removal of foreign bodies (2) Cattle—(i) Amount. Apply small cats—(1) Amount. Administer topically and sutures from the cornea, and line of ointment to the affected eye(s) to the eye two to four times daily. measurement of intraocular pressure once daily. Treatment may be continued (2) Indications for use. For the (tonometry) when glaucoma is for up to 2 weeks if necessary. prophylaxis and local treatment of suspected; as an aid in the removal of (ii) Indications for use. For infectious superficial ocular infections due to foreign bodies from the nose and ear kerato-conjunctivitis (pinkeye). oxytetracycline- and polymyxin- canal; as an accessory in the (iii) Limitations. Federal law restricts sensitive organisms including ocular examination and treatment of painful this drug to use by or on the order of infections due to streptococci, otitis, in minor surgery, and prior to a licensed veterinarian. rickettsiae, E. coli, and A. aerogenes catheterization. ■ 57. In § 524.1662, revise the section (such as conjunctivitis, keratitis, (3) Limitations. Keep away from eyes heading to read as follows: pinkeye, corneal ulcer, and blepharitis or other mucous membranes; avoid in dogs, cats, cattle, sheep, and horses); inhaling; use with adequate ventilation; § 524.1662 Oxytetracycline ophthalmic and ocular infections due to secondary in case of deep or puncture wounds or topical dosage forms. bacterial complications associated with serious burns, consult a veterinarian. * * * * * distemper in dogs; and ocular infections ■ 58. In § 524.1662a, in paragraph (b), due to bacterial inflammatory § 524.2098 [Amended] remove ‘‘000069’’ and in its place add conditions which may occur secondary ■ 63. In paragraph (b) of § 524.2098, ‘‘054771’’; and revise the section to other infectious diseases in dogs, cats, remove ‘‘000069’’ and in its place add heading and paragraph (c) to read as cattle, sheep, and horses. ‘‘No. 054771’’. follows: (3) Limitations. Allergic reactions may ■ 64. Revise § 524.2350 to read as occasionally occur. Treatment should be follows: § 524.1662a Oxytetracycline and discontinued if reactions are severe. If hydrocortisone spray. new infections due to nonsensitive § 524.2350 Tolnaftate cream. * * * * * bacteria or fungi appear during therapy, (a) Specifications. The drug contains (c) Conditions of use in dogs and appropriate measures should be taken. 1 percent tolnaftate in an anhydrous cats—(1) Amount. A small quantity cream base. should be sprayed on the affected §§ 524.1881, 524.1881a, and 524.1881b (b) Sponsor. See No. 000061 in surface by holding the container about [Removed] § 510.600(c) of this chapter. 6 inches from the area to be treated and ■ 60. Remove §§ 524.1881, 524.1881a, (c) Conditions of use—(1) Amount. pressing the nozzle for 1 or 2 seconds. and 524.1881b. Apply a small amount of the cream to

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the affected areas once or twice a day for § 526.1590 Novobiocin infusion. ■ 81. In § 529.1044a, revise the section 2 to 4 weeks. * * * * * heading and paragraph (b) to read as (2) Indications for use. For the follows: treatment of ringworm lesions due to § 526.1696d [Amended] § 529.1044a Gentamicin solution for Microsporum canis and Microsporum ■ 73. In paragraph (b) of § 526.1696d, infusion. gypseum. remove ‘‘000009’’ and in its place add * * * * * (3) Limitations. Federal law restricts ‘‘054771’’. this drug to use by or on the order of (b) Sponsors. See Nos. 000061, a licensed veterinarian. § 526.1810 [Amended] 000859, 054628, 054771, 057561, 058005, and 061623 in § 510.600(c) of ■ 65. Revise § 524.2620 to read as ■ 74. In paragraph (b) of § 526.1810, this chapter. follows: remove ‘‘000009’’ and in its place add ‘‘054771’’. * * * * * § 524.2620 Liquid crystalline trypsin, Peru ■ balsam, castor oil. 82. In § 529.1044b, revise the section PART 529—CERTAIN OTHER DOSAGE heading and paragraph (c) to read as (a) Specifications—(1) Each gram of FORM NEW ANIMAL DRUGS follows: liquid or aerosol contains 0.12 milligram of crystalline trypsin, 87.0 ■ 75. The authority citation for 21 CFR § 529.1044b Gentamicin solution for milligrams of Peru balsam, and 788.0 dipping eggs. part 529 continues to read as follows: milligrams of castor oil. * * * * * (2) Each gram of liquid or aerosol Authority: 21 U.S.C. 360b. (c) Conditions of use in turkeys—(1) contains 0.1 milligram of crystalline ■ 76. In § 529.40, remove paragraph (c); Amount. The drug is added to clean trypsin, 72.5 milligrams of Peru balsam, redesignate paragraph (d) as paragraph water to provide a dip solution with a and 800 milligrams of castor oil. (c); and revise newly redesignated gentamicin concentration of 250 to (b) Sponsors. See sponsor numbers in paragraph (c)(3) to read as follows: 1,000 parts per million. A concentration § 510.600(c) of this chapter for use as in of 500 parts per million is paragraph (c) in this section: § 529.40 Albuterol. recommended. Clean eggs should be (1) No. 051079 for use of product * * * * * held submerged in the gentamicin described in paragraph (a)(1). (c) * * * (2) No. 017135 for use of product solution under a vacuum of about 27.5 described in paragraph (a)(2). (3) Not for use in horses intended for to 38 centimeters of mercury for 5 (c) Conditions of use—(1) Amount. food. Federal law restricts this drug to minutes followed by additional soaking Apply directly to the wound site. use by or on the order of a licensed in gentamicin solution for (2) Indications for use. As an aid in veterinarian. approximately 10 minutes at atmospheric pressure. Eggs can also be the treatment of external wounds and § 529.56 [Amended] assists healing by facilitating the treated by warming them for 3 to 6 ° removal of necrotic tissue, exudate, and ■ 77. In paragraph (b) of § 529.56, hours at approximately 100 F then organic debris. remove ‘‘000856 and 000859’’ and in its immediately submerging them in place add ‘‘000859 and 054771’’. gentamicin solution maintained at about PART 526—INTRAMAMMARY DOSAGE 40 °F, keeping the eggs submerged for FORM NEW ANIMAL DRUGS § 529.400 [Amended] 10 to 15 minutes. ■ (2) Indications for use. As an aid in ■ 78. In § 529.400, revise the section 66. The authority citation for 21 CFR heading; in paragraph (b), remove the reduction or elimination of the part 526 continues to read as follows: ‘‘000856’’ and in its place add following microorganisms from turkey- Authority: 21 U.S.C. 360b. ‘‘054771’’; and in paragraphs (c)(1), hatching eggs: Arizona hinshawii (c)(2), and (c)(3), remove the footnote. (paracolon), Salmonella Saintpaul, and § 526.313 [Amended] Mycoplasma meleagridis. ■ 79. Add § 529.778 to read as follows: ■ 67. In paragraph (b) of § 526.313, (3) Limitations. For use in the dipping remove ‘‘000009’’ and in its place add § 529.778 Doxycycline. treatment of turkey-hatching eggs only. ‘‘054771’’. (a) Specifications. Doxycycline Eggs which have been dipped in the drug shall not be used for food. § 526.464a [Amended] hyclate solution contains 8.5 percent doxycycline activity. A syringe of N- ■ 83. In § 529.1115, remove the footnote ■ 68. In § 526.464a, remove paragraph methyl-2-pyrrolidone and poly (DL- in paragraphs (c)(1), (c)(2), and (c)(3); (d). lactide) mixed with a syringe of and revise paragraphs (b) and (c)(3) to § 526.464d [Removed] doxycycline produces 0.5 milliliter of read as follows: ■ 69. Remove § 526.464d. solution. § 529.1115 Halothane. (b) Sponsor. See 054771 in § 526.820 [Amended] * * * * * § 510.600(c) of this chapter. (b) Sponsor. See Nos. 012164 and ■ 70. In paragraph (b) of § 526.820, (c) Conditions of use in dogs—(1) 054771 in § 510.600(c) of this chapter. remove ‘‘No. 061623’’ and in its place Amount. Apply subgingivally to (c) * * * add ‘‘Nos. 054771 and 061623’’. periodontal pocket(s) of affected teeth. (3) Limitations. Not for use in animals ■ 71. In § 526.1130, revise the section (2) Indications for use. For treatment intended for food. Federal law restricts heading to read as set forth below: and control of periodontal disease. this drug to use by or on the order of (3) Limitations. Federal law restricts a licensed veterinarian. § 529.1130 Hetacillin infusion. this drug to use by or on the order of * * * * * a licensed veterinarian. § 529.1660 [Amended] ■ 72. In § 526.1590, in paragraphs (a)(2) ■ 84. In § 529.1660, in paragraph (b)(1), § 529.1044 [Amended] and (b)(2), remove ‘‘000009’’ and in its remove ‘‘046573’’ and in its place add place add ‘‘054771’’; and revise the ■ 80. In § 529.1044, remove the word ‘‘054771’’; and in paragraph (b)(2), section heading to read as follows: ‘‘sulfate’’ in the section heading. remove ‘‘000069, 048164, and 059130’’

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and in its place add ‘‘048164, 054771, specific lots of fish under prevailing animal drug regulations to reflect the and 061623’’. conditions. withdrawal approval of 69 new animal (ii) Amphibians and other aquatic drug applications (NADAs) and 22 § 529.1940 [Amended] coldblooded animals. The drug is added abbreviated new animal drug ■ 85. In paragraph (b) of § 529.1940, to ambient water in concentrations of applications (ANADAs) for use of remove ‘‘000009’’ and in its place add from 1:1000 to 1:20,000 depending upon arsanilic acid, carbarsone, or roxarsone ‘‘054771’’. species and stage of development. Type A medicated articles to ■ 86. Revise § 529.2464 to read as (2) Indications for use. For the manufacture combination drug Type B follows: temporary immobilization of fish, and Type C medicated feeds. This amphibians, and other aquatic action is being taken at the sponsor’s § 529.2464 Ticarcillin. coldblooded animals (poikilotherms) as request because the products are no (a) Specifications. Each vial contains an aid in handling during manual longer manufactured or marketed. ticarcillin disodium powder equivalent spawning (fish stripping), weighing, to 6 grams of ticarcillin for measuring, marking, surgical operations, DATES: Withdrawal of approval is reconstitution with 25 milliliters of transport, photography, and research. effective March 10, 2014. (3) Limitations. Do not use within 21 sterile water for injection or sterile FOR FURTHER INFORMATION CONTACT: John days of harvesting fish for food. Use in physiological saline. Bartkowiak, Center for Veterinary fish intended for food should be (b) Sponsor. See No. 054771 in Medicine (HFV–212), Food and Drug restricted to Ictaluridae, Salmonidae, § 510.600(c) of this chapter. Administration, 7519 Standish Pl., Esocidae, and Percidae, and water (c) Conditions of use in horses—(1) Rockville, MD 20855, 240–276–9079, temperature exceeding 10 °C (50 °F). In Amount. Administer 6 grams daily by [email protected]. intrauterine infusion for 3 consecutive other fish and in coldblooded animals, days during estrus. the drug should be limited to hatchery SUPPLEMENTARY INFORMATION: Recently, (2) Indications for use. For the or laboratory use. the Agency provided notice of the treatment of endometritis caused by Dated: January 27, 2014. withdrawal of approval of NADAs for beta-hemolytic streptococci. Bernadette Dunham, Type A medicated articles containing (3) Limitations. Do not use in horses Director, Center for Veterinary Medicine. arsanilic acid, carbarsone, and intended for human consumption. roxarsone and revoked applicable Federal law restricts this drug to use by [FR Doc. 2014–01958 Filed 2–26–14; 8:45 am] regulations for their conditions of use to or on the order of a licensed BILLING CODE 4160–01–P manufacture single-ingredient veterinarian. medicated feeds in 21 CFR part 558 New ■ 87. Revise § 529.2503 to read as DEPARTMENT OF HEALTH AND Animal Drugs For Use in Animal Feeds follows: HUMAN SERVICES (78 FR 70062, November 22, 2013; 78 FR 69992, November 22, 2013; 78 FR § 529.2503 Tricaine methanesulfonate. Food and Drug Administration 70566, November 26, 2013; 78 FR (a) Specifications. The drug is ethyl- 70496, November 26, 2013). m-amino-benzoate methanesulfonate. 21 CFR Parts 556 and 558 (b) Sponsor. See Nos. 050378 and Subsequently, the following six 051212 in § 510.600(c) of this chapter. [Docket No. FDA–2014–N–0002] sponsors of NADAs and ANADAs (c) Conditions of use—(1) Amount. It permitting use of arsanilic acid, is used as follows: Zoetis Inc., et al.; Withdrawal of carbarsone, or roxarsone Type A (i) Fish. The drug is added to ambient Approval of New Animal Drug medicated articles to manufacture water at a concentration of from 15 to Applications for Combination Drug combination drug Type B and Type C 330 milligrams per liter depending upon Medicated Feeds Containing an medicated feeds requested that FDA the degree of anesthetization or sedation Arsenical Drug withdraw approval of their applications because these combination medicated desired, the species and size of the fish, AGENCY: Food and Drug Administration, feeds are no longer manufactured or and the temperature and softness of the HHS. water. Preliminary tests of solutions marketed. ACTION: Notification of withdrawal of • must be made with small numbers of approval. Zoetis Inc., 333 Portage St., fish to determine the desired rates of Kalamazoo, MI 49007 has requested that sedation or anesthesia and the SUMMARY: The Food and Drug FDA withdraw approval of the appropriate exposure times for the Administration (FDA) is amending the following 39 NADAs and 11 ANADAs:

NADA/ANADA Ingredient new animal drugs

040–435 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate). 041–178 ...... Roxarsone/AMPROL Plus (amprolium and ethopabate)/LINCOMIX (lincomycin). 041–984 ...... Roxarsone/ROFENAID (sulfadimethoxine/ormetoprim). 091–326 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate)/ALBAC (bacitracin zinc). 092–522 ...... Roxarsone/COBAN (monensin)/LINCOMIX (lincomycin). 095–546 ...... Roxarsone/ROBENZ (robenidine). 102–485 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid). 105–758 ...... 3–NITRO (roxarsone)/AMPROL HI–E (amprolium and ethopabate)/BACIFERM (bacitracin zinc). 112–661 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/LINCOMIX (lincomycin). 112–687 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/FLAVOMYCIN (bambermycins). 116–082 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/BMD (bacitracin MD). 116–088 ...... 3–NITRO (roxarsone)/COBAN (monensin)/BMD (bacitracin MD). 123–154 ...... 3–NITRO (roxarsone)/BACIFERM (bacitracin zinc)/COBAN (monensin). 126–052 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/BACIFERM (bacitracin zinc). 131–894 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/bacitracin MD. 132–447 ...... Roxarsone/BIO–COX (salinomycin).

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NADA/ANADA Ingredient new animal drugs

134–185 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/FLAVOMYCIN (bambermycins). 135–321 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BMD (bacitracin MD). 137–536 ...... 3–NITRO (roxarsone)/BIO–COX/ALBAC (bacitracin zinc). 138–703 ...... 3–NITRO (roxarsone)/COBAN (monensin)/ALBAC (bacitracin zinc). 139–190 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BACIFERM (bacitracin zinc). 140–581 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/LINCOMIX (lincomycin). 140–852 ...... 3–NITRO (roxarsone)/MONTEBAN/BMD (bacitracin MD). 140–867 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/AUREOMYCIN (chlortetracycline). 141–100 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate)/BMD (bacitracin MD). 141–112 ...... 3–NITRO (roxarsone)/MAXIBAN (narasin and nicarbazin)/BMD (bacitracin MD). 141–121 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BMD (bacitracin MD). 141–131 ...... 3–NITRO (roxarsone)/ZOAMIX (zoalene)/BMD (bacitracin MD). 141–135 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin). 141–138 ...... 3–NITRO (roxarsone)/COBAN (monensin)/BMD (bacitracin MD). 141–139 ...... 3–NITRO (roxarsone)/COBAN (monensin). 141–142 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/BMD (bacitracin MD). 141–155 ...... 3–NITRO (roxarsone)/ROBENZ (robenidine)/BMD (bacitracin MD). 141–157 ...... 3–NITRO (roxarsone)/STENOROL (halofuginone). 141–223 ...... 3–NITRO (roxarsone)/CLINACOX (diclazuril). 141–293 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid). 200–206 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/DECCOX (decoquinate). 200–207 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/COYDEN 25 (clopidol). 200–208 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AVATEC (lasalocid). 200–209 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/SACOX (salinomycin). 200–214 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AMPROL HI–E (amprolium and ethopabate). 200–211 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/COBAN (monensin). 200–215 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/BIO–COX (salinomycin). 200–217 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AMPROL HI–E (amprolium and ethopabate). 200–259 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/CHLORMAX (chlortetracycline). 200–260 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/CHLORMAX (chlortetracycline). 038–879 ...... CARB–O–SEP (carbarsone)/ZOAMIX (zoalene). 039–646 ...... CARB–O–GAIN (carbarsone)/BMD (bacitracin MD). 136–484 ...... CARB–O–SEP (carbarsone)/BACIFERM (bacitracin zinc). 200–203 ...... CARB–O–SEP (carbarsone)/ALBAC (bacitracin zinc).

• Huvepharma AD, 5th Floor, 3A approval of the following 16 NADAs Nikolay Haitov Str., 1113 Sofia, Bulgaria and 8 ANADAs: has requested that FDA withdraw

NADA/ANADA Ingredient new animal drugs

013–461 ...... 3–NITRO (roxarsone)/AMPROL Plus (amprolium and ethopabate). 040–264 ...... 3–NITRO (roxarsone)/COYDEN 25 (clopidol). 041–541 ...... 3–NITRO (roxarsone)/COYDEN 25 (clopidol)/BMD (bacitracin MD). 044–016 ...... Roxarsone/bacitracin Zinc/COYDEN 25 (clopidol). 049–179 ...... Roxarsone/AMPROL HI–E (amprolium and ethopabate). 049–180 ...... Roxarsone/AMPROL HI–E (amprolium and ethopabate)/BMD (bacitracin MD). 095–547 ...... 3–NITRO (roxarsone)/AMPROL HI–E (amprolium and ethopabate)/FLAVOMYCIN (bambermycins). 095–548 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/FLAVOMYCIN (bambermycins). 095–549 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/FLAVOMYCIN (bambermycins). 098–341 ...... 3–NITRO (roxarsone)/COBAN (monensin)/FLAVOMYCIN (bambermycins). 101–628 ...... 3–NITRO (roxarsone)/FLAVOMYCIN (bambermycins)/zoalene. 140–533 ...... 3–NITRO (roxarsone)/STENOROL (halofuginone)/BMD (bacitracin MD). 140–843 ...... 3–NITRO (roxarsone)/MONTEBAN (narasin)/FLAVOMYCIN (bambermycins). 141–190 ...... 3–NITRO (roxarsone)/CLINICOX (diclazuril)/BMD (bacitracin MD). 200–080 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/FLAVOMYCIN (bambermycins). 200–081 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/BMD (bacitracin MD). 200–086 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/ALBAC (bacitracin zinc). 200–090 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/LINCOMIX (lincomycin). 200–091 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/AUREOMYCIN (chlortetracycline). 200–094 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/STAFAC (virginiamycin). 200–097 ...... 3–NITRO (roxarsone)/SACOX (salinomycin). 200–143 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/BACIFERM (bacitracin zinc). 118–507 ...... CARB–O–SEP (carbarsone)/AMPROL (amprolium). 130–661 ...... CARB–O–SEP (carbarsone)/FLAVOMYCIN (bambermycins).

• Phibro Animal Health Corp., Frank W. Burr Blvd., suite 21, Teaneck, withdraw approval of the following GlenPointe Centre East, 3d floor, 300 NJ 07666 has requested that FDA seven NADAs and two ANADAs:

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NADA/ANADA Ingredient new animal drugs

107–997 ...... Roxarsone/NICARB (nicarbazin)/LINCOMIX (lincomycin). 108–115 ...... Roxarsone/NICARB (nicarbazin). 120–724 ...... 3–NITRO (roxarsone)/STAFAC (virginiamycin)/COBAN (monensin). 138–953 ...... 3–NITRO (roxarsone)/STAFAC (virginiamycin)/BIO–COX (salinomycin). 141–058 ...... 3–NITRO (roxarsone)/AVIAX (semduramycin)/BMD (bacitracin MD). 141–066 ...... 3–NITRO (roxarsone)/AVIAX (semduramycin). 141–226 ...... Roxarsone/AVIAX (semduramycin)/STAFAC (virginiamycin). 200–170 ...... 3–NITRO (roxarsone)/NICARMIX 25 (nicarbazin)/LINCOMIX (lincomycin). 200–172 ...... 3–NITRO (roxarsone)/NICARMIX 25 (nicarbazin).

• Elanco Animal Health, A Division that FDA withdraw approval of the of Eli Lilly & Co., Lilly Corporate Center, following four NADAs: Indianapolis, IN 46285 has requested

NADA Ingredient new animal drugs

041–500 ...... 3–NITRO (roxarsone)/COBAN (monensin). 049–464 ...... Roxarsone/monensin/bacitracin. 140–445 ...... Roxarsone/MONTEBAN (narasin). 141–113 ...... 3–NITRO (roxarsone)/MAXIBAN (narasin and nicarbazin).

• Cross Vetpharm Group Ltd., withdraw approval of the following Broomhill Road, Tallaght, Dublin 24, three NADAs: Ireland, has requested that FDA

NADA Ingredient new animal drugs

038–241 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin)/zoalene. 038–242 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin)/amprolium and ethopabate. 038–624 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin).

• Pennfield Oil Co., 14040 Industrial that FDA withdraw approval of the Rd., Omaha, NE 68144 has requested following ANADA:

ANADA Ingredient new animal drugs

200–355 ...... 3–NITRO (roxarsone)/PENNCHLOR (chlortetracycline)/BIO–COX (salinomycin).

Therefore, under authority delegated DEPARTMENT OF HEALTH AND arsanilic acid, carbarsone, or roxarsone to the Commissioner of Food and Drugs HUMAN SERVICES Type A medicated articles to and redelegated to the Center for manufacture combination drug Type B Veterinary Medicine, and in accordance Food and Drug Administration and Type C medicated feeds. This with 21 CFR 514.116 Notice of action is being taken at the sponsor’s withdrawal of approval of application, 21 CFR Parts 556 and 558 request because the products are no notice is given that approval of the [Docket No. FDA–2014–N–0002] longer manufactured or marketed. FDA NADAs and ANADAs listed in this is also amending the animal drug document, and all supplements and Zoetis Inc., et al.; Withdrawal of regulations to remove entries describing amendments thereto, is hereby Approval of New Animal Drug conditions of use for combination drug withdrawn, effective March 10, 2014. Applications for Combination Drug medicated feeds for which no NADA is Medicated Feeds Containing an approved. This action is being taken to Elsewhere in this issue of the Federal Arsenical Drug improve the accuracy of the regulations. Register, FDA is amending the animal DATES: This rule is effective March 10, AGENCY: Food and Drug Administration, drug regulations to reflect the voluntary 2014. withdrawal of approval of these HHS. FOR FURTHER INFORMATION CONTACT: John applications. ACTION: Final rule; technical Bartkowiak, Center for Veterinary amendments. Dated: February 3, 2014. Medicine (HFV–212), Food and Drug Bernadette Dunham, SUMMARY: The Food and Drug Administration, 7519 Standish Pl., Director, Center for Veterinary Medicine. Administration (FDA) is amending the Rockville, MD 20855, 240–276–9079, [FR Doc. 2014–02616 Filed 2–26–14; 8:45 am] animal drug regulations to reflect the [email protected]. SUPPLEMENTARY INFORMATION: BILLING CODE 4160–01–P withdrawal of approval of 69 new Recently, animal drug applications (NADAs) and the Agency provided notice of the 22 abbreviated new animal drug withdrawal of approval of NADAs for applications (ANADAs) for use of Type A medicated articles containing

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arsanilic acid, carbarsone, and 69992, Nov. 22, 2013; 78 FR 70566, Nov. withdraw approval of their applications roxarsone and revoked applicable 26, 2013; 78 FR 70496, Nov. 26, 2013). because these combination medicated regulations for their conditions of use to Subsequently, the following six feeds are no longer manufactured or manufacture single-ingredient sponsors of NADAs and ANADAs marketed. medicated feeds in 21 CFR part 558 New permitting use of arsanilic acid, • carbarsone, or roxarsone Type A Zoetis Inc., 333 Portage St., Animal Drugs For Use in Animal Feeds Kalamazoo, MI 49007 has requested that (78 FR 70062, Nov. 22, 2013; 78 FR medicated articles to manufacture combination drug Type B and Type C FDA withdraw approval of the medicated feeds requested that FDA following 39 NADAs and 11 ANADAs:

NADA/ANADA Ingredient new animal drugs

040–435 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate). 041–178 ...... Roxarsone/AMPROL Plus (amprolium and ethopabate)/LINCOMIX (lincomycin). 041–984 ...... Roxarsone/ROFENAID (sulfadimethoxine/ormetoprim). 091–326 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate)/ALBAC (bacitracin zinc). 092–522 ...... Roxarsone/COBAN (monensin)/LINCOMIX (lincomycin). 095–546 ...... Roxarsone/ROBENZ (robenidine). 102–485 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid). 105–758 ...... 3–NITRO (roxarsone)/AMPROL HI–E (amprolium and ethopabate)/BACIFERM (bacitracin zinc). 112–661 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/LINCOMIX (lincomycin). 112–687 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/FLAVOMYCIN (bambermycins). 116–082 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/BMD (bacitracin MD). 116–088 ...... 3–NITRO (roxarsone)/COBAN (monensin)/BMD (bacitracin MD). 123–154 ...... 3–NITRO (roxarsone)/BACIFERM (bacitracin zinc)/COBAN (monensin). 126–052 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/BACIFERM (bacitracin zinc). 131–894 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid)/bacitracin MD. 132–447 ...... Roxarsone/BIO–COX (salinomycin). 134–185 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/FLAVOMYCIN (bambermycins). 135–321 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BMD (bacitracin MD). 137–536 ...... 3–NITRO (roxarsone)/BIO–COX/ALBAC (bacitracin zinc). 138–703 ...... 3–NITRO (roxarsone)/COBAN (monensin)/ALBAC (bacitracin zinc). 139–190 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BACIFERM (bacitracin zinc). 140–581 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/LINCOMIX (lincomycin). 140–852 ...... 3–NITRO (roxarsone)/MONTEBAN/BMD (bacitracin MD). 140–867 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/AUREOMYCIN (chlortetracycline). 141–100 ...... 3–NITRO (roxarsone)/DECCOX (decoquinate)/BMD (bacitracin MD). 141–112 ...... 3–NITRO (roxarsone)/MAXIBAN (narasin and nicarbazin)/BMD (bacitracin MD). 141–121 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/BMD (bacitracin MD). 141–131 ...... 3–NITRO (roxarsone)/ZOAMIX (zoalene)/BMD (bacitracin MD). 141–135 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin). 141–138 ...... 3–NITRO (roxarsone)/COBAN (monensin)/BMD (bacitracin MD). 141–139 ...... 3–NITRO (roxarsone)/COBAN (monensin). 141–142 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/BMD (bacitracin MD). 141–155 ...... 3–NITRO (roxarsone)/ROBENZ (robenidine)/BMD (bacitracin MD). 141–157 ...... 3–NITRO (roxarsone)/STENOROL (halofuginone). 141–223 ...... 3–NITRO (roxarsone)/CLINACOX (diclazuril). 141–293 ...... 3–NITRO (roxarsone)/AVATEC (lasalocid). 200–206 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/DECCOX (decoquinate). 200–207 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/COYDEN 25 (clopidol). 200–208 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AVATEC (lasalocid). 200–209 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/SACOX (salinomycin). 200–214 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AMPROL HI–E (amprolium and ethopabate). 200–211 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/COBAN (monensin). 200–215 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/BIO–COX (salinomycin). 200–217 ...... 3–NITRO (roxarsone)/ALBAC (bacitracin zinc)/AMPROL HI–E (amprolium and ethopabate). 200–259 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/CHLORMAX (chlortetracycline). 200–260 ...... 3–NITRO (roxarsone)/BIO–COX (salinomycin)/CHLORMAX (chlortetracycline). 038–879 ...... CARB–O–SEP (carbarsone)/ZOAMIX (zoalene). 039–646 ...... CARB–O–GAIN (carbarsone)/BMD (bacitracin MD). 136–484 ...... CARB–O–SEP (carbarsone)/BACIFERM (bacitracin zinc). 200–203 ...... CARB–O–SEP (carbarsone)/ALBAC (bacitracin zinc).

• Huvepharma AD, 5th Floor, 3A withdraw approval of the following 16 Nikolay Haitov Str., 1113 Sofia, NADAs and 8 ANADAs: Bulgaria, has requested that FDA

NADA/ANADA Ingredient new animal drugs

013–461 ...... 3–NITRO (roxarsone)/AMPROL Plus (amprolium and ethopabate). 040–264 ...... 3–NITRO (roxarsone)/COYDEN 25 (clopidol). 041–541 ...... 3–NITRO (roxarsone)/COYDEN 25 (clopidol)/BMD (bacitracin MD). 044–016 ...... Roxarsone + bacitracin Zinc/COYDEN 25 (clopidol).

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NADA/ANADA Ingredient new animal drugs

049–179 ...... Roxarsone/AMPROL HI–E (amprolium and ethopabate). 049–180 ...... Roxarsone/AMPROL HI–E (amprolium and ethopabate)/BMD (bacitracin MD). 095–547 ...... 3–NITRO (roxarsone)/AMPROL HI–E (amprolium and ethopabate)/FLAVOMYCIN (bambermycins). 095–548 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/FLAVOMYCIN (bambermycins). 095–549 ...... 3–NITRO (roxarsone)/AMPROL (amprolium)/FLAVOMYCIN (bambermycins). 098–341 ...... 3–NITRO (roxarsone)/COBAN (monensin)/FLAVOMYCIN (bambermycins). 101–628 ...... 3–NITRO (roxarsone)/FLAVOMYCIN (bambermycins)/zoalene. 140–533 ...... 3–NITRO (roxarsone)/STENOROL (halofuginone)/BMD (bacitracin MD). 140–843 ...... 3–NITRO (roxarsone)/MONTEBAN (narasin)/FLAVOMYCIN (bambermycins). 141–190 ...... 3–NITRO (roxarsone)/LINICOX (diclazuril)/BMD (bacitracin MD). 200–080 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/FLAVOMYCIN (bambermycins). 200–081 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/BMD (bacitracin MD). 200–086 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/ALBAC (bacitracin zinc). 200–090 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/LINCOMIX (lincomycin). 200–091 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/AUREOMYCIN (chlortetracycline). 200–094 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/STAFAC (virginiamycin). 200–097 ...... 3–NITRO (roxarsone)/SACOX (salinomycin). 200–143 ...... 3–NITRO (roxarsone)/SACOX (salinomycin)/BACIFERM (bacitracin zinc). 118–507 ...... CARB–O–SEP (carbarsone)/AMPROL (amprolium). 130–661 ...... CARB–O–SEP (carbarsone)/FLAVOMYCIN (bambermycins).

• Phibro Animal Health Corp., Frank W. Burr Blvd., suite 21, Teaneck, withdraw approval of the following GlenPointe Centre East, 3d floor, 300 NJ 07666 has requested that FDA seven NADAs and two ANADAs:

NADA/ANADA Ingredient new animal drugs

107–997 ...... Roxarsone/NICARB (nicarbazin)/LINCOMIX (lincomycin). 108–115 ...... Roxarsone/NICARB (nicarbazin). 120–724 ...... 3–NITRO (roxarsone)/STAFAC (virginiamycin)/COBAN (monensin). 138–953 ...... 3–NITRO (roxarsone)/STAFAC (virginiamycin)/BIO–COX (salinomycin). 141–058 ...... 3–NITRO (roxarsone)/AVIAX (semduramycin)/BMD (bacitracin MD). 141–066 ...... 3–NITRO (roxarsone)/AVIAX (semduramycin). 141–226 ...... Roxarsone/AVIAX (semduramycin)/STAFAC (virginiamycin). 200–170 ...... 3–NITRO (roxarsone)/NICARMIX 25 (nicarbazin)/LINCOMIX (lincomycin). 200–172 ...... 3–NITRO (roxarsone)/NICARMIX 25 (nicarbazin).

• Elanco Animal Health, A Division that FDA withdraw approval of the of Eli Lilly & Co., Lilly Corporate Center, following four NADAs: Indianapolis, IN 46285 has requested

NADA Ingredient new animal drugs

041–500 ...... 3–NITRO (roxarsone)/COBAN (monensin). 049–464 ...... Roxarsone/monensin/bacitracin. 140–445 ...... Roxarsone/MONTEBAN (narasin). 141–113 ...... 3–NITRO (roxarsone)/MAXIBAN (narasin and nicarbazin).

• Cross Vetpharm Group Ltd., withdraw approval of the following Broomhill Rd., Tallaght, Dublin 24, three NADAs: Ireland, has requested that FDA

NADA Ingredient new animal drugs

038–241 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin)/zoalene. 038–242 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin)/amprolium + ethopabate. 038–624 ...... PRO–GEN (arsanilic acid)/ERYTHRO (erythromycin).

• Pennfield Oil Co., 14040 Industrial that FDA withdraw approval of the Rd., Omaha, NE 68144 has requested following ANADA:

NADA Ingredient new animal drugs

200–355 ...... 3–NITRO (roxarsone)/PENNCHLOR (chlortetracycline)/BIO–COX (salinomycin).

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Elsewhere in this issue of the Federal congressional review requirements in 5 (c) Related conditions of use. See Register, FDA gave notice that approval U.S.C. 801–808. § 558.369 of this chapter. of these NADAs and ANADAs, and all List of Subjects supplements and amendments thereto, PART 558—NEW ANIMAL DRUGS FOR is withdrawn, effective March 10, 2014. 21 CFR Parts 556 USE IN ANIMAL FEEDS As provided in the regulatory text of Animal drugs, Food. ■ 3. The authority citation for 21 CFR this document, the animal drug part 558 continues to read as follows: regulations are amended to reflect these 21 CFR Parts 558 voluntary withdrawals of approval. Animal drugs, Animal feeds. Authority: 21 U.S.C. 360b, 371. In addition, FDA has noticed that Therefore, under the Federal Food, § 558.4 [Amended] certain sections in part 558 contain Drug, and Cosmetic Act and under ■ 4. In § 558.4, in paragraph (d), in the entries describing conditions of use for authority delegated to the Commissioner ‘‘Category II’’ table: combination drug medicated feeds for of Food and Drugs and redelegated to ■ a. Remove the entries for ‘‘Arsanilate which no NADA is approved. These the Center for Veterinary Medicine, 21 acid’’, ‘‘Carbarsone’’, and errors were introduced by the Agency CFR parts 556 and 558 are amended as ‘‘Sulfaquinoxaline’’; during the 1976 recodification of certain follows: ■ b. Remove the row entries under food additive regulations (41 FR 10984, ‘‘Nitarsone’’ for ‘‘Sulfanitran’’ and March 15, 1976). That rule did not PART 556—TOLERANCES FOR RESIDUES OF NEW ANIMAL DRUGS ‘‘Roxarsone’’. identify whether particular regulations IN FOOD ■ c. Remove the four entries for were the subject of an approved NADA ‘‘Roxarsone’’ and their respective and consequently resulted in ■ 1. The authority citation for 21 CFR following row entries; and codification of certain conditions of use part 556 continues to read as follows: ■ d. In the fourth entry for for which there is no approved NADA. Authority: 21 U.S.C. 342, 360b, 371. ‘‘Sulfamethazine,’’ remove its three At this time, the Agency is amending following row entries for ‘‘Aklomide’’ ■ 2. Revise § 556.60 to read as follows: the regulations to remove entries that and two following row entries for describe conditions of use for § 556.60 Arsenic. ‘‘Roxarsone’’. combination drug medicated feeds for ■ which no NADA is approved. This (a) [Reserved] 5. In § 558.55, revise paragraphs (d)(1) (b) Tolerances. The tolerances for action is being taken to improve the through (3) and add paragraph (d)(4) to total residue of combined arsenic accuracy of the regulations. read as follows: (calculated as As) are: This rule does not meet the definition (1) Turkeys—(i) Muscle and eggs: 0.5 § 558.55 Amprolium. of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because parts per million (ppm). * * * * * it is a rule of ‘‘particular applicability.’’ (ii) Other edible tissues: 2 ppm. (d) * * * Therefore, it is not subject to the (2) [Reserved] (1) Cattle. It is used as follows:

Amprolium in grams per ton Indications for use Limitations Sponsor

(i) 113.5 to 11, 350; to Calves: As an aid in the prevention of coccidiosis Top-dress on or mix in the daily ration. Feed for 016592 provide 5 milligrams per caused by Eimeria bovis and E. zuernii. 21 days when experience indicates that coccidi- kilogram of body weight osis is likely to be a hazard, as the sole source per day. of amprolium. Withdraw 24 hours before slaugh- ter. A withdrawal period has not been estab- lished for this product in preruminating calves. Do not use in calves to be processed for veal. (ii) 113.5 to 11, 350; to Calves: As an aid in the treatment of coccidiosis Top-dress on or mix in the daily ration. Feed for 5 016592 provide 10 milligrams caused by Eimeria bovis and E. zuernii. days as the sole source of amprolium. Withdraw per kilogram of body 24 hours before slaughter. A withdrawal period weight per day. has not been established for this product in preruminating calves. Do not use in calves to be processed for veal.

(2) Chickens. It is used as follows:

Amprolium in grams Combination in per ton grams per ton Indications for use Limitations Sponsor

(i) 36.3 to 113.5 ...... Replacement chickens: For development Feed continuously until onset of produc- 016592 of active immunity to coccidiosis. tion as follows:

Up to 5 weeks of age From 5 to 8 weeks of Over 8 weeks of age age Growing conditions Amprolium in grams Amprolium in grams Amprolium in grams per ton per ton per ton

Severe exposure to coccidiosis ...... 113.5 72.6–113.5 36.3–113.5 (0.0125%) (0.008%–0.0125%) (0.004%–0.0125%) Moderate exposure to coccidiosis ...... 72.6–113.5 54.5–113.5 36.3–113.5

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Up to 5 weeks of age From 5 to 8 weeks of Over 8 weeks of age age Growing conditions Amprolium in grams Amprolium in grams Amprolium in grams per ton per ton per ton

(0.008%–0.0125%) (0.006%–0.0125%) (0.004%–0.0125%) Slight exposure to coccidiosis ...... 36.3–113.5 36.3–113.5 36.3–113.5 (0.004%–0.0125%) (0.004%–0.0125%) (0.004%–0.0125%)

Amprolium in grams Combination in per ton grams per ton Indications for use Limitations Sponsor

(ii) 36.3 to 113.5 ...... Bacitracin methylene Replacement chickens: For development Feed according to subtable in item (i). 054771 disalicylate 4 to 50. of active immunity to coccidiosis; and Bacitracin methylene disalicylate as for increased rate of weight gain and provided by No. 054771 in § 510.600(c) improved feed efficiency. of this chapter. (iii) 72.6 to 113.5 ...... Broiler chickens: For prevention of coc- Feed continuously as the sole ration; as 016592 cidiosis caused by Eimeria tenella only. sole source of amprolium. (iv) 72.6 to 113.5 ..... Bambermycins 1 to Broiler chickens: For prevention of coc- Feed continuously as the sole ration; as 016592 2. cidiosis caused by Eimeria tenella only; sole source of amprolium. and for increased rate of weight gain Bambermycins as provided by No. and improved feed efficiency. 016592 in § 510.600(c) of this chapter. (v) 113.5...... 1. Laying chickens: For prevention of Feed continuously as the sole ration; as 016592 coccidiosis. the sole source of amprolium. 2. Laying chickens: For treatment of coc- Feed for 2 weeks. cidiosis in moderate outbreaks. (vi) 113.5 to 227 ...... 1. Replacement chickens: For prevention Feed continuously from day-old until 016592 of coccidiosis where immunity to coc- onset of production; as the sole source cidiosis is not desired. of amprolium. 2. Broiler chickens: For prevention of coc- Feed continuously as the sole ration; as cidiosis where immunity to coccidiosis sole source of amprolium. is not desired. (vii) 113.5 to 227 ..... Bambermycins 1 to Broiler chickens: For prevention of coc- Feed continuously as the sole ration; as 016592 2. cidiosis where immunity to coccidiosis sole source of amprolium. is not desired; and for increased rate of Bambermycins as provided by No. weight gain and improved feed effi- 016592 in § 510.600(c) of this chapter. ciency. (viii) 227 ...... Laying chickens: For treatment of coccidi- Feed for 2 weeks ...... 016592 osis in severe outbreaks..

(3) Turkeys. It is used as follows:

Amprolium in grams Combination in per ton grams per ton Indications for use Limitations Sponsor

(i) 113.5 ...... Bambermycins 1 to Growing turkeys: For prevention of coc- Feed continuously as the sole source of 016592 4. cidiosis; and for increased rate of amprolium; bambermycins as provided weight gain and improved feed effi- by No. 016592 in § 510.600(c) of this ciency. chapter. (ii) 113.5 to 227 ...... Turkeys: For prevention of coccidiosis ..... Feed continuously as the sole ration; as 016592 sole source of amprolium.

(4) Pheasants. It is used as follows:

Amprolium in grams Combination in per ton grams per ton Indications for use Limitations Sponsor

(i) 159 ...... Growing pheasants: For the prevention of Feed continuously as sole ration. Use as 016592 coccidiosis caused by Eimeria colchici, sole source of amprolium. E. duodenalis, and E. phasiani. (ii) [Reserved]

■ 6. In § 558.58, revise paragraph (e) to § 558.58 Amprolium and ethopabate. (e) Conditions of use. It is used in read as follows: * * * * * chicken feed as follows:

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Amprolium and ethopabate in grams Combination in Indications for use Limitations Sponsor per ton grams per ton

(1) Amprolium 113.5 ...... Broiler chickens: As an aid in the preven- Feed continuously as sole ration; as sole 016592 and ethopabate tion of coccidiosis. source of amprolium. Not for laying 3.6. chickens. (2) Amprolium 113.5 Lincomycin 2 to 4 .... Broiler chickens: As an aid in the preven- Feed continuously as sole ration; as sole 054771 and ethopabate tion of coccidiosis; for increased rate of source of amprolium. Not for laying 3.6. weight gain and improved feed effi- chickens. ciency. Lincomycin as provided by No. 054771 in § 510.600(c) of this chapter. (3) Amprolium 113.5 ...... Broiler chickens and replacement chick- Feed continuously as sole ration; as sole 016592 and ethopabate ens: where immunity to coccidiosis is source of amprolium. Not for chickens 36.3. not desired: As an aid in the prevention over 16 weeks of age. of coccidiosis where severe exposure to coccidiosis from Eimeria acervulina, E. maxima, and E. brunetti is likely to occur. (4) Amprolium 113.5 Bacitracin 4 to 50.... 1. Broiler chickens and replacement Feed as the sole ration from the time 016592 and ethopabate chickens: where immunity to coccidi- chickens are placed on litter until past 36.3. osis is not desired; to aid in prevention the time when coccidiosis is ordinarily of coccidiosis where severe exposure a hazard. Not for chickens over 16 to coccidiosis from Eimeria acervulina, weeks of age; do not feed to laying E. maxima, and E. brunetti is likely to chickens; as sole source of amprolium; occur; for increased rate of weight gain not for use as a treatment for out- in broiler chickens raised in floor pens. breaks of coccidiosis. Bacitracin as bacitracin methylene disalicylate as provided by No. 054771 in § 510.600(c) of this chapter. (5) Amprolium 113.5 Bacitracin 4 to 50 .... 2. Broiler chickens: As an aid in preven- Feed as the sole ration from the time 054771 and ethopabate tion of coccidiosis where severe expo- chickens are placed on litter until mar- 36.3. sure to coccidiosis from Eimeria ket weight. Not for chickens over 16 acervulina, E. maxima, and E. brunetti weeks of age; do not feed to laying is likely to occur; for improved feed effi- chickens; as sole source of amprolium; ciency. not for use as a treatment for coccidi- osis. Bacitracin zinc as provided by No. 054771 in § 510.600(c) of this chapter. (6) Amprolium 113.5 Bambermycins 1 to Broiler chickens: As an aid in the preven- Feed continuously as the sole ration; as 016592 and ethopabate 3. tion of coccidiosis where severe expo- sole source of amprolium. 3.6. sure to coccidiosis from Eimeria Bambermycins as provided by No. acervulina, E. maxima, and E. brunetti 016592 in § 510.600(c) of this chapter. is likely to occur; for increased rate of weight gain, improved feed efficiency. (7) Amprolium 113.5 Virginiamycin 15 ...... Broiler chickens; as an aid in the preven- Feed continuously as the sole ration; as 066104 and ethopabate tion of coccidiosis where severe expo- sole source of amprolium. Do not feed 36.3. sure to coccidiosis from Eimeria to laying chickens. Not for chickens acervulina, E. maxima, and E. brunetti over 16 weeks of age. is likely to occur; for increased rate of Virginiamycin as provided by No. 066104 weight gain and improved feed effi- in § 510.600(c) of this chapter. ciency. (8) Amprolium 113.5 Virginiamycin 5 to Broiler chickens; as an aid in the preven- Feed continuously as the sole ration; as 066104 and ethopabate 15. tion of coccidiosis where severe expo- sole source of amprolium. Do not feed 36.3. sure to coccidiosis from Eimeria to laying chickens. Not for chickens acervulina, E. maxima, and E. brunetti over 16 weeks of age. is likely to occur; for increased rate of Virginiamycin as provided by No. 066104 weight gain. in § 510.600(c) of this chapter. (9) Amprolium 227 ...... For broiler chickens and replacement Not for laying chickens ...... 016592 and ethopabate chickens where immunity to coccidiosis 3.6. is not desired; prevention of coccidiosis. (10) Amprolium 227 Chlortetracycline For chickens where immunity to coccidi- Do not feed to chickens producing eggs 054771 and ethopabate 100 to 200. osis is not desired; prevention of coc- for human consumption. Feed for 7 to 3.6. cidiosis; control of infectious synovitis 14 days. caused by Mycoplasma synoviae sus- ceptible to chlortetracycline. (11) Amprolium 227 Chlortetracycline For chickens where immunity to coccidi- In low calcium feed containing 0.8% die- 054771 and ethopabate 200 to 400. osis is not desired; prevention of coc- tary calcium and 1.5% sodium sulfate; 3.6. cidiosis; control of chronic respiratory feed continuously as sole ration for 7 to disease (CRD) and air sac infection 14 days; do not feed to chickens pro- caused by M. gallisepticum and E. coli ducing eggs for human consumption. susceptible to chlortetracycline.

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§ 558.62 [Removed] § 558.95 Bambermycins. through (11) as paragraphs (d)(7) ■ 7. Remove § 558.62. * * * * * through (9), respectively. (d) * * * ■ 8. In § 558.76, revise paragraph (d)(3) § 558.195 [Amended] to read as follows: (5) Bambermycins may also be used in combination with: ■ 14. In § 558.195, remove paragraphs § 558.76 Bacitracin methylene disalicylate. (i) Amprolium as in § 558.55. (e)(1)(iv) and (v) and redesignate * * * * * (ii) Amprolium and ethopabate as in paragraphs (e)(1)(vi) through (ix) as (d) * * * § 558.58. paragraphs (e)(1)(iv) through (vii), (3) Bacitracin methylene disalicylate (iii) Clopidal as in § 558.175. respectively. may also be used in combination with: (iv) Diclazuril as in § 558.198. § 558.198 [Amended] (i) Amprolium as in § 558.55. (v) Halofuginone as in § 558.265. (ii) Amprolium and ethopabate as in (vi) Lasalocid as in § 558.311. ■ 15. In § 558.198, remove paragraphs § 558.58. (vii) Monensin as in § 558.355. (d)(1)(iii), (iv), and (vi) and redesignate (iii) Decoquinate as in § 558.195. (viii) Narasin alone or with nicarbazin paragraphs (d)(1)(v), (vii), and (viii) as (iv) Diclazuril as in § 558.198. as in § 558.363. paragraphs (d)(1)(iii), (iv), and (v), (v) Fenbendazole as in § 588.258. (ix) Nicarbazin as in § 558.366. respectively. (vi) Halofuginone as in § 558.265. (x) Salinomycin as in § 558.550. ■ 16. In § 558.248, remove paragraph (vii) Hygromycin B as in § 588.274. (xi) Zoalene as in § 558.680. (d)(3); and revise the section heading to (viii) Ivermectin as in § 558.300. § 558.120 [Removed] read as follows: (ix) Lasalocid sodium as in § 558.311. ■ (x) Monensin as in § 588.355. 11. Remove § 558.120. § 558.248 Erythromycin. ■ (xi) Narasin as in § 558.363. 12. In § 558.128, revise paragraph * * * * * (xii) Nicarbazin alone and with (e)(7) to read as follows: narasin as in § 558.366. ■ 17. In § 558.265, remove and reserve (xiii) Nitarsone as in § 558.369. § 558.128 Chlortetracycline. paragraphs (d)(1)(v) and (viii) and (xiv) Robenidine as in § 558.515. * * * * * (d)(3)(ii) and revise the section heading (xv) Salinomycin as in § 558.550. (e) * * * to read as follows: (7) Chlortetracycline may also be used (xvi) Semduramicin as in § 558.555. § 558.265 Halofuginone. (xvii) Zoalene as in § 558.680. in combination with: * * * * * ■ 9. In § 558.78, revise paragraph (d)(3) (i) Amprolium and ethopabate as in to read as follows: § 558.58. ■ 18. Revise § 558.274 to read as (ii) Bacitracin methylene disalicylate follows: § 558.78 Bacitracin zinc. as in § 558.76. * * * * * (iii) Clopidol as in § 558.175. § 558.274 Hygromycin B. (d) * * * (iv) Decoquinate as in § 558.195. (a) Approvals. See sponsor numbers (3) Bacitracin zinc may also be used (v) Hygromycin B as in § 558.274. in § 510.600(c) of this chapter for Type in combination with: (vi) Laidlomycin as in § 558.305. A medicated articles or Type B (i) Amprolium and ethopabate as in (vii) Lasalocid as in § 558.311. medicated feeds as follow: § 558.58. (viii) Monensin as in § 558.355. (1) No. 000986: 2.4 and 8 grams per (ii) Clopidol as in § 558.175. (ix) Robenidine as in § 558.515. pound (g/lb). (iii) Decoquinate as in § 558.195. (x) Salinomycin as in § 558.550. (2) Nos. 012286 and 051311: 2.4 g/lb. (xi) Tiamulin as in § 558.600. (iv) Lasalocid as in § 558.311. (3) No. 017790: 0.6 g/lb. (v) Monensin as in § 558.355. § 558.175 [Amended] (vi) Naracin as in § 558.363. (4) No. 054771: 0.6 and 1.6 g/lb. (vii) Nitarsone as in § 558.369. ■ 13. In § 558.175, remove paragraphs (b) Related tolerances. See § 556.330 (viii) Robenidine as in § 558.515. (d)(3) and (8); and redesignate of this chapter. (ix) Salinomycin as in § 558.550. paragraphs (d)(4) through (7) as (c) Conditions of use. It is used in feed ■ 10. In § 558.95, revise paragraph (d)(5) paragraphs (d)(3) through (6), as follows: to read as follows: respectively, and paragraphs (d)(9) (1) Chickens—

Hygromycin B in Combination in grams per ton grams per ton Indications for use Limitations Sponsor

(i) 8 to 12...... Chickens: For control of infestation of Withdraw 3 days before slaughter ...... 000986 large roundworms (Ascaris galli), cecal 012286 worms (Heterakis gallinae), and cap- 017790 illary worms (Capillaria obsignata). 054771 (ii) 8 to 12 ...... Tylosin 4 to 50 ...... Chickens: For control of infestations of Withdraw 3 days before slaughter. 000986 large roundworms (Ascaris galli), cecal Tylosin as tylosin phosphate as pro- worms (Heterakis gallinae), and cap- vided by No. 000986 in § 510.600 of illary worms (Capillaria obsignata); this chapter. growth promotion and feed efficiency.

(2) Swine—

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Hygromycin B in Combination in grams per ton grams per ton Indications for use Limitations Sponsor

(i) 12 ...... Swine: For control of infestation of large Withdraw 15 days before slaughter ...... 000986 roundworms (Ascaris suis), nodular 012286 worms (Oesophagostomum dentatum), 017790 and whipworms (Trichuris suis). 054771 (ii) 12 ...... Tylosin 10 to 100 .... Swine: For control of infestations of large Feed continuously as follows: Animal 000986 roundworms (Ascaris suis), nodular weight (lbs.): worms (Oesophagostomum dentatum), Up to 40...20 to 1001 and whipworms (Trichuris suis); growth 41 to 100...20 to 401 promotion and feed efficiency. 101 to market weight...10 to 201 Withdraw 15 days before slaughter. Tylosin as tylosin phosphate as pro- vided by No. 000986 in § 510.600 of this chapter. 1 Amount of Tylosin (g/t).

■ 19. In § 558.311: (xiii) Zoalene as in § 558.680. ‘‘113.5 (0.0125 pct)’’, remove the row ■ a. In paragraph (e)(1)(ii), remove the ■ 21. In § 558.340, revise the section entries for: entries for: heading to read as follows: ■ i. Roxarsone 22.7 (0.0025); and ■ i.Roxarsone 45.4 (0.005 pct); ■ ii. Roxarsone 22.7 (0.0025) plus ■ ii. Roxarsone 45.4 plus bambermycins § 558.340 Maduramicin. lincomycin 2 (0.0004).’’ 1 (0.00011 pct); * * * * * ■ iii. Roxarsone 45.4 plus lincomycin § 558.460 [Amended] 2.0; § 558.355 [Amended] ■ iv. Roxarsone 45.4 plus bacitracin 10 ■ 22. In § 558.355: ■ 25. In § 558.460, remove and reserve to 25; ■ a. Remove and reserve paragraphs paragraph (d)(2). ■ v. Roxarsone 45.4 plus bacitracin 10 (f)(1)(ii), (vii), (x), (xi), (xii), (xv), (xvi), ■ 26. In § 558.515, in paragraph (d), or 30; and (xvii), (xviii), (xix), (xx), (xxiii), (xxvi), remove the entries for ‘‘Bacitracin (as ■ vi. Roxarsone 45.4 plus bacitracin and (xxvii); bacitracin methylene disalicylate) 50 methylene disalicylate 50’’; ■ b. Remove and reserve paragraphs and roxarsone 22.7 to 45.4’’, ‘‘Bacitracin ■ b. In paragraph (e)(1)(xv), remove the (f)(4)(vi) and (vii); and (as bacitracin methylene disalicylate) ■ entry for ‘‘Roxarsone 22.7 to 45.4’’; and c. Remove the second instance of a 100 to 200 and roxarsone 22.7 to 45.4’’, ■ c. Revise paragraph (e)(5). paragraph designated (f)(4)(iv) and ‘‘Roxarsone 22.5 to 45.4 (0.005 The revision reads as follows: (following (f)(4)(vii). percent)’’; and revise the section § 558.311 Lasalocid. § 558.363 [Amended] heading to read as follows: * * * * * ■ 23. In § 558.363: § 558.515 Robenidine. (e) * * * ■ a. Remove and reserve paragraphs * * * * * (5) Lasalocid may also be used in (a)(2), (a)(5) and (a)(6); combination with: ■ b. Remove paragraphs (d)(1)(ii), (v), § 558.530 [Removed] (i) Melengestrol acetate alone or in (vii), (viii), and (ix) and (d)(3)(iii) and ■ combination with tylosin as in (iv); and 27. Remove § 558.530. § 558.342. ■ c. Redesignate paragraphs (d)(1)(iii) § 558.550 [Amended] (ii) [Reserved] and (iv) as paragraphs (d)(1)(ii) and (iii), ■ ■ 20. In § 558.325, revise paragraph paragraph (d)(1)(vi) as paragraph 28. In § 558.550, remove and reserve (d)(3) to read as follows: (d)(1)(iv), and paragraphs (d)(1)(x) and paragraphs (d)(1)(ii), (iv), (v), (viii), (ix), (xi) as paragraphs (d)(1)(v) and (vi). (xii), (xiv), (xv), (xvii), (xviii), (xix), and § 558.325 Lincomycin. (xxiv) and (d)(3)(iv), (vi), and (vii). § 558.366 [Amended] * * * * * § 558.555 [Amended] (d) * * * ■ 24. In the table in § 558.366(d): (3) Lincomycin may also be used in ■ a. In the ‘‘Nicarbazin in grams per ■ 29. In § 558.555, remove paragraphs combination with: ton’’ column, following the entry for ‘‘27 (d)(3), (d)(4), and (d)(8); and redesignate (i) Amprolium and ethopabate as in to 45’’, remove the row entries for: paragraphs (d)(5), (d)(6), and (d)(7) as § 558.58. ■ i. Narasin 27 to 45, bacitracin paragraphs (d)(3), (d)(4), and (d)(5), (ii) Clopidol as in § 558.175. methylene disalicylate 50, and respectively. (iii) Decoquinate as in § 558.195. roxarsone 22.7 to 45.4; and (iv) Fenbendazole as in § 588.258. ■ ii. Narasin 27 to 45 and roxarsone 22.7 § 558.575 [Amended] to 45.4; (v) Halofuginone as in § 558.265. ■ 30. In § 558.575, remove and reserve (vi) Ivermectin as in § 558.300. ■ b. In the ‘‘Nicarbazin in grams per paragraph (d)(1)(ii). (vii) Lasalocid sodium as in § 558.311. ton’’ column, following the entry for (viii) Monensin as in § 588.355. ‘‘90.8 to 181.6 (0.01 to 0.02 pct)’’, ■ 31. In § 558.680, revise paragraph (d) (ix) Nicarbazin alone and with narasin remove the row entry for ‘‘Bacitracin to read as follows: as in § 558.366. methylene disalicylate 4 to 50 and § 558.680 Zoalene. (x) Pyrantel as in § 558.485. roxarsone 22.7 to 45.4’’; and (xi) Robenidine as in § 558.515. ■ c. In the ‘‘Nicarbazin in grams per * * * * * (xii) Salinomycin as in § 558.550. ton’’ column, following the entry for (d) Conditions of use—(1) Chickens—

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Combination in Zoalene in grams/ton grams per ton Indications for use Limitations Sponsor

(i) 36.3 to 113.5 ...... Replacement chickens: For development Grower ration not to be fed to birds over 054771 of active immunity to coccidiosis. 14 weeks of age; as follows:

Starter ration Grower ration Growing conditions Grams per ton Grams per ton

Severe exposure ...... 113.5 (0.0125%) 75.4–113.5 (0.0083%–0.0125%) Light to moderate exposure ...... 75.4–113.5 36.3–75.4 (0.0083%–0.0125%) (0.004%–0.0083%)

Combination in Zoalene in grams/ton grams per ton Indications for use Limitations Sponsor

(ii) 36.3–113.5 ...... Bacitracin methylene Replacement chickens: For development Feed continuously as sole ration as in 054771 disalicylate 4 to 50. of active immunity to coccidiosis; and subtable in item (i). Grower ration not for increased rate of weight gain and to be fed to birds over 14 weeks of improved feed efficiency. age. Bacitracin methylene disalicylate as provided by No. 054771 in § 510.600(c) of this chapter. (iii) 36.3–113.5 ...... Bacitracin methylene Replacement chickens: For development Feed continuously as sole ration as in 054771 disalicylate 50. of active immunity to coccidiosis; and subtable in item (i). Grower ration not as an aid in the prevention of necrotic to be fed to birds over 14 weeks of enteritis caused or complicated by age. Bacitracin methylene disalicylate Clostridium spp. or other organisms as provided by No. 054771 in susceptible to bacitracin. § 510.600(c) of this chapter. (iv) 36.3–113.5 ...... Bacitracin methylene Replacement chickens: For development Feed continuously as sole ration as in 054771 disalicylate 100 to of active immunity to coccidiosis; and subtable in item (i). To control necrotic 200. as an aid in the control of necrotic en- enteritis, start medication at first clinical teritis caused or complicated by Clos- signs of disease; vary bacitracin dos- tridium spp. or other organisms sus- age based on the severity of infection; ceptible to bacitracin. administer continuously for 5 to 7 days or as long as clinical signs persist, then reduce bacitracin to prevention level (50 g/ton). Bacitracin methylene disa- licylate as provided by No. 054771 in § 510.600(c) of this chapter. (v) 113.5 ...... Broiler chickens: For prevention and con- Feed continuously as sole ration ...... 054771 trol of coccidiosis. (vi) 113.5 ...... Bacitracin methylene Broiler chickens: As an aid in the preven- Feed continuously as sole ration. Baci- 054771 disalicylate 4 to 50. tion and control of coccidiosis; and for tracin methylene disalicylate as pro- increased rate of weight gain and im- vided by No. 054771 in § 510.600(c) of proved feed efficiency. this chapter. (vii) 113.5 ...... Bacitracin methylene Broiler chickens: For prevention and con- Feed continuously as sole ration. Baci- 054771 disalicylate 50. trol of coccidiosis; and as an aid in the tracin methylene disalicylate as pro- prevention of necrotic enteritis caused vided by No. 054771 in § 510.600(c) of or complicated by Clostridium spp. or this chapter. other organisms susceptible to baci- tracin. (viii) 113.5 ...... Bacitracin methylene Broiler chickens: For prevention and con- Feed continuously as sole ration. To con- 054771 disalicylate 100 to trol of coccidiosis; and as an aid in the trol necrotic enteritis, start medication 200. control of necrotic enteritis caused or at first clinical signs of disease; vary complicated by Clostridium spp. or bacitracin dosage based on the sever- other organisms susceptible to baci- ity of infection; administer continuously tracin. for 5 to 7 days or as long as clinical signs persist, then reduce bacitracin to prevention level (50 g/ton). Bacitracin methylene disalicylate as pro- vided by No. 054771 in § 510.600(c) of this chapter. (ix) 113.5 ...... Bambermycins 1 ..... Broiler chickens: As an aid in the preven- Feed continuously as sole ration. Do not 016592 tion and control of coccidiosis; and for feed to chickens over 14 weeks of age. increased rate of weight gain and im- Bambermycins as provided by No. proved feed efficiency. 016592 in § 510.600(c) of this chapter. (x) 113.5 ...... Lincomycin 2 ...... Broiler chickens: As an aid in the preven- Feed continuously as sole ration. Do not 054771 tion and control of coccidiosis; and for feed to laying chickens. As lincomycin increased rate of weight gain and im- hydrochloride monohydrate provided by proved feed efficiency. No. 054771 in § 510.600(c) of this chapter.

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(2) Turkeys—

Combination in Zoalene in grams/ton grams per ton Indications for use Limitations Sponsor

(i) 113.5 to 170.3 ...... Growing turkeys: For prevention and con- Feed continuously as sole ration. For tur- 054771 trol of coccidiosis. keys grown for meat purposes only. Do not feed to laying birds. (ii) 113.5 to 170.3 .... Bacitracin methylene Growing turkeys: For prevention and con- Feed continuously as sole ration until 14 054771 disalicylate 4 to 50. trol of coccidiosis; and for increased to 16 weeks of age. For turkeys grown rate of weight gain and improved feed for meat purposes only. Do not feed to efficiency. laying birds.

Dated: February 3, 2014. Legal Authority initiated by the Attorney General (1) on Bernadette Dunham, The DEA implements and enforces his own motion; (2) at the request of the Director, Center for Veterinary Medicine. titles II and III of the Comprehensive Secretary of the Department of Health 1 [FR Doc. 2014–02617 Filed 2–26–14; 8:45 am] Drug Abuse Prevention and Control Act and Human Services (HHS), or (3) on the petition of any interested party. 21 BILLING CODE 4160–01–P of 1970, as amended. Titles II and III are referred to as the ‘‘Controlled U.S.C. 811(a). This action is based on a Substances Act’’ and the ‘‘Controlled recommendation from the Assistant DEPARTMENT OF JUSTICE Substances Import and Export Act,’’ Secretary of the HHS and on an respectively, and are collectively evaluation of all other relevant data by Drug Enforcement Administration referred to as the ‘‘Controlled the DEA. This action imposes the Substances Act’’ or the ‘‘CSA’’ for the regulatory controls and administrative, 21 CFR Part 1308 purpose of this action. 21 U.S.C. 801– civil, and criminal sanctions applicable 971. The DEA publishes the to schedule IV controlled substances on [Docket No. DEA–370] implementing regulations for these persons who handle or propose to handle alfaxalone. statutes in title 21 of the Code of Federal Schedules of Controlled Substances: Regulations (CFR), parts 1300 to 1321. Background Placement of Alfaxalone into Schedule The CSA and its implementing IV Alfaxalone (5a-pregnan-3a-ol-11,20- regulations are designed to prevent, dione, previously spelled detect, and eliminate the diversion of ‘‘alphaxalone’’), a substance with AGENCY: Drug Enforcement controlled substances and listed Administration, Department of Justice. central nervous system (CNS) chemicals into the illicit market while depressant properties, is a neurosteroid ACTION: Final rule. providing for the legitimate medical, that is a derivative of 11-alpha-hydroxy- scientific, research, and industrial needs progesterone. On October 23, 2012, the SUMMARY: With the issuance of this final of the United States. Controlled Food and Drug Administration (FDA) rule, the Administrator of the Drug substances have the potential for abuse published a final rule to approve a New Enforcement Administration (DEA) and dependence and are controlled to Animal Drug Application (NADA, 141– places the substance 5a-pregnan-3a-ol- protect the public health and safety. 342) for alfaxalone (Alfaxan®), as an 11,20-dione (alfaxalone), including its Under the CSA, controlled substances intravenous injectable anesthetic, for the salts, isomers, and salts of isomers, into are classified into one of five schedules induction and maintenance of schedule IV of the Controlled based upon their potential for abuse, anesthesia and for induction of Substances Act (CSA). This scheduling their currently accepted medical use, anesthesia followed by maintenance of action is pursuant to the CSA which and the degree of dependence the anesthesia with an inhalant anesthetic, requires that such actions be made on substance may cause. 21 U.S.C. 812. The in cats and dogs (77 FR 64715). the record after opportunity for a initial schedules of controlled Alfaxalone primarily acts as an agonist hearing through formal rulemaking. substances established by Congress are at the gamma-aminobutyric acid This action imposes the regulatory found at 21 U.S.C. 812(c), and the (GABA) receptor-channel complex, with controls and administrative, civil, and current list of all scheduled substances a mechanism of action at this site criminal sanctions applicable to is published at 21 CFR part 1308. similar to that of barbiturates like schedule IV controlled substances on Pursuant to 21 U.S.C. 811(a)(1), the phenobarbital (schedule IV) and persons who handle (manufacture, Attorney General may, by rule, ‘‘add to methohexital (schedule IV), distribute, dispense, import, export, such a schedule or transfer between benzodiazepines such as diazepam engage in research, conduct such schedules any drug or other (schedule IV) and midazolam (schedule instructional activities with, or possess) substance if he (A) finds that such drug IV), as well as the anesthetic agents or propose to handle alfaxalone and or other substance has a potential for substances containing alfaxalone. abuse, and (B) makes with respect to 1 As set forth in a memorandum of understanding such drug or other substance the entered into by the HHS, the Food and Drug DATES: Effective Date: March 31, 2014. findings prescribed by [21 U.S.C. 812(b)] Administration (FDA), and the National Institute on for the schedule in which such drug is Drug Abuse (NIDA), the FDA acts as the lead agency FOR FURTHER INFORMATION CONTACT: within the HHS in carrying out the Secretary’s Ruth A. Carter, Office of Diversion to be placed . . ..’’ Pursuant to 28 CFR scheduling responsibilities under the CSA, with the Control, Drug Enforcement 0.100(b), the Attorney General has concurrence of NIDA. 50 FR 9518, Mar. 8, 1995. In Administration; Mailing Address: 8701 delegated this scheduling authority to addition, because the Secretary of the HHS has the Administrator of the DEA. 28 CFR delegated to the Assistant Secretary for Health of Morrissette Drive, Springfield, Virginia the HHS the authority to make domestic drug 22152; Telephone: (202) 598–6812. 0.104. scheduling recommendations, for purposes of this The CSA provides that scheduling of document, all subsequent references to ‘‘Secretary’’ SUPPLEMENTARY INFORMATION: any drug or other substance may be have been replaced with ‘‘Assistant Secretary.’’

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propofol (proposed to be controlled as a indicated support for controlling and significant of abuse; (6) what, if any, schedule IV substance, 75 FR 66195, alfaxalone under the CSA based on the risk there is to the public health; (7) its Oct. 27, 2010) and fospropofol (schedule abuse potential of the substance. psychic or physiological dependence IV). Because alfaxalone is indicated for use liability; and (8) whether the substance as a pre-anesthetic and anesthetic in is an immediate precursor of a HHS and DEA Eight-Factor Analyses cats and dogs, these commenters felt substance already controlled. The On July 17, 2012, the Assistant that the abuse potential was particularly summary of each factor as analyzed by Secretary of the HHS provided to the high for persons with access to the the HHS and the DEA, and as DEA a scientific and medical evaluation substance in the medical field. One considered by the DEA in this and scheduling recommendation commenter noted that controlling scheduling action, was provided in the entitled ‘‘Basis for the Recommendation alfaxalone as a schedule IV controlled proposed rule. Both the DEA and the to Control Alfaxalone in Schedule IV of substance is appropriate because it HHS analyses have been made available the Controlled Substances Act.’’ After could be abused in a manner similar to in their entirety under ‘‘Supporting and considering the eight factors in 21 other schedule IV CNS depressants. The Related Material’’ of the public docket U.S.C. 811(c), including consideration commenters believe that controlling for this rule at www.regulations.gov of the substance’s abuse potential, alfaxalone as a schedule IV controlled under Docket Number DEA–370. legitimate medical use, and dependence substance will provide the necessary Based on the review of the HHS liability, the Assistant Secretary of the controls to prevent its diversion. evaluation and scheduling HHS recommended that alfaxalone be DEA Response: The DEA appreciates recommendation and all other relevant controlled in schedule IV of the CSA the comments in support of this data, the DEA found that alfaxalone has under 21 U.S.C. 812(b). In response, the rulemaking. an abuse potential similar to other DEA conducted its own eight-factor Opposition to the Proposed Rule: schedule IV drugs, including the analysis of alfaxalone pursuant to 21 Two commenters opposed the benzodiazepines diazepam and U.S.C. 811(c). Both the DEA and HHS proposal to control alfaxalone as a midazolam, the barbiturates analyses are available in their entirety in schedule IV controlled substance. phenobarbital and methohexital, and the public docket for this rule (Docket Request Not to Control Alfaxalone: also the anesthetic agents propofol Number DEA–370) at One commenter opposed controlling (proposed to be controlled as a schedule www.regulations.gov under ‘‘Supporting alfaxalone at all and stated that IV substance, 75 FR 66195, Oct. 27, and Related Material.’’ alfaxalone does not have the same abuse 2010) and fospropofol. Alfaxalone also potential as Xanax® (alprazolam) ® acts as an agonist at the gamma- Determination to Schedule Alfaxalone (schedule IV), Valium (diazepam) aminobutyric acid (GABA) receptor- After a review of the available data, (schedule IV), and other channel complex, with a mechanism of including the scientific and medical benzodiazepines. The commenter also action at the site similar to that of evaluation and the scheduling stated that controlling alfaxalone under benzodiazepines like recommendation from the HHS, the the CSA would make it difficult for diazepam(schedule IV) and midazolam Administrator of the DEA published in veterinarians and animal surgeons to (schedule IV). This mechanism of action the Federal Register a notice of acquire the drug. Lastly, this commenter is also similar to that of other schedule proposed rulemaking (NPRM) entitled stated that alfaxalone is ‘‘unheard of IV controlled substances, including ‘‘Schedules of Controlled Substances: outside of the veterinary community barbiturates like phenobarbital and Placement of Alfaxalone into Schedule and does not have a ‘black market’ as do methohexital, and also anesthetic agents IV’’ which proposed placement of the other schedule IV drugs.’’ like propofol (proposed to be controlled alfaxalone in schedule IV of the CSA. 78 DEA Response: The DEA does not as a schedule IV substance, 75 FR FR 17895, March 25, 2013. The agree. Pursuant to 21 U.S.C. 811(a)(1), 66195, Oct. 27, 2010) and fospropofol. It proposed rule provided an opportunity the Attorney General may, by rule, ‘‘add should be noted that alfaxalone’s for interested persons to file a request to such a schedule or transfer between current exclusive use as a veterinary for hearing in accordance with DEA such schedules any drug or other anesthetic drug and the asserted regulations by April 24, 2013. No substance if he (A) finds that such drug conclusion that there is no ‘‘black requests for such a hearing were or other substance has a potential for market’’ for the substance, do not negate received by the DEA. The NPRM also abuse, and (B) makes with respect to its abuse potential and associated risk of provided an opportunity for interested such drug or other substance the diversion. The DEA and HHS analyses persons to submit written comments on findings prescribed by [21 U.S.C. 812(b)] demonstrate that alfaxalone does have the proposal on or before April 24, 2013. for the schedule in which such drug is the potential for abuse and meets the to be placed * * *.’’ This scheduling necessary findings on potential for Comments Received action was initiated when the DEA abuse, currently accepted medical use, The DEA received four comments on received a scientific and medical and physical or psychological the proposed rule to schedule evaluation and a scheduling dependence for placement in schedule alfaxalone. Two commenters were in recommendation to control alfaxalone IV. favor of controlling alfaxalone as a as a schedule IV controlled substance Burdens associated with acquiring a schedule IV controlled substance. One from the Assistant Secretary of the HHS. substance as a result of control under commenter was in favor of controlling In accordance with 21 U.S.C. 811(c), the the CSA are not relevant factors to the alfaxalone as a schedule V controlled DEA conducted its own analysis of the determination whether a substance substance rather than a schedule IV eight factors determinative of control or should be controlled or under what controlled substance, and one removal: (1) Its actual or relative schedule a substance should be placed commenter opposed the control of potential for abuse; (2) scientific if it is controlled. See 21 U.S.C. 811 and alfaxalone. evidence of its pharmacological effect, if 812. Nonetheless, the DEA disagrees Support of the Proposed Rule: known; (3) the state of current scientific with the unsupported statement that Two commenters supported knowledge regarding the drug or other making alfaxalone a controlled controlling alfaxalone as a schedule IV substance; (4) its history and current substance would make it difficult for controlled substance. These commenters pattern of abuse; (5) the scope, duration, veterinarians and animal surgeons to

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acquire the drug. Several other for purposes of responding to this physical dependence or psychological anesthetic substances used by comment, the physical security dependence relative to the drugs or veterinarians and other practitioners are requirements for schedule IV and V other substances in schedule III. controlled under the CSA. All controlled substances are the same. Based on these findings, the veterinarians and animal surgeons who Also, under the CSA, schedule V Administrator of the DEA concludes are authorized by the State in which controlled substances may be dispensed that alfaxalone, including its salts, they practice to handle alfaxalone and without a prescription, while schedule isomers, and salts of isomers, warrants who are registered with the DEA to IV controlled substances may only be control in schedule IV of the CSA. 21 dispense controlled substances may dispensed pursuant to a prescription. U.S.C. 812(b)(4). acquire alfaxalone once it is controlled. However, this distinction is of no Requirements for Handling Alfaxalone As discussed in the Regulatory consequence with regard to alfaxalone Flexibility Analysis section of this because alfaxalone cannot be prescribed Upon the effective date of this final document, currently 98% of DEA by a veterinarian, nor may alfaxalone be rule, any person who handles alfaxalone registrants (most of which are small dispensed by a pharmacist pursuant to is subject to the CSA’s schedule IV businesses) are already authorized to a prescription. Federal law restricts this regulatory controls and administrative, handle schedule IV controlled drug to use by or on the order of a civil, and criminal sanctions applicable substances. licensed veterinarian (i.e., it may only to the manufacture, distribution, Request to Control Alfaxalone as a be administered). 21 CFR 522.52; see dispensing, importing, exporting, Schedule V Substance: also 21 CFR 514.8. engagement in research, and conduct of One commenter stated that alfaxalone instructional activities, of schedule IV should be controlled as a schedule V Scheduling Conclusion controlled substances including the controlled substance. This commenter Based on consideration of all following: stated that there was limited comments, the scientific and medical Registration. Any person who handles information available regarding evaluation and accompanying (manufactures, distributes, dispenses, alfaxalone’s abuse. The commenter also recommendation of the HHS, and based imports, exports, engages in research, or stated that alfaxalone is a new on the DEA’s consideration of its own conducts instructional activities with) introduction to the United States eight-factor analysis, the DEA finds that alfaxalone, or who desires to handle veterinary market, and controlling it in these facts and all other relevant data alfaxalone, must be registered with the the least stringent schedule, schedule V, constitute substantial evidence of DEA to conduct such activities, would minimize burdens on potential for abuse of alfaxalone. As pursuant to 21 U.S.C. 822, 823, 957 and practitioners using it for legitimate such, the DEA is scheduling alfaxalone 958, and in accordance with 21 CFR purposes, while also imposing controls as a controlled substance under the parts 1301 and 1312 as of March 31, to account for its abuse potential. CSA. 2014. Any person who currently DEA Response: The DEA does not handles alfaxalone and is not registered agree. The DEA thoroughly reviewed the Determination of Appropriate Schedule with the DEA must submit an scientific and medical evaluation and The CSA establishes five schedules of application for registration and may not the scheduling recommendation to controlled substances known as continue to handle alfaxalone as of control alfaxalone as a schedule IV schedules I, II, III, IV, and V. The CSA March 31, 2014 unless the DEA has controlled substance from the HHS. outlines the findings required for approved that application, pursuant to Additionally, the DEA conducted its placing a drug or other substance in any 21 U.S.C. 822, 823, 957, and 958, and own analysis of the eight factors in particular schedule. 21 U.S.C. 812(b). in accordance with 21 CFR parts 1301 accordance with 21 U.S.C. 811(b) and After consideration of the analysis and and 1312. made the findings required under 21 recommendation of the Assistant Security. Alfaxalone is subject to U.S.C. 812(b) for the placement of Secretary for Health of the HHS and schedule III–V security requirements alfaxalone in schedule IV. Based on the review of all available data, the and must be handled and stored review of the HHS’s evaluation and Administrator of the DEA, pursuant to pursuant to 21 U.S.C. 821, 823, and scheduling recommendation and all 21 U.S.C. 812(b)(4), finds that: 871(b) and in accordance with 21 CFR other relevant and available data, the (1) 5a-pregnan-3a-ol-11,20-dione 1301.71–1301.93, as of March 31, 2014. DEA found that alfaxalone has an abuse (alfaxalone) has a low potential for Labeling and Packaging. All labels potential similar to other schedule IV abuse relative to the drugs or other and labeling for commercial containers controlled substances, including the substances in schedule III; the overall of alfaxalone must comply with 21 benzodiazepines diazepam and abuse potential of alfaxalone is U.S.C. 825 and 958(e) and be in midazolam, barbiturates phenobarbital comparable to the schedule IV accordance with 21 CFR part 1302, as of and methohexital, and also the controlled substances diazepam, March 31, 2014. anesthetic agents propofol (proposed to midazolam, phenobarbital, Inventory. Every DEA registrant who be controlled as a schedule IV methohexital, propofol (proposed to be possesses any quantity of alfaxalone on substance, 75 FR 66195, Oct. 27, 2010) controlled as a schedule IV substance, the effective date of this final rule must and fospropofol. 75 FR 66195, Oct. 27, 2010), and to take an inventory of all stocks of While not relevant to the substance’s fospropofol; alfaxalone on hand as of March 31, schedule placement, the DEA does not (2) 5a-pregnan-3a-ol-11,20-dione 2014, pursuant to 21 U.S.C. 827 and agree with this commenter’s concern (alfaxalone) has a currently accepted 958, and in accordance with 21 CFR that the requirements applicable to medical use in treatment in the United 1304.03, 1304.04, and 1304.11(a) and schedule IV controlled substances are States; alfaxalone was approved for (d). more burdensome than the requirements marketing by the FDA as a veterinary Any person who becomes registered applicable to schedule V controlled anesthetic product for the induction and with the DEA after March 31, 2014 must substances. There are only very minimal maintenance of anesthesia in cats and in take an initial inventory of all stocks of differences in handling requirements dogs; and controlled substances (including between schedule IV and schedule V (3) Abuse of 5a-pregnan-3a-ol-11,20- alfaxalone) on hand on the date the controlled substances. Most importantly dione (alfaxalone) may lead to limited registrant first engages in the handling

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of controlled substances, pursuant to 21 Order 12866 and the principles product in the United States is not U.S.C. 827 and 958 and in accordance reaffirmed in Executive Order 13563. considered a ‘‘small entity’’ in with 21 CFR 1304.03, 1304.04, and accordance with the RFA and Small Executive Order 12988 1304.11(a) and (b). Business Administration (SBA) size After the initial inventory, every DEA This regulation meets the applicable standards. Upon expiration of the registrant must take a new inventory of standards set forth in sections 3(a) and exclusivity period, and more likely, the all stocks of controlled substances 3(b)(2) of Executive Order 12988 Civil related patent, additional products (including alfaxalone) on hand every Justice Reform to eliminate drafting containing alfaxalone may receive two years, pursuant to 21 U.S.C. 827 errors and ambiguity, minimize approvals from the FDA, and thus and 958, and in accordance with 21 CFR litigation, provide a clear legal standard additional manufacturers, distributors, 1304.03, 1304.04, and 1304.11. for affected conduct, and promote importers, and exporters will handle Records. All DEA registrants must simplification and burden reduction. alfaxalone. Whether such maintain records with respect to Executive Order 13132 manufacturers, distributors, importers, alfaxalone pursuant to 21 U.S.C. 827 or exporters may qualify as small and 958, and in accordance with 21 CFR This rulemaking does not have entities cannot be determined at this parts 1304, 1307, and 1312, as of March federalism implications warranting the time. 31, 2014. application of Executive Order 13132. There are currently approximately 1.5 Prescriptions. The DEA recognizes The rule does not have substantial million controlled substance that alfaxalone is currently only direct effects on the States, on the registrations, representing approved as an injectable anesthetic that relationship between the national approximately 381,000 entities. The is administered to patients. The DEA government and the States, or the DEA estimates that 371,000 (97%) of also acknowledges that Federal law distribution of power and these entities are considered ‘‘small currently restricts alfaxalone to use by responsibilities among the various entities’’ in accordance with the RFA or on the order of a licensed levels of government. and SBA size standards. 5 U.S.C. 601(6) and 15 U.S.C. 632. Due to the wide veterinarian, and it may not be Executive Order 13175 dispensed pursuant to a prescription. 21 variety of unidentifiable and CFR 522.52; see also 21 CFR 514.8. A This rule does not have tribal unquantifiable variables that potentially ‘‘prescription’’ is defined as an order for implications warranting the application could influence the dispensing rates of medication which is dispensed to or for of Executive Order 13175. The rule does new chemical entities, the DEA is an ultimate user but does not include an not have substantial direct effects on unable to determine the number of order for medication which is dispensed one or more Indian tribes, on the small entities which might handle for immediate administration to the relationship between the Federal alfaxalone. However, because alfaxalone ultimate user (e.g., an order to dispense Government and Indian tribes, or on the is a new chemical entity that is a a drug to a bed patient for immediate distribution of power and veterinary anesthetic administered in administration in a hospital is not a responsibilities between the Federal veterinary settings and is not prescribed prescription). 21 CFR 1300.01(b). Government and Indian tribes. to ultimate users, the number of entities However, any lawful prescriptions for Regulatory Flexibility Act affected by the rule would be far fewer than the 381,000 entities represented by alfaxalone or prescriptions for products The Administrator, in accordance containing alfaxalone must comply with all DEA registrants. There are with the Regulatory Flexibility Act approximately 66,361 veterinarian 21 U.S.C. 829 and must be issued in (RFA) (5 U.S.C. 601–612), has reviewed accordance with 21 CFR parts 1306 and practitioners and 23 veterinarian this final rule and by approving it distributors (schedules III–V) registered 1311 subpart C as of March 31, 2014. certifies that it will not have a Importation and Exportation. All with the DEA. significant economic impact on a Despite the fact that the number of importation and exportation of substantial number of small entities. alfaxalone must be in compliance with small entities possibly impacted by this The purpose of this final rule is to place rule could not be determined, the DEA 21 U.S.C. 952, 953, 957, and 958, and alfaxalone, including its salts, isomers, concludes that they would not be in accordance with 21 CFR part 1312 and salts of isomers, into schedule IV of experience a significant economic as of March 31, 2014. the CSA. By this final rule, alfaxalone impact as a result of this rule. The DEA Criminal Liability. Any activity will remain in schedule IV unless and estimates all anticipated alfaxalone involving alfaxalone not authorized by, until additional scheduling action is handlers to be DEA registrants, and or in violation of, the CSA, occurring as taken to either transfer it between the currently 98% of DEA registrants (most of March 31, 2014 is unlawful, and may schedules or to remove it from the list of which are small entities) are subject the person to administrative, of schedules. See 21 U.S.C. 811 and 812. authorized to handle schedule IV civil, and/or criminal sanctions. No less restrictive measures (i.e., no controlled substances. Even assuming Regulatory Analyses control or control in schedule V) enable that all of these registrants were to the DEA to meet its statutory obligations handle alfaxalone (e.g., practitioners Executive Orders 12866 and 13563 under the CSA. administer the substance), the costs that In accordance with 21 U.S.C. 811(a), On September 6, 2012, the FDA they would incur as a result of this scheduling action is subject to approved for use in the United States alfaxalone’s scheduling would be formal rulemaking procedures done ‘‘on one product containing alfaxalone, nominal. the record after opportunity for a which will have FDA marketing Registrants that dispense (e.g., hearing,’’ which are conducted pursuant exclusivity and patent protection for administer) alfaxalone are expected to to the provisions of 5 U.S.C. 556 and several years. Accordingly, the number incur nominal additional security, 557. The CSA sets forth the criteria for of currently identifiable manufacturers, inventory, and recordkeeping costs. scheduling a drug or other substance. distributors, importers, and exporters These registered entities have already Such actions are exempt from review by for alfaxalone is extremely small. The established and implemented the the Office of Management and Budget manufacturer who obtained FDA systems and processes required to pursuant to section 3(d)(1) of Executive approval for the sale of alfaxalone handle schedule IV controlled

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substances and can easily absorb the Review Act (CRA). This rule will not SUMMARY: This rule amends the policy costs of administering alfaxalone with result in: an annual effect on the of the Department of Justice regarding nominal to no additional economic economy of $100,000,000 or more; a the use of subpoenas, certain court burden. For example, because DEA- major increase in costs or prices for orders, and search warrants, to obtain veterinary practitioners are likely to consumers, individual industries, information from, or records of, already be schedule IV handlers, they Federal, State, or local government members of the news media. The rule already secure schedule II–V controlled agencies, or geographic regions; or also amends the Department’s policy substances in a securely locked, significant adverse effects on regarding questioning, arresting, or substantially constructed cabinet. See competition, employment, investment, charging members of the news media. 21 CFR 1301.75(b). Accordingly, the productivity, innovation, or on the DATES: This rule is effective on February requirement to secure all controlled ability of United States-based 27, 2014. substances containing alfaxalone would companies to compete with foreign not impose a significant economic based companies in domestic and FOR FURTHER INFORMATION CONTACT: burden upon DEA-registered export markets. However, pursuant to Monique Roth, Director, Office of practitioners as the infrastructure and the CRA, the DEA has submitted a copy Enforcement Operations, Criminal materials for doing so are already in of this final rule to both Houses of Division, (202) 514–6809. place. Labeling their products is routine Congress and to the Comptroller SUPPLEMENTARY INFORMATION: and in the normal course of business of General. Discussion manufacturers. The DEA therefore List of Subjects in 21 CFR Part 1308 assumes that the cost of compliance In May of 2013, the Department with 21 CFR part 1302 as a result of this Administrative practice and initiated a comprehensive evaluation of final rule is nominal. Correspondingly, procedure, Drug traffic control, its practices and policies regarding the the DEA estimates that the cost of the Reporting and recordkeeping use of subpoenas, court orders, and labeling and packaging requirements of requirements. search warrants to obtain information this final rule is nominal for the For the reasons set out above, 21 CFR from, or records of, members of the authorized manufacturer. Accordingly, part 1308 is amended as follows: news media. As part of this process, the compliance would not require Department convened a series of PART 1308—SCHEDULES OF significant additional manpower, capital meetings to solicit input from a wide CONTROLLED SUBSTANCES investment, or recordkeeping burdens. range of news media stakeholders, First Because of these facts, this rule will ■ 1. The authority citation for 21 CFR Amendment academics and advocates, not result in a significant economic part 1308 continues to read as follows: and Members of Congress. Based on this impact on a substantial number of small review, the Department issued a report entities. Authority: 21 U.S.C. 811, 812, 871(b), on July 12, 2013, announcing changes to unless otherwise noted. the Department’s policies. Unfunded Mandates Reform Act of 1995 ■ 2. Amend § 1308.14 by redesignating This final rule revises the existing In accordance with the Unfunded paragraphs (c)(1) through (c)(53) as provisions in the Department’s Mandates Reform Act (UMRA) of 1995 paragraphs (c)(2) through (c)(54) and regulations at 28 CFR 50.10. The (2 U.S.C. 1501 et seq.), the DEA has adding new paragraph (c)(1) to read as revisions are intended to ensure that, in determined and certifies pursuant to follows: determining whether to seek UMRA that this action would not result § 1308.14 Schedule IV. information from, or records of, in any Federal mandate that may result members of the news media, the ‘‘in the expenditure by State, local, and * * * * * (c) * * * Department strikes the proper balance tribal governments, in the aggregate, or among several vital interests: (1) by the private sector, of $100,000,000 or (1) Alfaxalone—(2731) * * * * * Protecting national security, (2) more (adjusted for inflation) in any one ensuring public safety, (3) promoting year * * * .’’ Therefore, neither a Small Dated: February 21, 2014. effective law enforcement and the fair Government Agency Plan nor any other Michele M. Leonhart, administration of justice, and (4) action is required under provisions of Administrator. safeguarding the essential role of the UMRA of 1995. [FR Doc. 2014–04332 Filed 2–26–14; 8:45 am] free press in fostering government Paperwork Reduction Act of 1995 BILLING CODE 4410–09–P accountability and an open society. This action does not impose a new The revisions also ensure more robust collection of information requirement oversight by senior Department officials; under the Paperwork Reduction Act of DEPARTMENT OF JUSTICE centralize the internal review and evaluation process; set out specific 1995. 44 U.S.C. 3501–3521. This action Office of the Attorney General would not impose recordkeeping or standards for the use and handling of information obtained from, or records reporting requirements on State or local 28 CFR Parts 50 and 59 governments, individuals, businesses, or of, members of the news media; and organizations. An agency may not [Docket No. 145; AG Order No. 3420–2014] extend the policies to cover the use of conduct or sponsor, and a person is not subpoenas, court orders issued pursuant required to respond to, a collection of Policy Regarding Obtaining to 18 U.S.C. 2703(d) and 3123, and information unless it displays a Information From, or Records of, search warrants. currently valid OMB control number. Members of the News Media; and The changes to the policy also Regarding Questioning, Arresting, or strengthen the presumption that Congressional Review Act Charging Members of the News Media Department attorneys will negotiate This rule is not a major rule as AGENCY: Office of the Attorney General, with, and provide advance notice to, defined by section 804 of the Small Department of Justice. affected members of the news media Business Regulatory Enforcement when investigators seek to obtain from ACTION: Final rule. Fairness Act of 1996 (Congressional third parties communications records or

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business records related to ordinary of August 4, 1999, this rule does not unreasonably impair ordinary newsgathering activities. have sufficient federalism implications newsgathering activities. The policy is A cross-reference to the new policy to warrant the preparation of a not intended to extend special has been added to part 59, pertaining to federalism assessment. protections to members of the news documentary materials held by third media who are the focus of criminal Unfunded Mandates Reform Act of 1995 parties. investigations for conduct not based on, This rule will not result in the Regulatory Certifications or within the scope of, ordinary expenditure by State, local, and tribal newsgathering activities. Administrative Procedure Act, 5 U.S.C. governments, in the aggregate, or by the (2) In determining whether to seek 553 private sector, of $100 million or more information from, or records of, Because, for purposes of the in any one year, and it will not members of the news media, the Administrative Procedure Act, this significantly or uniquely affect small approach in every instance must be to regulation concerns general statements governments. Therefore, no actions were strike the proper balance among several of policy, or rules of agency deemed necessary under the provisions vital interests: protecting national organization, procedure, or practice, of the Unfunded Mandates Reform Act security, ensuring public safety, notice and comment and a delayed of 1995, Public Law 104–4. promoting effective law enforcement and the fair administration of justice, effective date are not required. See 5 Congressional Review Act U.S.C. 553(b)(A). and safeguarding the essential role of This action pertains to agency the free press in fostering government Regulatory Flexibility Act management and does not substantially accountability and an open society. Because this final rule is not affect the rights or obligations of non- (3) The Department views the use of promulgated as a final rule under 5 agency parties; accordingly, this action certain law enforcement tools, including U.S.C. 553 and was not required under is not a ‘‘rule’’ as that term is used by subpoenas, court orders issued pursuant that section to be published as a the Congressional Review Act (Subtitle to 18 U.S.C. 2703(d) or 3123, and search proposed rule, the requirements for the E of the Small Business Regulatory warrants to seek information from, or preparation of a regulatory flexibility Enforcement Fairness Act of 1996 records of, non-consenting members of analysis under 5 U.S.C. 604(a) do not (SBREFA)). Therefore, the reporting the news media as extraordinary apply. In any event, the Attorney requirement of 5 U.S.C. 801 does not measures, not standard investigatory General, in accordance with 5 U.S.C. apply. practices. Subpoenas or court orders issued pursuant to 18 U.S.C. 2703(d) or 605(b), has reviewed this regulation and List of Subjects by approving it certifies that this 3123, in particular, may be used, after regulation will not have a significant 28 CFR Part 50 authorization by the Attorney General, or by another senior official in economic impact on a substantial Administrative practice and accordance with the exceptions set forth number of small entities because it procedure, Crime, News, Media, in paragraph (c)(3) of this section, only pertains to administrative matters Subpoena, Search warrants. affecting the Department. to obtain information from, or records 28 CFR Part 59 of, members of the news media when Executive Orders 12866 and 13563— the information sought is essential to a Regulatory Planning and Review Administrative practice and procedure, Privacy, Search warrants. successful investigation, prosecution, or litigation; after all reasonable alternative This action has been drafted and Accordingly, for the reasons stated in attempts have been made to obtain the reviewed in accordance with Executive the preamble, parts 50 and 59 of title 28 information from alternative sources; Order 12866, Regulatory Planning and of the Code of Federal Regulations are and after negotiations with the affected Review, section 1(b), Principles of amended as follows: Regulation. This rule is limited to member of the news media have been agency organization, management, or PART 50—STATEMENTS OF POLICY pursued, unless the Attorney General personnel matters as described by determines that, for compelling reasons, section 3(d)(3) of Executive Order 12866 ■ 1. The authority citation for part 50 is such negotiations would pose a clear of September 30, 1993, and therefore is revised to read as follows: and substantial threat to the integrity of the investigation, risk grave harm to not a ‘‘regulation’’ as defined by that Authority: 5 U.S.C. 301; 18 U.S.C. 1162; 28 Executive Order. Accordingly, this U.S.C. 509, 510, 516, and 519; 42 U.S.C. 1921 national security, or present an action has not been reviewed by the et seq., 1973c; and Pub. L. 107–273, 116 Stat. imminent risk of death or serious bodily Office of Management and Budget. 1758, 1824. harm. (4) When the Attorney General has ■ Executive Order 12988—Civil Justice 2. Section 50.10 is revised to read as authorized the use of a subpoena, court Reform follows: order issued pursuant to 18 U.S.C. This regulation meets the applicable § 50.10 Policy regarding obtaining 2703(d) or 3123, or warrant to obtain standards set forth in sections 3(a) and information from, or records of, members of from a third party communications 3(b)(2) of Executive Order 12988 of the news media; and regarding questioning, records or business records of a member February 5, 1996. arresting, or charging members of the news of the news media, the affected member media. of the news media shall be given Executive Order 13132—Federalism (a) Statement of principles. (1) reasonable and timely notice of the This regulation will not have Because freedom of the press can be no Attorney General’s determination before substantial direct effects on the States, broader than the freedom of members of the use of the subpoena, court order, or on the relationship between the national the news media to investigate and report warrant, unless the Attorney General government and the States, or on the news, the Department’s policy is determines that, for compelling reasons, distribution of power and intended to provide protection to such notice would pose a clear and responsibilities among the various members of the news media from substantial threat to the integrity of the levels of government. Therefore, in certain law enforcement tools, whether investigation, risk grave harm to accordance with Executive Order 13132 criminal or civil, that might national security, or present an

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imminent risk of death or serious bodily of members of the news media, pursuant records of a member of the news media, harm. to 18 U.S.C. 2703(a) and (b). must personally be endorsed by the (b) Scope.—(1) Covered individuals (3) Definitions. (i)(A) United States Attorney or Assistant and entities. (i) The policy governs the ‘‘Communications records’’ include the Attorney General responsible for the use of certain law enforcement tools to contents of electronic communications matter. obtain information from, or records of, as well as source and destination (3) Exceptions to the Attorney General members of the news media. information associated with authorization requirement. (i)(A) A (ii) The protections of the policy do communications, such as email United States Attorney or Assistant not extend to any individual or entity transaction logs and local and long Attorney General responsible for the who is or is reasonably likely to be— distance telephone connection records, matter may authorize the issuance of a (A) A foreign power or agent of a stored or transmitted by a third-party subpoena to a member of the news foreign power, as those terms are communication service provider with media (e.g., for documents, video or defined in section 101 of the Foreign which the member of the news media audio recordings, testimony, or other Intelligence Surveillance Act of 1978 has a contractual relationship. materials) if the member of the news (50 U.S.C. 1801); (B) Communications records do not media expressly agrees to provide the (B) A member or affiliate of a foreign include information described in 18 requested information in response to a terrorist organization designated under U.S.C. 2703(c)(2)(A), (B), (D), (E), and subpoena. This exception applies, but is section 219(a) of the Immigration and (F). not limited, to both published and Nationality Act (8 U.S.C. 1189(a)); (ii) A ‘‘communication service unpublished materials and aired and (C) Designated as a Specially provider’’ is a provider of an electronic unaired recordings. Designated Global Terrorist by the communication service or remote (B) In the case of an authorization Department of the Treasury under computing service as defined, under paragraph (c)(3)(i)(A) of this Executive Order No. 13224 of respectively, in 18 U.S.C. 2510(15) and section, the United States Attorney or September 23, 2001 (66 FR 49079); 18 U.S.C. 2711(2). Assistant Attorney General responsible (D) A specially designated terrorist as (iii)(A) ‘‘Business records’’ include for the matter shall provide notice to the that term is defined in 31 CFR 595.311 records of the activities, including the Director of the Criminal Division’s (or any successor thereto); financial transactions, of a member of Office of Enforcement Operations (E) A terrorist organization as that the news media related to the coverage, within 10 business days of the term is defined in section investigation, or reporting of news, authorization of the issuance of the 212(a)(3)(B)(vi) of the Immigration and which records are generated or subpoena. Nationality Act (8 U.S.C. maintained by a third party with which (ii) In light of the intent of the policy 1182(a)(3)(B)(vi)); the member of the news media has a to protect freedom of the press, ordinary (F) Committing or attempting to contractual relationship. Business newsgathering activities, and commit a crime of terrorism, as that records are limited to those that could confidential news media sources, offense is described in 18 U.S.C. 2331(5) provide information about the authorization of the Attorney General or 2332b(g)(5); newsgathering techniques or sources of will not be required of members of the (G) Committing or attempting the a member of the news media. Department in the following crime of providing material support or (B) Business records do not include circumstances: resources, as that term is defined in 18 records unrelated to ordinary (A) To issue subpoenas to news media U.S.C. 2339A(b)(1), to a terrorist newsgathering activities, such as those entities for purely commercial, organization; or related to the purely commercial, financial, administrative, technical, or (H) Aiding, abetting, or conspiring in financial, administrative, or technical, other information unrelated to ordinary illegal activity with a person or operations of a news media entity. newsgathering activities; or for organization described in paragraphs (C) Business records do not include information or records relating to (b)(1)(ii)(A) through (G) of this section. records that are created or maintained personnel not involved in ordinary (2) Covered law enforcement tools and either by the government or by a newsgathering activities. records. (i) The policy governs the use contractor on behalf of the government. (B) To issue subpoenas to members of by law enforcement authorities of (c) Issuing subpoenas to members of the news media for information related subpoenas or, in civil matters, other the news media, or using subpoenas or to public comments, messages, or similar compulsory process such as a court orders issued pursuant to 18 postings by readers, viewers, customers, civil investigative demand (collectively U.S.C. 2703(d) or 3123 to obtain from or subscribers, over which the member ‘‘subpoenas’’) to obtain information third parties communications records or of the news media does not exercise from members of the news media, business records of a member of the editorial control prior to publication. including documents, testimony, and news media. (1) Except as set forth in (C) To use subpoenas to obtain other materials; and the use by law paragraph (c)(3) of this section, information from, or to use subpoenas, enforcement authorities of subpoenas, members of the Department must obtain 2703(d) orders, or 3123 orders to obtain or court orders issued pursuant to 18 the authorization of the Attorney communications records or business U.S.C. 2703(d) (‘‘2703(d) order’’) or 18 General to issue a subpoena to a records of, members of the news media U.S.C. 3123 (‘‘3123 order’’), to obtain member of the news media; or to use a who may be perpetrators or victims of, from third parties ‘‘communications subpoena, 2703(d) order, or 3123 order or witnesses to, crimes or other events, records’’ or ‘‘business records’’ of to obtain from a third party when such status (as a perpetrator, members of the news media. communications records or business victim, or witness) is not based on, or (ii) The policy also governs records of a member of the news media. within the scope of, ordinary applications for warrants to search the (2) Requests for the authorization of newsgathering activities. premises or property of members of the the Attorney General for the issuance of (iii) In the circumstances identified in news media, pursuant to Federal Rule of a subpoena to a member of the news paragraphs (c)(3)(ii)(A) through (C) of Criminal Procedure 41; or to obtain from media, or to use a subpoena, 2703(d) this section, the United States Attorney third-party ‘‘communication service order, or 3123 order to obtain or Assistant Attorney General providers’’ the communications records communications records or business responsible for the matter must—

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(A) Authorize the use of the subpoena authorization from the Attorney General nonessential, cumulative, or speculative or court order; to pursue negotiations. information. (B) Consult with the Criminal (iv) The proposed subpoena generally (ii) The use of a subpoena or court Division regarding appropriate review should be limited to the verification of order to obtain from a third party and safeguarding protocols; and published information and to such communications records or business (C) Provide a copy of the subpoena or surrounding circumstances as relate to records of a member of the news media court order to the Director of the Office the accuracy of the published should be pursued only after the of Public Affairs and to the Director of information. government has made all reasonable the Criminal Division’s Office of (v) In investigations of unauthorized attempts to obtain the information from Enforcement Operations within 10 disclosures of national defense alternative sources. business days of the authorization. information or of classified information, (iii)(A) The government should have (4) Considerations for the Attorney where the Director of National pursued negotiations with the affected General in determining whether to Intelligence, after consultation with the member of the news media, unless the authorize the issuance of a subpoena to relevant Department or agency head(s), Attorney General determines that, for a member of the news media. (i)(A) In certifies to the Attorney General the compelling reasons, such negotiations criminal matters, there should be significance of the harm raised by the would pose a clear and substantial reasonable grounds to believe, based on unauthorized disclosure and that the threat to the integrity of the public information, or information from information disclosed was properly investigation, risk grave harm to non-media sources, that a crime has classified and reaffirms the intelligence national security, or present an occurred, and that the information community’s continued support for the imminent risk of death or serious bodily sought is essential to a successful investigation and prosecution, the harm. investigation or prosecution. The (B) The obligation to pursue Attorney General may authorize the subpoena should not be used to obtain negotiations with the affected member Department, in such investigations, to peripheral, nonessential, or speculative of the news media, unless excused by issue subpoenas to members of the news information. the Attorney General, is not intended to media. The certification will be sought (B) In civil matters, there should be conflict with the requirement that reasonable grounds to believe, based on not more than 30 days prior to the members of the Department secure public information or information from submission of the approval request to authorization from the Attorney General non-media sources, that the information the Attorney General. to question a member of the news media sought is essential to the successful (vi) Requests should be treated with as set forth in paragraph (f)(1) of this completion of the investigation or care to avoid interference with ordinary section. Accordingly, members of the litigation in a case of substantial newsgathering activities or claims of Department do not need to secure importance. The subpoena should not harassment. authorization from the Attorney General be used to obtain peripheral, (vii) The proposed subpoena should to pursue negotiations. nonessential, cumulative, or speculative be narrowly drawn. It should be (iv) In investigations of unauthorized information. directed at material and relevant disclosures of national defense (ii) The government should have information regarding a limited subject information or of classified information, made all reasonable attempts to obtain matter, should cover a reasonably where the Director of National the information from alternative, non- limited period of time, should avoid Intelligence, after consultation with the media sources. requiring production of a large volume relevant Department or agency head(s), (iii)(A) The government should have of material, and should give reasonable certifies to the Attorney General the pursued negotiations with the affected and timely notice of the demand. significance of the harm raised by the member of the news media, unless the (5) Considerations for the Attorney unauthorized disclosure and that the Attorney General determines that, for General in determining whether to information disclosed was properly compelling reasons, such negotiations authorize the use of a subpoena, classified and reaffirms the intelligence would pose a clear and substantial 2703(d) order, or 3123 order to obtain community’s continued support for the threat to the integrity of the from third parties the communications investigation and prosecution, the investigation, risk grave harm to records or business records of a member Attorney General may authorize the national security, or present an of the news media. (i)(A) In criminal Department, in such investigations, to imminent risk of death or serious bodily matters, there should be reasonable use subpoenas or court orders issued harm. Where the nature of the grounds to believe, based on public pursuant to 18 U.S.C. 2703(d) or 3123 to investigation permits, the government information, or information from non- obtain communications records or should have explained to the member of media sources, that a crime has been business records of a member of the the news media the government’s needs committed, and that the information news media. The certification will be in a particular investigation or sought is essential to the successful sought not more than 30 days prior to prosecution, as well as its willingness to investigation or prosecution of that the submission of the approval request address the concerns of the member of crime. The subpoena or court order to the Attorney General. the news media. should not be used to obtain peripheral, (v) The proposed subpoena or court (B) The obligation to pursue nonessential, or speculative order should be narrowly drawn. It negotiations with the affected member information. should be directed at material and of the news media, unless excused by (B) In civil matters, there should be relevant information regarding a limited the Attorney General, is not intended to reasonable grounds to believe, based on subject matter, should cover a conflict with the requirement that public information, or information from reasonably limited period of time, and members of the Department secure non-media sources, that the information should avoid requiring production of a authorization from the Attorney General sought is essential to the successful large volume of material. to question a member of the news media completion of the investigation or (vi) If appropriate, investigators as required in paragraph (f)(1) of this litigation in a case of substantial should propose to use search protocols section. Accordingly, members of the importance. The subpoena should not designed to minimize intrusion into Department do not need to secure be used to obtain peripheral, potentially protected materials or

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newsgathering activities unrelated to the book, broadcast, or other similar form of determines that, for compelling reasons, investigation, including but not limited public communication.’’ 42 U.S.C. such notice would pose a clear and to keyword searches (for electronic 2000aa(a) and (b). substantial threat to the integrity of the searches) and filter teams (reviewing (7) In executing a warrant authorized investigation, risk grave harm to teams separate from the prosecution and by the Attorney General or by a Deputy national security, or present an investigative teams). Assistant Attorney General for the imminent risk of death or serious bodily (d) Applying for warrants to search Criminal Division investigators should harm. No further delays may be sought the premises, property, or use search protocols designed to beyond the 90-day period. communications records of members of minimize intrusion into potentially (3) The United States Attorney or the news media. (1) Except as set forth protected materials or newsgathering Assistant Attorney General responsible in paragraph (d)(4) of this section, activities unrelated to the investigation, for the matter shall provide to the members of the Department must obtain including but not limited to keyword Director of the Office of Public Affairs the authorization of the Attorney searches (for electronic searches) and and to the Director of the Criminal General to apply for a warrant to search filter teams (reviewing teams separate Division’s Office of Enforcement the premises, property, or from the prosecution and investigative Operations a copy of any notice to be communications records of a member of teams). provided to a member of the news the news media. (e) Notice to affected member of the media whose communications records (2) All requests for authorization of news media. (1)(i) When the Attorney or business records were sought or the Attorney General to apply for a General has authorized the use of a obtained at least 10 business days before warrant to search the premises, subpoena, court order, or warrant to such notice is provided to the affected property, or communications records of obtain from a third party member of the news media, and a member of the news media must communications records or business immediately after such notice is, in fact, personally be endorsed by the United records of a member of the news media, provided to the affected member of the States Attorney or Assistant Attorney the affected member of the news media news media. General responsible for the matter. shall be given reasonable and timely (f) Questioning members of the news (3) In determining whether to notice of the Attorney General’s media about, arresting members of the authorize an application for a warrant to determination before the use of the news media for, or charging members of search the premises, property, or subpoena, court order, or warrant, the news media with, criminal conduct contents of communications records of unless the Attorney General determines they are suspected of having committed a member of the news media, the that, for compelling reasons, such notice in the course of, or arising out of, the Attorney General should take into would pose a clear and substantial coverage or investigation of news, or account the considerations identified in threat to the integrity of the while engaged in the performance of paragraph (c)(5) of this section. investigation, risk grave harm to duties undertaken as members of the (4) Members of the Department may national security, or present an news media. (1) No member of the apply for a warrant to obtain work imminent risk of death or serious bodily Department shall subject a member of product materials or other documentary harm. the news media to questioning as to any materials of a member of the news (ii) The mere possibility that notice to offense that he or she is suspected of media pursuant to the ‘‘suspect the affected member of the news media, having committed in the course of, or exception’’ of the Privacy Protection Act and potential judicial review, might arising out of, the coverage or (‘‘PPA suspect exception’’), 42 U.S.C. delay the investigation is not, on its investigation of news, or while engaged 2000aa(a)(1) and (b)(1), only when the own, a compelling reason to delay in the performance of duties undertaken member of the news media is a focus of notice. as a member of the news media, without a criminal investigation for conduct not (2) When the Attorney General has notice to the Director of the Office of based on, or within the scope of, authorized the use of a subpoena, court Public Affairs and the express ordinary newsgathering activities. In order, or warrant to obtain authorization of the Attorney General. such instances, members of the communications records or business The government need not view the Department must secure authorization records of a member of the news media, member of the news media as a subject from a Deputy Assistant Attorney and the affected member of the news or target of an investigation, or have the General for the Criminal Division. media has not been given notice of the intent to prosecute the member of the (5) Members of the Department Attorney General’s determination before news media, to trigger the requirement should not be authorized to apply for a the use of the subpoena, court order, or that the Attorney General must warrant to obtain work product warrant, the United States Attorney or authorize such questioning. materials or other documentary Assistant Attorney General responsible (2) No member of the Department materials of a member of the news for the matter shall provide to the shall seek a warrant for an arrest, or media under the PPA suspect exception, affected member of the news media conduct an arrest, of a member of the 42 U.S.C. 2000aa(a)(1) & (b)(1), if the notice of the order or warrant as soon news media for any offense that he or sole purpose is to further the as it is determined that such notice will she is suspected of having committed in investigation of a person other than the no longer pose a clear and substantial the course of, or arising out of, the member of the news media. threat to the integrity of the coverage or investigation of news, or (6) A Deputy Assistant Attorney investigation, risk grave harm to while engaged in the performance of General for the Criminal Division may national security, or present an duties undertaken as a member of the authorize, under an applicable PPA imminent risk of death or serious bodily news media, without notice to the exception, an application for a warrant harm. In any event, such notice shall Director of the Office of Public Affairs to search the premises, property, or occur within 45 days of the and the express authorization of the communications records of an government’s receipt of any return made Attorney General. individual other than a member of the pursuant to the subpoena, court order, (3) No member of the Department news media, but who is reasonably or warrant, except that the Attorney shall present information to a grand jury believed to have ‘‘a purpose to General may authorize delay of notice seeking a bill of indictment, or file an disseminate to the public a newspaper, for an additional 45 days if he or she information, against a member of the

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news media for any offense that he or Attorney General and to the Director of Specialist, Payment Technology, U.S. she is suspected of having committed in the Office of Public Affairs a statement Postal Service, at 202–268–7613. the course of, or arising out of, the containing the information that would SUPPLEMENTARY INFORMATION: When the coverage or investigation of news, or have been given in requesting prior Postal Service was mandated to comply while engaged in the performance of authorization. with Sarbanes-Oxley regulations duties undertaken as a member of the (h) Failure to comply with policy. beginning with the financial statements news media, without notice to the Failure to obtain the prior approval of for the fiscal year ending September 30, Director of the Office of Public Affairs the Attorney General, as required by this 2010, the Postal Service required a and the express authorization of the policy, may constitute grounds for an Statement on Auditing Standards (SAS) Attorney General. administrative reprimand or other 70 Type II Report from each of our (4) In requesting the Attorney appropriate disciplinary action. providers. Subsequently, the American General’s authorization to question, to (i) General provision. This policy is Institute of Certified Public Accountants arrest or to seek an arrest warrant for, or not intended to, and does not, create (AICPA) issued new guidance to the to present information to a grand jury any right or benefit, substantive or audit profession on reporting standards seeking an indictment or to file an procedural, enforceable at law or in for controls at service organizations, information against, a member of the equity by any party against the United superseding the SAS 70 standards. news media for an offense that he or she States, its departments, agencies, or Accordingly, the Postal Service is now is suspected of having committed entities, its officers, employees, or requiring a Service Organization during the course of, or arising out of, agents, or any other person. Controls SOC1 Type II report, in the coverage or investigation of news, or PART 59—GUIDELINES ON METHODS accordance with Statements on while engaged in the performance of Standards for Attestation Engagements duties undertaken as a member of the OF OBTAINING DOCUMENTARY MATERIALS HELD BY THIRD PARTIES (SSAEs) 16, in the place of a SAS 70 news media, a member of the Type II report, from each of our Department shall state all facts ■ providers. We have also clarified that necessary for a determination by the 3. The authority citation for part 59 continues to read as follows: the expense incurred from obtaining Attorney General. this report will be paid by the provider. (g) Exigent circumstances. (1) A Authority: Sec. 201, Pub. L. 96–440, 94 Deputy Assistant Attorney General for Stat. 1879 (42 U.S.C. 2000aa–11). List of Subjects in 39 CFR Part 501 the Criminal Division may authorize the ■ 4. Section 59.3 is revised by adding a Administrative practice and use of a subpoena or court order, as new sentence at the end of paragraph (d) procedure. described in paragraph (c) of this to read as follows: Accordingly, for the reasons stated, 39 section, or the questioning, arrest, or CFR part 501 is amended as follows: charging of a member of the news § 59.3 Applicability. media, as described in paragraph (f) of * * * * * PART 501—AUTHORIZATION TO this section, if he or she determines that (d) * * * For the use of a warrant to MANUFACTURE AND DISTRIBUTE the exigent use of such law enforcement obtain information from, or records of, POSTAGE EVIDENCING SYSTEMS tool or technique is necessary to prevent members of the news media, see the or mitigate an act of terrorism; other acts Department’s statement of policy set ■ 1. The authority citation for 39 CFR that are reasonably likely to cause forth in § 50.10 of this chapter. part 501 continues to read as follows: significant and articulable harm to Dated: February 21, 2013. Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, national security; death; kidnapping; Eric H. Holder, Jr., 401, 403, 404, 410, 2601, 2605, Inspector substantial bodily harm; conduct that Attorney General. General Act of 1978, as amended (Pub. L. 95– constitutes a specified offense against a 452, as amended); 5 U.S.C. App. 3. [FR Doc. 2014–04239 Filed 2–26–14; 8:45 am] minor (for example, as those terms are ■ 2. Section 501.15 is amended by BILLING CODE 4410–14–P defined in section 111 of the Adam revising paragraph (i) to read as follows: Walsh Child Protection and Safety Act of 2006, 42 U.S.C. 16911), or an attempt § 501.15 Computerized Meter Resetting or conspiracy to commit such a criminal POSTAL SERVICE System. offense; or incapacitation or destruction * * * * * 39 CFR Part 501 of critical infrastructure (for example, as (i) Security and Revenue Protection. To receive Postal Service approval to defined in section 1016(e) of the USA Revisions to the Requirements for continue to operate systems in the PATRIOT Act, 42 U.S.C. 5195c(e)). Authority to Manufacture and CMRS environment, the RC must submit (2) A Deputy Assistant Attorney Distribute Postage Evidencing to a periodic examination of its CMRS General for the Criminal Division may Systems authorize an application for a warrant, system and any other applications and as described in paragraph (d) of this AGENCY: Postal ServiceTM. technology infrastructure that may have section, if there is reason to believe that ACTION: Final rule. a material impact on Postal Service the immediate seizure of the materials at revenues, as determined by the Postal issue is necessary to prevent the death SUMMARY: This rule updates the security Service. The examination shall be of, or serious bodily injury to, a human and revenue protection features of the performed by a qualified, independent being, as provided in 42 U.S.C. Computerized Meter Resetting System audit firm and shall be conducted in 2000aa(a)(2) and (b)(2). (CMRS) and the PC postage payment accordance with the Statements on (3) Within 10 business days of a methodology to reflect changes to the Standards for Attestation Engagements Deputy Assistant Attorney General for audit profession’s reporting standards (SSAEs) No. 16, Service Organizations, the Criminal Division approving a on controls at service organizations. developed by the American Institute of request under paragraph (g) of this DATES: This rule is effective March 31, Certified Public Accountants (AICPA), section, the United States Attorney or 2014. as amended or superseded. Expenses Assistant Attorney General responsible FOR FURTHER INFORMATION CONTACT: associated with such examination shall for the matter shall provide to the Marlo Kay Ivey, Business Programs be incurred by the RC. The examination

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shall include testing of the operating examinations conducted by the service to the following June 30, unless effectiveness of relevant RC internal auditor and the RC. otherwise agreed to by the Postal controls (SOC 1 Type II SSAE 16 * * * * * Service). The examination reports are to be provided to the Postal Service by Report). If the service organization uses ■ 3. Section 501.16 is amended by August 15 of each year. To the extent another service organization (sub- revising paragraph (f) to read as follows: service provider), Postal Service that internal control weaknesses are management should consider the nature § 501.16 PC postage payment identified in a SOC 1 Type II SSAE 16 and materiality of the transactions methodology. report, the Postal Service may require processed by the sub-service * * * * * the remediation of such weaknesses, organization and the contribution of the (f) Security and Revenue Protection. and review working papers and engage sub-service organization’s processes and To receive Postal Service approval to in discussions about the work controls in the achievement of the continue to operate PC Postage systems, performed with the service auditor. The Postal Service’s control objectives. The the provider must submit to a periodic Postal Service requires that all Postal Service should have access to the examination of its PC Postage system remediation efforts (if applicable) are sub-service organization’s SOC 1 Type II and any other applications and completed and reported by the provider SSAE 16 report. The control objectives technology infrastructure that may have prior to the Postal Service’s fiscal year to be covered by the SOC 1 Type II a material impact on Postal Service end (September 30). In addition, the SSAE 16 report are subject to Postal revenues, as determined by the Postal provider will be responsible for Service review and approval, and are to Service. The examination shall be performing an examination of their be provided to the Postal Service 30 performed by a qualified, independent internal control environment related to days prior to the initiation of each audit firm and shall be conducted in the PC Postage system and any other examination period. As a result of the accordance with the Statements on applications and technology examination, the service auditor shall Standards for Attestation Engagements infrastructure considered material to the services provided to the Postal Service provide the RC and the Postal Service (SSAEs) No. 16, Service Organizations, by the provider, in particular, disclosing with an opinion on the design and developed by the American Institute of changes to internal controls for the operating effectiveness of the RC’s Certified Public Accountants (AICPA), period of July 1 to September 30. This internal controls related to the CMRS as amended or superseded. Expenses examination should be documented and system and any other applications and associated with such examination shall submitted to the Postal Service by technology infrastructure considered be incurred by the provider. The examination shall include testing of the October 14. The provider will be material to the services provided to the responsible for all costs related to the Postal Service by the RC. Such operating effectiveness of relevant provider internal controls (SOC1 Type II examinations conducted by the service examinations are to be conducted on no auditor and the provider. less than an annual basis, and are to be SSAE 16 Report). If the service organization uses another service * * * * * as of and for the 12 months ended June organization (sub-service provider), 30 of each year (except for new Stanley F. Mires, Postal Service management should contracts for which the examination consider the nature and materiality of Attorney, Legal Policy & Legislative Advice. period will be no less than the period the transactions processed by the sub- [FR Doc. 2014–03539 Filed 2–26–14; 8:45 am] from the contract date to the following service organization and the BILLING CODE 7710–P June 30, unless otherwise agreed to by contribution of the sub-service the Postal Service). The examination organization’s processes and controls in reports are to be provided to the Postal the achievement of the Postal Service’s Service by August 15 of each year. To ENVIRONMENTAL PROTECTION control objectives. The Postal Service AGENCY the extent that internal control should have access to the sub-service weaknesses are identified in a SOC 1 organization’s SOC 1 Type II SSAE 16 40 CFR Part 52 Type II SSAE 16 report, the Postal report. The control objectives to be Service may require the remediation of covered by the SOC 1 Type II SSAE 16 [EPA–R05–OAR–2013–0645; FRL–9907–08– such weaknesses and review working report are subject to Postal Service Region 5] papers and engage in discussions about review and approval, and are to be the work performed with the service Approval and Promulgation of Air provided to the Postal Service 30 days Quality Implementation Plans; auditor. The Postal Service requires that prior to the initiation of each all remediation efforts (if applicable) are Wisconsin; Transportation Conformity examination period. As a result of the Procedures completed and reported by the RC prior examination, the service auditor shall to the Postal Service’s fiscal year end provide the provider and the Postal AGENCY: Environmental Protection (September 30). In addition, the RC will Service with an opinion on the design Agency (EPA). be responsible for performing an and operating effectiveness of the ACTION: Direct final rule. examination of their internal control internal controls related to the PC environment related to the CMRS Postage system, and any other SUMMARY: The Environmental Protection system and any other applications and applications and technology Agency (EPA) is approving a State technology infrastructure considered infrastructure considered material to the Implementation Plan (SIP) revision material to the services provided to the services provided to the Postal Service submitted by the State of Wisconsin on Postal Service by the RC, in particular, by the provider. Such examinations are August 1, 2013, for the purpose of disclosing changes to internal controls to be conducted on no less than an establishing transportation conformity for the period of July 1 to September 30. annual basis, and are to be as of and for ‘‘Conformity’’ criteria and procedures This examination should be the 12 months ended June 30 of each related to interagency consultation, and documented and submitted to the Postal year (except for new contracts for which enforceability of certain transportation Service by October 14. The RC will be the examination period will be no less related control and mitigation measures. responsible for all costs related to the than the period from the contract date This revision replaces Wisconsin’s

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Conformity SIP that was approved on the body of your comment and with any (PM2.5 and PM10), carbon monoxide, and August 27, 1996. disk or CD–ROM you submit. If EPA nitrogen dioxide. DATES: This direct final rule will be cannot read your comment due to EPA originally promulgated the effective April 28, 2014, unless EPA technical difficulties and cannot contact Federal transportation conformity receives adverse comments by March you for clarification, EPA may not be criteria and procedures (‘‘Transportation 31, 2014. If adverse comments are able to consider your comment. Conformity Rule’’) on November 24, received, EPA will publish a timely Electronic files should avoid the use of 1993 (58 FR 62188). On August 10, withdrawal of the direct final rule in the special characters, any form of 2005, the ‘‘Safe, Accountable, Flexible, Federal Register informing the public encryption, and be free of any defects or Efficient Transportation Equity Act: A that the rule will not take effect. viruses. Legacy for Users’’ (SAFETEA–LU) was ADDRESSES: Submit your comments, Docket: All documents in the docket signed into law. SAFETEA–LU revised identified by Docket ID No. EPA–R05– are listed in the www.regulations.gov section 176(c) of the Act which contains OAR–2013–0645, by one of the index. Although listed in the index, transportation conformity provisions. following methods: some information is not publicly SAFETEA–LU streamlined the 1. www.regulations.gov: Follow the available, e.g., CBI or other information requirements for conformity SIPs. Under on-line instructions for submitting whose disclosure is restricted by statute. SAFETEA–LU, states are required to comments. Certain other material, such as address and tailor only three sections of 2. Email: [email protected]. copyrighted material, will be publicly the rules in their conformity SIPs: 40 3. Fax: (312) 692–2450. available only in hard copy. Publicly CFR 93.105, 40 CFR 93.122(a)(4)(ii), 4. Mail: Pamela Blakley, Chief, available docket materials are available and, 40 CFR 93.125(c). States are no Control Strategies Section, Air Programs either electronically in longer required to submit conformity Branch (AR–18J), U.S. Environmental www.regulations.gov or in hard copy at SIP revisions that address the other Protection Agency, 77 West Jackson the Environmental Protection Agency, sections of the conformity rule. Boulevard, Chicago, Illinois 60604. Region 5, Air and Radiation Division, 77 Wisconsin’s SIP revision updates the 5. Hand Delivery: Pamela Blakley, West Jackson Boulevard, Chicago, state’s transportation conformity Chief, Control Strategies Section, Air Illinois 60604. This facility is open from provisions, to be consistent with the Act Programs Branch (AR–18J), U.S. 8:30 a.m. to 4:30 p.m., Monday through as amended by SAFETEA–LU and EPA Environmental Protection Agency, 77 Friday, excluding Federal holidays. We regulations (40 CFR part 93 and 40 CFR West Jackson Boulevard, Chicago, recommend that you telephone Michael 51.390). Illinois 60604. Such deliveries are only Leslie, Environmental Engineer, at (312) 353–6680 before visiting the Region 5 II. What is EPA’s analysis of accepted during the Regional Office Wisconsin’s SIP revision? normal hours of operation, and special office. arrangements should be made for FOR FURTHER INFORMATION CONTACT: A conformity SIP can be adopted as deliveries of boxed information. The Michael Leslie, Environmental a state rule, as a memorandum of Regional Office official hours of Engineer, Control Strategies Section, Air understanding (MOU), or memorandum business are Monday through Friday, Programs Branch (AR–18J), of agreement (MOA). The appropriate 8:30 a.m. to 4:30 p.m., excluding Environmental Protection Agency, form of the state conformity procedures Federal holidays. Region 5, 77 West Jackson Boulevard, depends upon the requirements of local Instructions: Direct your comments to Chicago, Illinois 60604, (312) 353–6680, or state law, as long as the selected form Docket ID No. EPA–R05–OAR–2013– [email protected]. complies with all Act requirements for 0645. EPA’s policy is that all comments SUPPLEMENTARY INFORMATION: adoption, submission to EPA, and received will be included in the public Throughout this document whenever implementation of SIPs. EPA will accept docket without change and may be ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean state conformity SIPs in any form made available online at EPA. This supplementary information provided the state can demonstrate to www.regulations.gov, including any section is arranged as follows: EPA’s satisfaction that, as a matter of personal information provided, unless state law, the state has adequate the comment includes information I. What is the background for this action? authority to compel compliance with II. What is EPA’s analysis of Wisconsin’s SIP the requirements of the conformity SIP. claimed to be Confidential Business revision? Information (CBI) or other information III. What action is EPA taking? Wisconsin concluded that this SIP whose disclosure is restricted by statute. IV. Statutory and Executive Order Reviews revision in the form of a MOA will be Do not submit information that you enforceable through a number of consider to be CBI or otherwise I. What is the background for this Wisconsin Statutes, as with their protected through www.regulations.gov action? original conformity SIP. These statutes or email. The www.regulations.gov Web Transportation conformity is required authorize state agencies to enter into site is an ‘‘anonymous access’’ system, under section 176(c) of the Clean Air legally binding cooperative contracts for which means EPA will not know your Act (Act) to ensure that transportation the receipt or furnishing of services. identity or contact information unless planning activities are consistent Wisconsin collaborated with the you provide it in the body of your (‘‘conform to’’) with air quality planning Wisconsin Department of comment. If you send an email goals in nonattainment/maintenance Transportation (WisDOT), EPA, Federal comment directly to EPA without going areas. The transportation conformity Highway Administration (FHWA), through www.regulations.gov your email regulation is found in 40 CFR part 93 Federal Transit Administration, the address will be automatically captured and provisions related to transportation Southeast Regional Planning and included as part of the comment conformity SIPs are found in 40 CFR Commission (SEWRPC), Bay-Lake that is placed in the public docket and 51.390. Transportation conformity Regional Planning Commission made available on the Internet. If you applies to areas that are designated (BLRPC), to develop the Transportation submit an electronic comment, EPA nonattainment or maintenance for the Conformity MOA. This MOA was recommends that you include your following transportation related criteria agreed upon and signed by all of the name and other contact information in pollutants: Ozone, particulate matter above consultation parties.

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EPA has evaluated this SIP on this action should do so at this time. methods, under Executive Order 12898 submission and finds that the state has Please note that if EPA receives adverse (59 FR 7629, February 16, 1994). addressed the requirements of the comment on an amendment, paragraph, In addition, this rule does not have Federal transportation conformity rule or section of this rule and if that tribal implications as specified by as described in 40 CFR part 51, subpart provision may be severed from the Executive Order 13175 (65 FR 67249, T and 40 CFR part 93, subpart A. The remainder of the rule, EPA may adopt November 9, 2000), because the SIP is transportation conformity rule requires as final those provisions of the rule that not approved to apply in Indian country the states to develop their own are not the subject of an adverse processes and procedures for comment. If we do not receive any located in the state, and EPA notes that interagency consultation and resolution comments, this action will be effective it will not impose substantial direct of conflicts meeting the criteria in 40 April 28, 2014. costs on tribal governments or preempt CFR 93.105. The SIP revision did tribal law. IV. Statutory and Executive Order include processes and procedures to be The Congressional Review Act, 5 Reviews followed by the MPO, state DOT, and U.S.C. 801 et seq., as added by the Small U.S. DOT in consulting with the state Under the Act, the Administrator is Business Regulatory Enforcement and local air quality agencies and EPA required to approve a SIP submission Fairness Act of 1996, generally provides before making transportation conformity that complies with the provisions of the that before a rule may take effect, the determinations. Their transportation Act and applicable Federal regulations. agency promulgating the rule must conformity SIP also included processes 42 U.S.C. 7410(k); 40 CFR 52.02(a). submit a rule report, which includes a and procedures for the state and local Thus, in reviewing SIP submissions, copy of the rule, to each House of the air quality agencies and EPA to EPA’s role is to approve state choices, Congress and to the Comptroller General coordinate the development of provided that they meet the criteria of of the United States. EPA will submit a applicable SIPs with MPOs, state DOTs, the Act. Accordingly, this action merely and U.S. DOT, and requires written approves state law as meeting Federal report containing this action and other commitments to control measures and requirements and does not impose required information to the U.S. Senate, mitigation measures (40 CFR additional requirements beyond those the U.S. House of Representatives, and 93.122(a)(4)(ii) and 93.125(c)). imposed by state law. For that reason, the Comptroller General of the United EPA’s review of the Wisconsin SIP this action: States prior to publication of the rule in revision indicates that is consistent with • Is not a ‘‘significant regulatory the Federal Register. A major rule the Act as amended by SAFETEA–LU action’’ subject to review by the Office cannot take effect until 60 days after it and EPA regulations (40 CFR part 93 of Management and Budget under is published in the Federal Register. and 40 CFR 51.390) governing state Executive Order 12866 (58 FR 51735, This action is not a ‘‘major rule’’ as procedures for transportation October 4, 1993); defined by 5 U.S.C. 804(2). • conformity and interagency consultation Does not impose an information Under section 307(b)(1) of the Act, and has concluded that the submittal is collection burden under the provisions petitions for judicial review of this approvable. of the Paperwork Reduction Act (44 action must be filed in the United States III. What action is EPA taking? U.S.C. 3501 et seq.); Court of Appeals for the appropriate • Is certified as not having a circuit by April 28, 2014. Filing a EPA is approving a SIP revision significant economic impact on a petition for reconsideration by the submitted by the State of Wisconsin, for substantial number of small entities Administrator of this final rule does not the purpose of establishing under the Regulatory Flexibility Act (5 transportation conformity criteria and U.S.C. 601 et seq.); affect the finality of this action for the procedures related to interagency • Does not contain any unfunded purposes of judicial review nor does it consultation, and enforceability of mandate or significantly or uniquely extend the time within which a petition certain transportation related control affect small governments, as described for judicial review may be filed, and and mitigation measures. in the Unfunded Mandates Reform Act shall not postpone the effectiveness of We are publishing this action without of 1995 (Pub. L. 104–4); such rule or action. Parties with prior proposal because we view this as • Does not have Federalism objections to this direct final rule are a noncontroversial amendment and implications as specified in Executive encouraged to file a comment in anticipate no adverse comments. Order 13132 (64 FR 43255, August 10, response to the parallel notice of However, in the proposed rules section 1999); proposed rulemaking for this action of this Federal Register publication, we • Is not an economically significant published in the proposed rules section are publishing a separate document that regulatory action based on health or of today’s Federal Register, rather than will serve as the proposal to approve the safety risks subject to Executive Order file an immediate petition for judicial state plan if relevant adverse written 13045 (62 FR 19885, April 23, 1997); review of this direct final rule, so that • comments are filed. This rule will be Is not a significant regulatory action EPA can withdraw this direct final rule effective April 28, 2014 without further subject to Executive Order 13211 (66 FR and address the comment in the notice unless we receive relevant 28355, May 22, 2001); proposed rulemaking. This action may adverse written comments by March 31, • Is not subject to requirements of not be challenged later in proceedings to 2014. If we receive such comments, we Section 12(d) of the National enforce its requirements. (See section will withdraw this action before the Technology Transfer and Advancement 307(b)(2).) effective date by publishing a Act of 1995 (15 U.S.C. 272 note) because subsequent document that will application of those requirements would List of Subjects in 40 CFR Part 52 withdraw the final action. All public be inconsistent with the Act; and comments received will then be • Does not provide EPA with the Environmental protection, Air addressed in a subsequent final rule discretionary authority to address, as pollution control, Incorporation by based on the proposed action. EPA will appropriate, disproportionate human reference, Intergovernmental relations, not institute a second comment period. health or environmental effects, using Ozone, Particulate matter, Volatile Any parties interested in commenting practicable and legally permissible organic compounds.

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Dated: February 10, 2014. § 52.2584 Control strategy; Particulate § 52.2585 Control strategy; Ozone. Susan Hedman, matter. * * * * * Regional Administrator, Region 5. * * * * * (c) Approval—On August 1, 2013, the (bb) Approval—On August 1, 2013, 40 CFR part 52 is amended as follows: State of Wisconsin submitted a revision the State of Wisconsin submitted a to their Particulate Matter State revision to their Ozone State PART 52—APPROVAL AND Implementation Plan. The submittal Implementation Plan. The submittal PROMULGATION OF established transportation conformity established transportation conformity IMPLEMENTATION PLANS ‘‘Conformity’’ criteria and procedures ‘‘Conformity’’ criteria and procedures related to interagency consultation, and ■ 1. The authority citation for part 52 related to interagency consultation, and enforceability of certain transportation continues to read as follows: enforceability of certain transportation related control and mitigation measures. related control and mitigation measures. Authority: 42 U.S.C. 7401 et seq. ■ 3. Section 52.2585 is amended by [FR Doc. 2014–04168 Filed 2–26–14; 8:45 am] ■ 2. Section 52.2584 is amended by adding paragraph (bb) to read as BILLING CODE 6560–50–P adding paragraph (c) to read as follows: follows:

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Proposed Rules Federal Register Vol. 79, No. 39

Thursday, February 27, 2014

This section of the FEDERAL REGISTER 14th Street and Independence Avenue DEPARTMENT OF ENERGY contains notices to the public of the proposed SW., Washington, DC. Normal reading issuance of rules and regulations. The room hours are 8 a.m. to 4:30 p.m., 10 CFR Part 431 purpose of these notices is to give interested Monday through Friday, except persons an opportunity to participate in the [Docket Number EERE–2014–BT–TP–0008] rule making prior to the adoption of the final holidays. To be sure someone is there to rules. help you, please call (202) 799–7039 RIN 1904–AD18 before coming. Energy Conservation Program for DEPARTMENT OF AGRICULTURE FOR FURTHER INFORMATION CONTACT: Dr. Certain Commercial and Industrial Silvia Kreindel, Senior Staff Equipment: Test Procedure for Animal and Plant Health Inspection Veterinarian, Regional Evaluation Commercial Water Heating Equipment Service Services Staff, National Import Export Services, VS, APHIS, 4700 River Road AGENCY: Office of Energy Efficiency and 9 CFR Part 94 Unit 38, Riverdale, MD 20737–1231; Renewable Energy, Department of Energy. [Docket No. APHIS–2009–0017] (301) 851–3313. ACTION: Request for information (RFI). RIN 0579–AD41 SUPPLEMENTARY INFORMATION: On December 23, 2013, we published in the SUMMARY: The U.S. Department of Importation of Beef From a Region in Federal Register (78 FR 77370–77376, Energy (DOE) is initiating a rulemaking Brazil Docket No. APHIS–2009–0017) a and data collection process to consider proposal to allow, under certain amendments to the DOE test procedures AGENCY: Animal and Plant Health conditions, the importation of fresh for commercial water heaters, unfired Inspection Service, USDA. (chilled or frozen) beef from a region in hot water storage tanks, and hot water ACTION: Proposed rule; reopening of Brazil (the States of Bahia, Distrito supply boilers (henceforth, ‘‘commercial comment period. Federal, Espirito Santo, Goias, Mato water heating equipment’’). To inform SUMMARY: We are reopening the Grosso, Mato Grosso do Sul, Minas interested parties and to facilitate this comment period for our proposed rule Gerais, Parana, Rio Grande do Sul, Rio process, DOE has identified several that would allow, under certain de Janeiro, Rondonia, Sao Paulo, issues associated with the current conditions, the importation of fresh Sergipe, and Tocantins). Federal test procedures on which DOE is particularly interested in receiving (chilled or frozen) beef from a region in Comments on the proposed rule were Brazil (the States of Bahia, Distrito comment. In overview, the issues required to be received on or before outlined in this document mainly Federal, Espirito Santo, Goias, Mato February 21, 2014. We are reopening the Grosso, Mato Grosso do Sul, Minas concern updating the industry test comment period on Docket No. APHIS– Gerais, Parana, Rio Grande do Sul, Rio standards that are currently 2009–0017 for an additional 60 days. de Janeiro, Rondonia, Sao Paulo, incorporated by reference to the most Sergipe, and Tocantins). This action This action will allow interested recent versions, potential alternative will allow interested persons additional persons additional time to prepare and methods for determining the efficiency time to prepare and submit comments. submit comments. We will also consider of unfired storage tanks, potential all comments received between changes to the method for setting the DATES: The comment period for the thermostat, potential clarifications in proposed rule published December 23, February 22, 2014 (the day after the the thermal efficiency test method, and 2013 (78 FR 77370) is reopened. We will close of the original comment period) the potential inclusion of a test method consider all comments that we receive and the date of this notice. for commercial heat pump water heaters on or before April 22, 2014. Authority: 7 U.S.C. 450, 7701–7772, 7781– (HPWH). DOE anticipates that these 7786, and 8301–8317; 21 U.S.C. 136 and ADDRESSES: You may submit comments issues (as well as any others which are 136a; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and by either of the following methods: identified during the course of this • Federal eRulemaking Portal: Go to 371.4. rulemaking) may lead to proposed test http://www.regulations.gov/ Done in Washington, DC, this 21st day of procedure amendments in a subsequent #!documentDetail;D=APHIS-2009-0017- February 2014. notice of proposed rulemaking (NOPR). 0010. Kevin Shea, DOE welcomes written comments and • Postal Mail/Commercial Delivery: data from the public on all aspects of Send your comment to Docket No. Administrator, Animal and Plant Health this test procedure, including topics not APHIS–2009–0017, Regulatory Analysis Inspection Service. raised in this RFI. and Development, PPD, APHIS, Station [FR Doc. 2014–04308 Filed 2–26–14; 8:45 am] 3A–03.8, 4700 River Road Unit 118, BILLING CODE 3410–34–P DATES: DOE will accept written Riverdale, MD 20737–1238. comments, data, and information on or Supporting documents and any before March 31, 2014. comments we receive on this docket ADDRESSES: Interested parties are may be viewed at http:// encouraged to submit comments www.regulations.gov/ electronically. However, interested #!docketDetail;D=APHIS-2009-0017 or persons may submit comments, in our reading room, which is located in identified by docket number EERE– room 1141 of the USDA South Building, 2014–BT–TP–0008 and/or regulatory

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identification number (RIN) 1904– FOR FURTHER INFORMATION CONTACT: Ms. reports from manufacturers (42 U.S.C. AD18, by any of the following methods: Ashley Armstrong, U.S. Department of 6316). The testing requirements consist • Federal eRulemaking Portal: Energy, Office of Energy Efficiency and of test procedures that manufacturers of www.regulations.gov. Follow the Renewable Energy, Building covered equipment must use as both the instructions for submitting comments. Technologies Office, EE–5B, 1000 basis for certifying to DOE that their • Email: CommWaterHeatingEquip Independence Avenue SW., equipment complies with the applicable [email protected]. Include docket Washington, DC 20585–0121. energy conservation standards adopted number EERE–2014–BT–TP–0008 and/ Telephone: (202) 586–6590. Email: pursuant to EPCA, and for making or RIN 1904–AD18 in the subject line of [email protected]. representations about the efficiency of the message. All comments should Mr. Eric Stas, U.S. Department of that equipment. (42 U.S.C. 6314; 42 clearly identify the name, address, and, Energy, Office of the General Counsel, U.S.C. 6316) if appropriate, organization of the GC–71, 1000 Independence Avenue The initial test procedures for commenter. Submit electronic SW., Washington, DC 20585–0121. commercial water heating equipment comments in WordPerfect, Microsoft Telephone: (202) 586–9507. Email: corresponded to those referenced in the Word, portable document format (PDF), [email protected]. American Society of Heating, or American Standard Code for For information on how to submit a Refrigerating and Air-Conditioning Information Interchange (ASCII) file comment, or review other public Engineers (ASHRAE) and Illuminating format, and avoid the use of special comments and the docket, contact Ms. Engineering Society of North America characters or any form of encryption. Brenda Edwards, U.S. Department of (IESNA) Standard 90.1 (i.e., ASHRAE • Postal Mail: Ms. Brenda Edwards, Energy, Office of Energy Efficiency and Standard 90.1) which went into effect U.S. Department of Energy, Building Renewable Energy, Building on October 24, 1992. EPCA requires that Technologies Office, Mailstop EE–5B, Technologies Office, Mailstop EE–5B, if an industry test procedure that is RFI for Commercial Water Heating 1000 Independence Avenue SW, referenced in ASHRAE Standard 90.1 is Equipment, Docket No. EERE–2014–BT– Washington, DC 20585–0121. amended, DOE must establish an TP–0008 and/or RIN 1904–AD18, 1000 Telephone: (202) 586–2945. Email: amended test procedure to be consistent Independence Avenue SW., [email protected]. with the amended industry test Washington, DC 20585–0121. If SUPPLEMENTARY INFORMATION: procedure, unless DOE determines that the amended test procedure is not possible, please submit all items on a Table of Contents compact disc (CD), in which case it is reasonably designed to produce test not necessary to include printed copies. I. Authority and Background results which reflect the energy • Hand Delivery/Courier: Ms. Brenda II. Discussion efficiency, energy use, or estimated A. Updated Industry Test Method operating costs of the equipment during Edwards, U.S. Department of Energy, B. Unfired Hot Water Storage Tanks Building Technologies Program, 6th C. Setting the Thermostat for Commercial a representative average use cycle; in Floor, 950 L’Enfant Plaza SW., Water Heater Testing addition, DOE must determine that the Washington, DC 20024. Telephone: D. Clarification of the Thermal Efficiency amended test procedure is not unduly (202) 586–2945. If possible, please Test Procedure burdensome to conduct. (42 U.S.C. submit all items on a CD, in which case E. Commercial Heat Pump Water Heaters 6314(a)(2) and (4)) it is not necessary to include printed F. Other Issues If DOE determines that a test III. Public Participation procedure amendment is warranted, it copies. A. Submission of Comments Instructions: All submissions received B. Issues on Which DOE Seeks Comment must publish a proposed test procedure must include the agency name and and offer the public an opportunity to docket number and/or RIN for this I. Authority and Background present oral and written comments. (42 rulemaking. No telefacsimilies (faxes) Title III, Part C 1 of the Energy Policy U.S.C. 6314(b)(1)–(2)) To amend a test will be accepted. For further and Conservation Act of 1975 (EPCA or procedure, DOE must determine the information on the rulemaking process, the Act), Public Law 94–163 (42 U.S.C. extent to which the proposed test see section III of this document (Public 6311–6317, as codified), added by procedure would alter the equipment’s Participation). Public Law 95–619, Title IV, § 441(a), measured energy efficiency. If DOE Docket: The docket is available for established the Energy Conservation determines that the amended test review at www.regulations.gov, Program for Certain Industrial procedure would alter the measured including Federal Register notices, Equipment, which includes provisions efficiency of the covered equipment, comments, and other supporting covering the types of commercial water DOE must amend the applicable energy documents/materials. All documents in heating equipment that are the subject conservation standard accordingly. (42 the docket are listed in the of this notice.2 In general, this program U.S.C. 6314(a)(4)(C); 42 U.S.C. 6293(e)) www.regulations.gov index. However, is intended to improve the energy The Energy Independence and not all documents listed in the index efficiency of certain types of commercial Security Act of 2007 (EISA 2007), Public may be publicly available, such as and industrial equipment. Relevant Law 110–140, amended EPCA to require information that is exempt from public provisions of the Act include definitions that at least once every 7 years, DOE disclosure. (42 U.S.C. 6311), energy conservation must review test procedures for all A link to the docket Web page can be standards (42 U.S.C. 6313), test covered equipment and either: (1) found at: http://www.regulations.gov/ procedures (42 U.S.C. 6314), labeling Amend the test procedures if the #!docketDetail;D=EERE-2014-BT-TP- provisions (42 U.S.C. 6315), and the Secretary determines that the amended 0008. This Web page contains a link to authority to require information and test procedures would more accurately the docket for this notice on the or fully comply with the requirements 3 www.regulations.gov Web site. The 1 For editorial reasons, upon codification in the of 42 U.S.C. 6314(a)(2)–(3), or (2) www.regulations.gov Web page contains U.S. Code, Part C was redesignated Part A–1. 2 All references to EPCA in this document refer 3 42 U.S.C. 6314(a)(2) requires that test simple instructions on how to access all to the statute as amended through the American procedures be reasonably designed to produce test documents, including public comments, Energy Manufacturing Technical Corrections Act results which reflect energy efficiency, energy use, in the docket. (AEMTCA), Public Law 112–210 (Dec. 18, 2012). and estimated operating costs of a type of industrial

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publish a notice of determination not to EPCA to require that DOE publish a by the test method developed for the amend a test procedure. (42 U.S.C. final rule establishing a uniform November 2013 NOPR. DOE will update 6314(a)(1)(A)) Under this requirement, efficiency descriptor and accompanying the scope of this rulemaking as DOE must review the test procedures for test methods for residential water necessary based on changes, if any, to commercial water heating equipment no heaters and certain commercial water the scope of the final rule establishing later than May 16, 2019, which is 7 heating equipment. (42 U.S.C. the uniform efficiency descriptor. years after the most recent final rule 6295(e)(5)) AEMTCA required DOE to In support of its test procedure amending the Federal test method for replace the current efficiency metric for rulemaking, DOE conducts in-depth commercial water heating equipment.4 residential water heaters (Energy technical analyses of publicly-available The final rule resulting from this Factor), and the current efficiency test standards and other relevant rulemaking will satisfy the requirement metrics for commercial water heaters information. DOE continually seeks data to review the test procedure for (thermal efficiency and standby loss), and public input to improve its testing commercial water heating equipment with a uniform efficiency descriptor. (42 methodologies to more accurately reflect within 7 years. U.S.C. 6295(e)(5)(C)) Further, AEMTCA customer use and to produce repeatable DOE’s commercial water heating required that the uniform efficiency results. In general, DOE is requesting equipment test procedure is found in descriptor and accompanying test comment and supporting data regarding the Code of Federal Regulations (CFR) at method apply, to the maximum extent representative and repeatable methods 10 CFR 431.106, Uniform test method possible, to all water heating for measuring the energy use of for the measurement of energy efficiency technologies currently in use and to commercial water heating equipment. In of commercial water heaters and hot future water heating technologies. (42 particular, DOE seeks comment and water supply boilers (other than U.S.C. 6295(e)(5)(H)) However, information on the specific topics commercial heat pump water heaters.5 AEMTCA allowed DOE to exclude from discussed below. DOE’s test procedure for commercial the uniform efficiency descriptor water heating equipment provides a specific categories of covered water II. Discussion method for determining the thermal heaters that do not have residential A. Updated Industry Test Method efficiency and standby loss of uses, that can be clearly described, and commercial water heating equipment. that are effectively rated using the Beginning on May 13, 2013, the DOE initially incorporated by reference current thermal efficiency and standby industry test method for measuring certain sections of the American loss descriptors. (42 U.S.C. energy efficiency for commercial water National Standards Institute Standard 6295(e)(5)(F)) heaters and hot water supply boilers (ANSI) Z21.10.3–1998 (ANSI Z21.10.3– DOE published an RFI on January 11, referenced by the DOE test procedure is 1998), Gas Water Heaters, Volume III, 2013 that requested feedback on several ANSI Z21.10.3–2011. 10 CFR 431.106. Storage Water Heaters, With Input topics mainly associated with: (1) The DOE test procedure references Ratings Above 75,000 Btu Per Hour, Currently available efficiency metrics Exhibit G1 and Exhibit G2 of ANSI Circulating and Instantaneous. 69 FR and test procedures for rating the Z21.10.3–2011 for measuring thermal 61974, 61984 (Oct. 21, 2004). On May efficiency of residential and certain efficiency and standby loss, 16, 2012, DOE published a final rule in commercial water heaters; (2) the respectively. The most recent edition of the Federal Register to update the test requirements for a uniform metric set the industry test method, ANSI procedures to incorporate by reference forth in the AEMTCA; and (3) available Z21.10.3–2013/Canadian Standards the most recent version of the relevant options for DOE to address those Association (CSA) 4.3–2013, Gas-fired industry test procedure at the time of statutory requirements. 78 FR 2340. Water Heaters, Volume III, Storage publication, ANSI Z21.10.3–2011 (same After considering comments on the RFI, Water Heaters with Input Ratings above title). 77 FR 28928. The most recent DOE published a NOPR in the Federal 75,000 Btu per Hour, Circulating and updates did not materially alter the Register on November 4, 2013 Instantaneous, was released in 2013. procedure. (henceforth the ‘‘November 2013 The only substantive difference between The American Energy Manufacturing NOPR’’) that proposed to update the test the 2011 and 2013 version, as it pertains Technical Corrections Act (AEMTCA), procedures for residential and certain to the sections referenced by DOE, were Public Law 112–210, was signed into commercial water heaters. 78 FR 66202. changes in the numbering and order of law on December 18, 2012 and amended The November 2013 NOPR proposed sections. to modify the current residential water equipment (or class thereof) during a representative heater metric (Energy Factor) to be used DOE plans to consider updating the average use cycle (as determined by the Secretary), as the uniform descriptor for all DOE test procedure to reference the and not be unduly burdensome to conduct. residential and certain commercial updated industry test method for 42 U.S.C. 6314(a)(3) requires that if the test measuring thermal efficiency and procedure is a procedure for determining estimated water heating equipment that have annual operating costs, such procedure must residential uses (i.e., ‘‘light commercial standby loss to ANSI Z21.10.3–2013/ provide that such costs are calculated from water heaters’’). DOE also proposed to CSA 4.3 -2013 Annex E.1 and Annex measurements of energy use in a representative exclude certain water heaters from E.2, respectively. These references shall average-use cycle (as determined by the Secretary), replace previous references to Exhibits and from representative average unit costs of the coverage under the uniform descriptor energy needed to operate such equipment during that have no residential use, can be G1 and G2 in the 2011 industry test such cycle. The Secretary must provide information clearly identified and described, and method. to manufacturers of covered equipment regarding that are effectively rated using the Issue 1: DOE requests feedback on the representative average unit costs of energy. current thermal efficiency and standby appropriateness of using the ANSI 4 DOE published a final rule in the Federal Register on May 16, 2012, that, in relevant part, loss efficiency descriptors. 78 FR 66202, Z21.10.3–2013/CSA 4.3–2013 industry amended its test procedure for commercial water- 66206 (Nov. 4, 2013). test method to replace the current heating equipment. 77 FR 28928. In this rulemaking for the test reference to ANSI Z21.10.3–2011. DOE 5 DOE has reserved a place in its regulations for procedures for commercial water is also interested in information and commercial heat pump water heaters at 10 CFR 431.107, Uniform test method for the measurement heating equipment, DOE is only data pertaining to the repeatability of of energy efficiency for commercial heat pump considering the commercial water thermal efficiency and standby loss tests water heaters. heating equipment that was not covered included in the ANSI Z21.10.3–2011

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test method and the ANSI Z21.10.3– being the requirement of the considering alternative metrics, such as 2013 test method. establishment of thermal equilibrium a standby loss test for unfired hot water within the apparatus. storage tanks. B. Unfired Hot Water Storage Tanks There are also minor sampling Since unfired hot water storage tanks DOE defines an ‘‘unfired hot water differences between the two methods: do not consume gas or electricity, any storage tank’’ as ‘‘a tank used to store ASTM C177 requires three sampling test procedure to measure standby loss water that is heated externally, and that runs of at least thirty minutes, while would not include a measurement of is industrial equipment.’’ 10 CFR ASTM C518 requires five samplings in energy consumption. Rather, the test 431.102. As explained in the November intervals of at least ten minutes. could entail running pre-heated water at 2013 NOPR, DOE has proposed to However, ASTM C518 notes that the a specified temperature through the exclude unfired hot water storage tanks time between sample readings may need vessel until a specified mean internal from the uniform efficiency descriptor to be increased to thirty minutes or tank temperature is achieved, and required by AEMTCA. 78 FR 66202, longer for high-resistance or high- measuring the thermal energy loss of the 66207 (Nov. 4, 2013). Therefore, DOE density specimens. Another major water over a given period of time. In plans to address the test procedure for difference between the two methods is addition, a method to measure storage this equipment in this rulemaking. that the ASTM C518 method requires volume of the tank would need to be The Federal standard for unfired hot the constant calculation of the developed, which could entail water storage tanks requires a minimum specimen’s thermal conductivity during measuring the weight of the tank before level of tank insulation, which is an R- a test run, while ASTM C177 only and after filling it with water and value of 12.5. 10 CFR 431.110. DOE’s stipulates acquisition of temperature calculating the storage volume based on test procedure for commercial water and power data (and calculates the the change in weight and density of heating equipment at 10 CFR 431.106 thermal conductivity after the test is water. DOE requests comment on does not currently include a method of completed based on the data). several aspects of a potential standby testing energy efficiency of unfired hot The two referenced ASTM test loss test procedure for commercial water storage tanks. Although DOE does methods also share many similarities: unfired storage tanks including: (1) not specify a test method for unfired Specifying the appropriate orientations Target mean tank temperature; (2) storage tanks in 10 CFR 431.106, DOE of apparatus components, providing ambient air temperature; (3) time defines ‘‘R-value’’ as follows: instructions for calibrating the test duration of the test; (4) location of measurement system, and including temperature sensors; and (5) whether to R-value means the thermal resistance of procedures for specimen conditioning insulating material as determined based on keep the tank connected or ASTM Standard Test Method C177–97 or and stabilization. In addition, both test disconnected to inlet and outlet piping C518–91 and expressed in (°F·ft2·h/Btu). methods require flat specimens. during the test. DOE is considering several options to 10 CFR 431.102. Issue 2: DOE requests comment on improve the test method for commercial whether updates to DOE’s incorporated Thus, to determine the R-value of the unfired hot water storage tanks. First, test methods for unfired hot water insulation, one of two industry DOE is considering establishing a test storage tanks are needed. In particular, standards must be used: (1) American method in 10 CFR 431.106 to clarify the DOE requests comment on whether a Society for Testing and Materials applicable test procedure for unfired single test method for R-value should be (ASTM) C177–97, Standard Test storage tanks. DOE is considering the used (and if so, which industry method Method for Steady-State Heat Flux potential for a single method of is most appropriate), or whether Measurements and Thermal determining R-value to ensure that all R- replacing R-value with standby loss or Transmission Properties by Means of the values are determined on a consistent some other metric as the energy Guarded-Hot-Plate Apparatus; or (2) and equitable basis. However, DOE efficiency descriptor for unfired hot ASTM C518–10, Standard Test Method notes that unfired hot water storage tank water storage tanks would be preferable. for Steady-State Thermal Transmission manufacturers may not test the If a new metric such as standby loss is Properties by Means of the Heat Flow insulation of their tanks, but rather rely more appropriate than R-value, DOE Meter Apparatus. DOE’s definition of on the R-value information provided by requests feedback on the best way to ‘‘R-value’’ inherently includes the the insulation manufacturer. establish a standby loss test and the industry test methods that should be Furthermore, DOE is considering parameters of such a test method. used for determining the R-value of the whether having a test procedure that storage tank insulation. However, the determines R-value for unfired storage C. Setting the Thermostat for ASTM test methods C518 and C177 are tanks may be inappropriate, given that Commercial Water Heater Testing not necessarily designed for measuring the methods for determining R-value are DOE’s test method for measuring the R-value of test specimens, in this intended for determining the R-value of energy efficiency of commercial water case unfired storage tanks. a flat sample, rather than an entire heating equipment currently requires While the two test methods both storage tank. In addition, DOE notes that specific conditions be met for inlet measure thermal transmission determining the R-value of a single water temperature and the mean tank properties, they vary in complexity and sample does not allow for the temperature before the test begins. In apparent difficulty. The two test assessment of whether this value is particular, ANSI Z21.10.3–2011, Exhibit methods differ in complexity in terms of applicable to the entire surface of the G, section 1.g (which is incorporated by the measuring equipment required. For tank, including bottom, top, and fitting reference into the DOE test procedure) instance, ASTM C518 requires the use areas. DOE examined the product requires that before starting testing, the of a heat flux transducer to directly literature for the commercially-available thermostat shall be set by starting with measure the heat flux through a unfired hot water storage tanks that DOE the water in the system at 70° ± 2 °F (21° specimen, while ASTM C177 only identified on the market and found that ± 1 °C) and the maximum mean requires temperature sensors (e.g., approximately 55 percent of the temperature of the water after the thermocouples, thermistors). However, available models were shipped without thermostat reduces the gas supply to a both test methods have very similar test any insulation, but rather were minimum, shall be 140° ± 5 °F (60°± 3 procedures, with the main similarity insulated in the field. Thus, DOE is °C).

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DOE understands that some units may required to ensure that the flow rate F. Other Issues experience issues pertaining to the implemented during this test is DOE also seeks comments on other above set point conditions. Specifically, expected to require continuous burner relevant issues that would affect the test for certain commercial water heaters, operation or whether the water heater is procedures for commercial water the mean tank temperature may not allowed to cycle its burner to meet the heating equipment. Although DOE has reach the required 140° ± 5 °F (60° ± 3 demand imposed by the water draw. attempted to identify those portions of °C) after the first cut-out, even when the Issue 4: DOE requests comment on thermostat is set to the maximum the test procedure where it believes setting. In such cases, the outlet whether clarifications are needed to the amendments may be warranted, temperature of the hot water may be at, test procedure for determining thermal interested parties are welcome to or even well above 140° ± 5 °F (60° ± efficiency of commercial water heaters provide comments on any aspect of the 3 °C); however, due to stratification in to indicate required flow rates and to test procedure, including updates of the tank, the mean tank temperature account for potential changes in stored referenced standards, as part of this may not reach 140° ± 5 °F (60° ± 3 °C). heat within the water heater from the comprehensive 7-year-review The Department requests comment on start of the 30-minute test to the end. rulemaking. potential test procedure changes to E. Commercial Heat Pump Water III. Public Participation address this issue, including either a Heaters lower mean tank temperature A. Submission of Comments requirement (if feasible) or a Currently, DOE does not have a test DOE will accept comments, data, and measurement of outlet water procedure for commercial heat pump information regarding this RFI no later temperature rather than mean tank water heaters (although a place is than the date provided in the DATES temperature. reserved at 10 CFR 431.107). However, section at the beginning of this RFI. Issue 3: DOE requests comment on DOE will consider whether to adopt test Interested parties may submit comments potential test procedure changes to procedures for such equipment in this using any of the methods described in address issues with setting the tank rulemaking. DOE is aware of two the ADDRESSES section at the beginning thermostat, including (but not limited industry test methods that could of this RFI. After the close of the to) either a lower mean tank potentially be adopted by DOE as the comment period, DOE will begin temperature requirement or a test method for commercial heat pump collecting data, conducting the analyses, measurement of outlet water water heaters. In particular, DOE is and reviewing the public comments. temperature rather than mean tank aware of ANSI/ASHRAE Standard These actions will be taken to aid in the temperature. 118.1–2012, Method of Testing for development of a test procedure NOPR D. Clarification of the Thermal Rating Commercial Gas, Electric, and for commercial water heating Efficiency Test Procedure Oil Service Water-Heating Equipment, equipment. DOE’s test method for measuring the and the Air-conditioning, Heating, and DOE considers public participation to thermal efficiency of commercial water Refrigeration Institute (AHRI) Standard be a very important part of the process heaters incorporates by reference ANSI 1300, 2013 Standard for Performance for developing test procedures. DOE Z21.10.3–2011, Exhibit G, section 1. In Rating of Commercial Heat Pump Water actively encourages the participation particular, section 1.j describes the Heaters. ASHRAE 118.1–2012 includes and interaction of the public during the procedure used to conduct the 30- test methods for determining coefficient comment period in each stage of the minute test and the technique to of performance (COP) and standby loss rulemaking process. Interactions with calculate the thermal efficiency. DOE for commercial heat pump water and between members of the public notes that the formula used to compute heaters, and AHRI 1300 references the provide a balanced discussion of the the thermal efficiency does not account ASHRAE 118.1–2012 test method and issues and assist DOE in the rulemaking for any changes in heat content stored also specifies various rating conditions process. Anyone who wishes to be inside the water heater during the test. (e.g., evaporator entering air added to the DOE mailing list to receive This change in stored energy could temperatures (for air-source heat pump future notices and information about change the computation of thermal water heaters), evaporator entering this rulemaking should contact Ms. efficiency since some of the energy water temperatures (for water-source Brenda Edwards at (202) 586–2945, or input to the water heater does not heat pump water heaters), and via email at Brenda.Edwards@ appear as heat delivered by the water condenser entering water temperatures). ee.doe.gov. heater. DOE requests comment on DOE may consider adopting these B. Issues on Which DOE Seeks Comment whether such a term is needed or industry test methods or other methods Although DOE welcomes comments whether provisions should be added to as part of this rulemaking and seeks on any aspect of this RFI and its test the test procedure to ensure that the comment regarding the appropriate test procedure for commercial water heating temperature of the water in the tank method for commercial heat pump does not change from the start of the 30- equipment, DOE is particularly water heaters. minute test to the end. Furthermore, interested in receiving comments and DOE notes that the only specification on Issue 5: DOE seeks comment on views of interested parties concerning the rate of flow is that the outlet appropriate test procedures for the following issues: temperature is constant for 3 minutes. commercial heat pump water heaters. In 1. DOE requests feedback on the This specification makes no mention of particular, DOE is interested in appropriateness of using the ANSI the temperature within the water heater, receiving comments and information Z21.10.3–2013/CSA 4.3–2013 industry the status of the burners or heating relating to the industry test methods test method to replace the reference to elements before and during the test, that are available (i.e., ASHRAE 118.1– ANSI Z21.10.3–2011. DOE is also appropriate levels of flow rates, or the 2012 and AHRI 1300) and whether any interested in information and data fuel consumption rate for water heaters modifications to those standards would pertaining to the repeatability of thermal with variable firing rates. DOE requests be needed for adoption as the Federal efficiency and standby loss tests comment on whether a clarification is test method. included in the ANSI Z21.10.3–2011

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test method and the ANSI Z21.10.3– ACTION: Notice of proposed rulemaking can find and read the electronic form of 2013 test method. (NPRM). all comments received into any FAA 2. DOE requests comment on whether dockets, including the name of the updates to DOE’s incorporated test SUMMARY: The FAA is proposing individual sending the comment (or methods for unfired hot water storage changes to its certification procedures signing the comment for an association, tanks are needed. In particular, DOE and identification requirements for business, labor union, etc.). DOT’s requests comment on whether a single aeronautical products and articles. The complete Privacy Act Statement can be test method for R-value should be used proposed changes would: require found in the Federal Register published (and if so, which industry method is production approval holders to identify on April 11, 2000 (65 FR 19477–19478), most appropriate), or whether replacing an accountable manager who would be as well as at http://DocketsInfo.dot.gov. R-value with standby loss as the energy responsible for, and have authority over, Docket: Background documents or efficiency descriptor for unfired hot their production operations and serve as comments received may be read at water storage tanks would be preferable. the primary contact with the FAA; allow http://www.regulations.gov at any time. production approval holders to issue If a new metric such as standby loss is Follow the online instructions for authorized release documents for more appropriate than R-value, DOE accessing the docket or Docket aircraft engines, propellers, and articles; requests feedback on the best way to Operations in Room W12–140 of the permit production certificate holders to establish a standby loss test and the West Building Ground Floor at 1200 manufacture and install interface parameters of such a test method. New Jersey Avenue SE., Washington, components; require production 3. DOE requests comment on potential DC, between 9 a.m. and 5 p.m., Monday approval holders to ensure that each test procedure changes to address issues through Friday, except Federal holidays. with setting the tank thermostat, supplier-provided product, article, or service conforms to the production FOR FURTHER INFORMATION CONTACT: For including (but not limited to) either a technical questions concerning this lower mean tank temperature approval holder’s requirements and establish a supplier-reporting process action, contact Priscilla Steward or requirement or a measurement of outlet for products, articles, or services that Robert Cook, Aircraft Certification water temperature rather than mean have been released from or provided by Service, Production Certification tank temperature. the supplier and subsequently found not Branch, AIR–220, Federal Aviation 4. DOE requests comment on whether Administration, 800 Independence clarifications are needed to the test to conform to the production approval holder’s requirements; and remove the Avenue SW., Washington, DC 20591; procedure for thermal efficiency of requirement that fixed-pitch wooden telephone: (202) 385–6367; email: commercial water heaters to indicate propellers be marked using an approved [email protected] or telephone: required flow rates and to account for fireproof method. This proposal is (202) 385–6358; email: robert.cook@ potential changes in thermal energy necessary to update our regulations by faa.gov. within the water heater from the start of revising certification and marking For legal questions concerning this the 30-minute test to the end. action, contact Paul Greer, AGC–210, 5. DOE seeks comment on appropriate requirements to reflect the current global aeronautical manufacturing Office of the Chief Counsel, test procedures for commercial heat International Law, Legislation, and pump water heaters. In particular, DOE environment, thereby promoting aviation safety. Regulations Division, Federal Aviation is interested in receiving comments and Administration, 800 Independence information relating to the industry test DATES: Send comments on or before May 28, 2014. Avenue SW., Washington, DC 20591; methods that are available (i.e., telephone: (202) 267–7930; email: ADDRESSES: Send comments identified ASHRAE 118.1–2012 and AHRI 1300) [email protected]. and whether any modifications to those by docket number [Insert docket number SUPPLEMENTARY INFORMATION: standards would be needed for adoption from heading] using any of the as the Federal test method. following methods: Authority for This Rulemaking • Federal eRulemaking Portal: Go to Issued in Washington, DC, on February 21, http://www.regulations.gov and follow The Department of Transportation 2014. the online instructions for sending your (‘‘the Department) has the responsibility Kathleen B. Hogan, comments electronically. to develop transportation policies and Deputy Assistant Secretary for Energy • Mail: Send comments to Docket programs that contribute to providing Efficiency, Energy Efficiency and Renewable Operations, M–30; U.S. Department of fast, safe, efficient, and convenient Energy. Transportation (DOT), 1200 New Jersey transportation under Title 49, United [FR Doc. 2014–04304 Filed 2–26–14; 8:45 am] Avenue SE., Room W12–140, West States Code (49 USC), Subtitle 1, § 101. BILLING CODE 6450–01–P Building Ground Floor, Washington, DC The Federal Aviation Administration 20590–0001. (FAA or ‘‘we/us/our’’) is an agency of • Hand Delivery or Courier: Take the Department. The FAA has general DEPARTMENT OF TRANSPORTATION comments to Docket Operations in authority to issue rules regarding Room W12–140 of the West Building aviation safety, including minimum Federal Aviation Administration Ground Floor at 1200 New Jersey standards for articles and for the design, Avenue SE., Washington, DC, between 9 material, construction, quality of work, 14 CFR Parts 21 and 45 a.m. and 5 p.m., Monday through and performance of aircraft, aircraft [Docket No. FAA–2013–0933; Notice No. 14– Friday, except Federal holidays. engines, and propellers under 49 U.S.C. 01] • Fax: Fax comments to Docket 106(g) and 44701. We may also Operations at 202–493–2251. prescribe regulations in the interest of RIN 2120–AK20 Privacy: The FAA will post all safety for registering and identifying an Changes to Production Certificates comments it receives, without change, aircraft engine, propeller, or article and Approvals to http://www.regulations.gov, including under 49 U.S.C. 44104. any personal information the The FAA is proposing to amend its AGENCY: Federal Aviation commenter provides. Using the search regulations governing the certification Administration (FAA), DOT. function of the docket Web site, anyone procedures for products and articles and

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its requirements for identification and and an aircraft engine, an aircraft engine countries for the export and import of registration marking. These changes and a propeller, or an aircraft and a aviation products, and these agreements would improve the quality standards propeller. An interface component were limited in scope. applicable to manufacturers, which would be designated by the holder of Today, aviation products are would help ensure that products and the type certificate (or the supplemental manufactured world-wide. The number articles are produced as designed and type certificate) who controls the of suppliers has increased dramatically, are safe to operate. For these reasons, approved design data for that article. and they manufacture a greater this proposed rule would be a Additionally, regulations currently percentage of a given aircraft. Due to the reasonable and necessary exercise of our specify that a PAH must have global nature of manufacturing, forming rulemaking authority and obligations. procedures that ensure each supplier- business partnerships and agreements furnished product or article conforms to are common approaches to lower costs, List of Acronyms Used in This its approved design. The regulations share risks, and expand reachable Proposed Rule also require that when a nonconforming markets. Manufacturers collaborate BAA—Bilateral Airworthiness Agreement product or article is released from the globally to reduce duplicate BASA—Bilateral Aviation Safety Agreement supplier, the supplier must report the requirements for shared suppliers. The CFR—Code of Federal Regulations nonconformance to the PAH. The FAA production of replacement parts under EASA—European Aviation Safety Agency proposes to amend part 21 to clarify that PMAs and the international market for FAA—Federal Aviation Administration each supplier-provided product, article, aviation products have also increased IC—Interface Component or service would be required to conform dramatically. In recognition of global ICAO—International Civil Aviation to the PAH’s requirements. Production considerations regarding trade, Organization NPRM—Notice of Proposed Rulemaking approval holders would also have to commerce, and other matters, the U.S. PAH—Production Approval Holder establish a supplier-reporting process has entered into over 30 bilateral PC—Production Certificate for products, articles, or services agreements with foreign aviation PLR—Production Limitation Record released from or provided by the authorities. These agreements are broad PMA—Parts Manufacturer Approval supplier and subsequently found not to in scope and establish the framework for STC—Supplemental Type Certificate conform to their requirements. the international market. TC—Type Certificate Currently, a person may obtain an TSO—Technical Standard Order airworthiness approval for an aircraft A. Statement of the Problems I. Overview of the Proposed Rule engine, propeller, or article only from We are proposing changes to the FAA for a new or used aircraft regulations governing the certification In this NPRM, we are proposing engine, propeller, or article. Production procedures for products and articles and changes to certification and marking approval holders may not issue these part-marking requirements. These requirements for products and articles. airworthiness approvals under current changes would improve the quality Regulations pertaining to certification regulations. The FAA proposes to standards applicable to manufacturers, requirements for products and articles amend part 21 to allow PAHs to issue which would help to ensure that are in Title 14, Code of Federal authorized release documents (using products and articles are produced as Regulations (14 CFR) part 21. Marking FAA Form 8130–3) for new and used designed and are safe to operate. These requirements are in part 45. aircraft engines, propellers, and articles. changes would also make it easier for The regulations in part 21 do not This will provide PAHs with privileges manufacturers to produce, obtain, and require applicants for, or holders of, a similar to those afforded European- and export products and articles while production approval to identify an Canadian-approved manufacturers. continuing to ensure their safety and accountable manager. This proposal The regulations in part 45 require a quality. would require applicants and PAHs to propeller, propeller blade, or propeller 1. Accountable Manager identify an accountable manager. This hub to be marked using an approved individual would be responsible for, fireproof method. The FAA proposes to Under current regulations, a PAH is and have authority over, a PAH’s amend part 45 to exclude fixed-pitch not required to identify an accountable production operations. This individual wooden propellers from the requirement manager to serve as the primary contact would also serve as a PAH’s primary that such markings be fireproof. This with the FAA. The lack of having a contact with the FAA. Additionally, the exclusion would allow manufacturers to primary contact identified often results FAA proposes to amend part 21 to mark their products in a practical in schedule delays and uncertainty for require applicants and PAHs to amend, manner that fully considers the inherent the FAA when conducting oversight where applicable, the documents nature of wooden propellers. activities. The FAA proposes to have required by §§ 21.135, 21.305 and PAHs identify an accountable manager 21.605 to reflect the appointment of an II. Background who would serve as the primary contact accountable manager. This proposal To date, part 21 has been amended with the FAA. Having an accountable would adopt the requirement for an numerous times since it was codified in manager would provide a single accountable manger currently contained 1964. Additionally, the origins of many individual who would facilitate within part 145 and harmonize part 21 regulations in part 21 can also be traced communication between the PAH and with EASA regulations. to the Civil Air Regulations codified in FAA. Currently, part 21 allows for an 1937. Additionally, this best practice is amendment to a PC holder’s PLR so the Formerly, most manufacturers of currently required by part 145 for PC holder can add a type-certificated aviation products and articles had a certificated repair stations and is also product or article. The FAA proposes to small, local supplier base. Production used within certain other segments of amend part 21 to allow a PC holder to certificate holders oversaw the the industry. In order to obtain a manufacture and install interface manufacture of replacement parts, and production approval within EASA components (IC), under certain the international market for aviation countries, a production organization is conditions and limitations. An IC would products was relatively small. As a required to identify an accountable be defined as an article that serves as a result, for many years the U.S. had few manager. This proposal continues the functional interface between an aircraft bilateral agreements with other FAA’s efforts to harmonize its

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regulations with standards that have approved design. This proposal would III. Discussion of the Proposal been adopted by foreign authorities. also require the PAH to establish a A. Accountable Manager 2. Interface Components supplier-reporting process for products, articles, or services that have been As noted, the FAA determined in a Manufacturers cannot currently released from or provided by the previous rulemaking, ‘‘Repair Stations’’ manufacture and install certain articles supplier and subsequently found not to (66 FR 41088, August 6, 2001), that it certificated as part of the airframe onto conform to the PAH’s requirements. was necessary for a repair station to their type-certificated engines without have one individual, an accountable an exemption. Engine manufacturers 4. Issuance of Authorized Release manager, who is responsible for have petitioned for exemptions from the Documents for Aircraft Engines, ensuring repair station operations are FAA to produce and install these Propellers, and Articles conducted in accordance with part 145. articles on their type-certificated Similarly, under this proposal, the FAA engines. These articles and other articles Presently, only the FAA can issue an would require each applicant for, or that serve a functional interface between airworthiness approval (e.g., FAA Form holder of, a PC, PMA, or TSO an aircraft and an aircraft engine, and 8130–3). Industry has requested that a authorization to identify an accountable also between an aircraft engine and a PAH for an aircraft engine, propeller, or manager. propeller, or an aircraft and a propeller, article have the privilege of issuing this In conducting our oversight activities, are known as interface components (IC). document for items produced under its we have experienced delays and The FAA has found that a safety production approval. The FAA agrees uncertainty by not knowing who at the benefit exists by allowing the that significant benefits can be achieved PAH’s organization has the authority to installation of airframe components by permitting a PAH to issue an represent the PAH. There have been onto an engine during production of the authorized release document for aircraft cases where persons have represented engine. The safety benefit occurs as a engines, propellers, and articles it has themselves to have authority to act on result of avoiding the disassembly of manufactured since the PAH is behalf of the PAH when, in fact, they portions of the engine at the airframe responsible for ensuring that each did not. Such cases have occurred, for manufacturing facility, or at an air product and article conforms to its example, when a person has submitted carrier’s maintenance facility, in order approved design and is in a condition a response to a letter of investigation, and that person did not have authority to attach airframe parts to the engine. for safe operation. European and from the PAH to provide that response. Accordingly, engine manufacturers have Canadian manufacturers currently may Identification of an accountable been granted the authority to produce issue such documents. This proposal and install these articles under the manager would eliminate the problems would further harmonize our presented by such a situation. provisions of exemptions. The FAA regulations with those of foreign civil recognizes the safety benefit of this The proposal would require the aviation authorities. procedure and is therefore proposing to accountable manager to confirm that the codify the relief provided by these 5. Marking of Wooden Propellers procedures described in the quality exemptions and expand that relief to manual are in place and meet the address ICs that have a functional Under current regulations, propellers, requirements of the applicable interface between aircraft engines and propeller blades, and hubs must be regulations. Evidence of this propellers, and aircraft and propellers. marked using an approved fireproof confirmation can be shown by signing This proposal would permit a PC method. Due to the flammability the quality manual before submitting it holder to manufacture and install ICs properties of a solid wooden propeller, to the FAA. The FAA would not listed on its production limitation mounting a metal tag may be the only mandate that an individual in a specific record (PLR) onto its type-certificated way to provide fireproof identification position be identified as the accountable products under specified conditions and that would not likely be lost or manager. However, the organization limitations. destroyed in an accident. However, would have to identify a single point of attaching a metal tag can break the contact who is knowledgeable of, and 3. Supplier Control moisture seal of a propeller, which accountable for, maintaining the Supplier control continues to be a could increase the potential for cracking organization’s FAA-approved significant issue due to the increasing and deterioration of the wood. For this production operations. This use of suppliers, both globally and reason, the FAA proposes to exclude requirement is not intended to force the domestically. Additionally, PAHs are fixed-pitch wooden propellers from the PAH to hire a new person to fill this using suppliers to manufacture a greater requirement that these markings be position within its organization, but percentage of their products and fireproof. All other aspects of the rather to identify a person to serve as articles. Production approval holders marking requirements would remain the accountable manager. As also clarified in the 2001 ‘‘Repair are using suppliers as assembly unchanged. providers or as integrators of products, Stations’’ final rule, it is not the FAA’s articles, and services provided by B. Related Actions intent to impose personal liability on multiple suppliers. These practices have the accountable manager; that liability the effect of necessitating that quality The FAA has proposed revisions to will remain with the PAH. The FAA control procedures be used more Advisory Circulars (AC) 21–43, notes that the term ‘‘accountable extensively throughout the supply Production Under 14 CFR Part 21, manager’’ is consistent with EASA chain, thereby complicating Subparts F, G, K, and O; AC 21–44, terminology and would continue our communication and oversight. Issuance of Export Airworthiness harmonization efforts with foreign civil Due to the extensive use of suppliers Approvals Under 14 CFR Part 21 aviation authorities. The applicant or in all phases of the production process, Subpart L; and AC 45–2, Identification PAH would identify the accountable this proposal would require that each and Registration Marking, to include the manager by providing that person’s supplier-provided product, article, or provisions of this proposal. Copies of name and contact information to the service conform to the PAH’s these revised ACs are included in the FAA. Should a new accountable requirements and not necessarily to an docket. manager be identified by the PAH, the

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PAH would have to amend the between an aircraft and an aircraft C. Supplier Control document required by §§ 21.135, 21.305, engine, and also between an aircraft The aviation business model has and 21.605, as appropriate, to reflect engine and a propeller, or an aircraft significantly evolved in recent decades. this change, and notify the FAA of this and a propeller. Examples of ICs consist Production approval holders are amendment, in accordance with of articles such as engine mounts; increasingly using suppliers to §§ 21.146(a), 21.316(a), or 21.616(a). various electrical, hydraulic, and drain supplement their activities. Many PAHs The FAA understands the need for brackets; and environmental control no longer manufacture complete various business models and system and anti-ice ducts, along with products or articles, but rather assemble organizational structures. Currently, their associated hardware. aircraft systems and components §§ 21.135(a), 21.305(a), and 21.605(a) This proposal would also permit a PC produced by their suppliers into a require a PAH to provide the FAA with holder to manufacture and install ICs complete product or article. a document describing assigned onto its products. Although this As the aviation business model has responsibilities and delegated authority, proposal would revise § 21.147 to allow changed, first-tier suppliers have and the functional relationship of those a PC holder for a product to receive an functioned more as integrators of major responsible for quality to management amendment to its production limitation sub-assemblies (such as wings, nose and other organizational components. record (PLR) to permit the manufacture sections, and complete fuselage This proposal would also revise the and installation of ICs, the FAA notes language in the second sentence of the that the holder of design data sections) than as manufactures of referenced sections from ‘‘At a identifying the IC installed on the PC smaller assemblies or parts (such as minimum’’ to ‘‘In addition.’’ This holder’s product under the privileges of altimeters, brake assemblies, and build- change is being made to avoid any § 21.147(c) retains all of the continuing to-print parts). Accordingly, the misinterpretation as to what the airworthiness responsibilities for the IC. manufacture of articles and assemblies document must include, specifically a If the PC holder is not the owner of the has been shifted further down the description of how the organization will IC design or installation data, the PC supply chain. ensure compliance with the provisions holder has no authority to amend the Another result of the change in the of the subparts referenced in §§ 21.135, design or installation data of the IC. All aviation business model is the increased 21.305, and 21.605. changes to the design or installation use of suppliers located in countries data would be made by the design outside the U.S. The demands of B. Interface Components approval holder. The PC holder would customers and the economy have Engine manufacturers have petitioned be responsible for all issues related to caused production to move outside the for exemptions from the FAA to quality, manufacturing, and installation U.S. to accommodate agreements and manufacture and install ICs on their of the IC by the PC holder. utilize low-cost labor. The FAA seeks to type-certificated engines. In granting A PLR is issued as part of a PC. clarify its regulations to reflect the exemptions to General Electric Current § 21.142 states that a PLR lists modern manufacturing environment (Exemption No. 10079) and Pratt & the TC number and the model of every and to reinforce that it is a PAH’s Whitney (Exemption No. 10531) to product that the PC holder is authorized responsibility to ensure that its manufacture and install certain articles to manufacture. The PLR does not requirements are communicated certificated as part of an airframe onto provide for the listing of ICs. This throughout its supply chain. their engines, the FAA found that a proposal would therefore revise § 21.142 The term ‘supplier’ is mentioned safety benefit exists for the installation to specify that the PLR would also throughout 14 CFR part 21, and the term of airframe components onto an engine identify every IC that the PC holder is is commonly used within industry. during production of the engine. Copies authorized to manufacture and install. However, there is no definition of of these exemptions are included in the The TC holder would work with the supplier in the current regulations. This docket. PC holder to identify ICs. Once proposal would define the term supplier Aircraft manufacturers and air carriers identified, the PC holder would apply in proposed § 21.1(b) as a person that frequently seek delivery of engines as a for an amendment of its PLR. provides a product, article, or service at ‘‘complete propulsion system,’’ The FAA would develop guidance for any tier of the supply chain that is used consisting of an engine and aircraft kits/ PC holders and TC holders to comply or consumed in the design or parts associated with an aircraft from with any conditions and limitations manufacture of, or installed on, the the engine manufacturer. Delivering a necessary for the individual PC holder product or article. Industry has complete propulsion system makes in order to exercise this privilege. requested that the FAA provide a engine installation safer and more Section 21.147(c) would not place a definition of the term ‘supplier’ to efficient. This pre-installation delivery requirement that all ICs manufactured clarify those entities the FAA recognizes prevents redundant disassembly, torque by a PC holder be installed prior to as suppliers. Defining supplier should breaks, handling damage, and additional shipping. Having these items listed on provide PAHs with a clear retesting after the engine ships from the the PLR would allow a PC holder to understanding of the term and, manufacturing facility. both ship the ICs loose with its product therefore, better ensure regulatory Under current regulations, a PC or individually as spares. compliance. holder is allowed to manufacture a The intent of this proposal is to Currently, § 21.137(c)(1) requires a product if it holds for the product a enhance safety and facilitate global PAH to have procedures that ensure current TC, rights to the benefits of a TC manufacturing. With this proposed rule each supplier-furnished product or under a licensing agreement, or an STC change, product customers may no article conforms to its approved design. as specified in § 21.132. A manufacturer longer need to partially disassemble a This proposal would specify that a of a product currently cannot supplied product, thereby decreasing supplier must comply with a PAH’s manufacture and install an IC on that potential installation errors. The FAA requirements. The FAA recognizes that type-certificated product when the IC is acknowledges that the benefits of many supplier-furnished products do not part of that product’s type design. streamlining manufacturing and not, in fact, conform to an approved This proposal would define an IC as an eliminating duplicative processes may design when provided to a PAH, and article that serves a functional interface reduce costs. that a supplier may also provide a PAH

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with a service. This proposal would ‘supplier’ that would include all This proposal would amend § 21.137 by allow a PAH to accept products, articles, suppliers within the supply chain, the adding a new paragraph (o) to allow or services from its suppliers that do not proposal would provide PAHs with the PAHs to issue authorized release meet the approved design, yet conform ability to develop procedures to identify documents for new aircraft engines, to the PAH’s requirements. those suppliers that would be required propellers, and articles; and for used Current industry practice is for a PAH to report quality escapes and to whom aircraft engines, propellers, and articles to submit a purchase order to a supplier they must report. Such procedures when rebuilt or altered in accordance with the PAH’s specific requirements would not necessarily require all with § 43.3(j). outlined for manufacturing a product or suppliers within the supply chain to Production approval holders that article, or for providing a service. In make such reports to the PAH. The intend to issue these documents must many cases, a PAH does not require a proposal would permit PAHs to include procedures in their quality supplier to provide a product, article, or establish a means of supplier reporting systems that provide for the selection, service that conforms to the approved that is more appropriate to its particular appointment, training, recordation, design requirements for the finished production process. These procedures removal, and management of the product or article. For example, the would be required to be approved as individuals authorized by the PAH to design data for a skin section of an part of the PAH’s quality system. issue authorized release documents. The aircraft may show the final rivet hole To comply with proposed intent of this proposed requirement is to dimension, but a PAH will require a § 21.137(c)(2), the FAA expects the ensure that only qualified personnel supplier to provide pilot holes of a PAH’s quality system to specify which issue these documents. An evaluation of smaller diameter. The final diameter of suppliers must report, and to whom, these individuals’ qualifications would the holes will be achieved during when, and how those reports must be need to include an assessment of their assembly when the skin is joined to the provided. In some cases, the PAH would knowledge, background, experience, aircraft. want the supplier of certain products, and training. Qualifications should be Another example is when a PAH articles, or services to report a quality commensurate with the complexity and contracts for a machined part that escape to both its immediate customer type of product or article for which the requires additional processing that the and directly to the PAH. This reporting PAH issues the authorized release supplier is not capable of performing, could continue up through the supply documents. When an authorized release such as heat treating or plating. In such chain to the tier where the quality document is being used for the purpose a case, a PAH’s contract would reflect escape has been resolved. A PAH could of export, the production approval that it wants the article to conform to communicate its quality escape holder would be required to comply the design data without the additional reporting requirement as a flow-through with the procedures applicable to the processing. A PAH would then need to requirement to its first-tier suppliers export of new and used aircraft engines, contract with another supplier for these and subsequently through the supply propellers, and articles specified in processes. chain on a purchase order (or § 21.331 and the responsibilities of In addition, this proposal would equivalent) document. exporters specified in § 21.335 of this require a PAH to establish a supplier- part. reporting process for products, articles, D. Authorized Release Documents for Including procedures in a PAH’s or services that have been released from Aircraft Engines, Propellers, and quality system is a conditional a supplier and subsequently found not Articles requirement that only applies to a PAH to conform (hereafter referred to as a An airworthiness approval is a that wants to issue an authorized release quality escape) to the PAH’s document issued by the FAA for an document. Production approval holders requirements. Currently, § 21.137(c)(2) aircraft, aircraft engine, propeller, or not issuing these documents can requires each supplier, at any tier, to article which certifies that the aircraft, continue to obtain approvals from the report to the PAH if there has been a aircraft engine, propeller, or article FAA. The FAA plans to place guidance quality escape. Except for first-tier conforms to its approved design and is regarding the qualifications of the suppliers who report directly to the in a condition for safe operation. This individuals allowed to issue an PAH, this section does not require proposal would revise the definition of authorized release document in suppliers within the supply chain to airworthiness approval in § 21.1(b) to guidance material if this proposal is report to the next higher tier if there has indicate that an airworthiness approval adopted. This proposal is modeled after been a quality escape. This proposal document may also be issued for an the European Commission Regulation would require the PAH to define and aircraft, aircraft engine, propeller, or (EU) No. 748/2012, Annex I, Part 21, establish, as part of its quality system, article when those products or articles Certification of Aircraft and Related a process for supplier-reporting of may not necessarily conform to their Products, Parts, and Appliances, and of quality escapes. This process should approved designs. Accordingly, the Design and Production Organizations. ensure that those individuals who need FAA has added the phrase ‘‘unless The intent of this proposal is to to know when a quality escape has otherwise specified’’ because under part recognize a practice permitted by other occurred be informed in a timely 21, subpart L, for example, export authorities and give PAHs in the U.S. manner. airworthiness approvals can be issued the same flexibility and responsiveness The FAA determined it was necessary for aircraft, aircraft engines, propellers, available to their European and to clarify § 21.137(c)(2) because it and articles that do not conform to their Canadian manufacturing counterparts currently requires each supplier to approved designs when such who already issue authorized release report to the PAH if a product or article discrepancies are made known to, and documents. The proposed changes has been released from that supplier and accepted by, the importing country or would harmonize the CFR with subsequently found not to conform to jurisdiction. regulations of foreign civil aviation the applicable design data. The FAA The FAA believes a PAH should be authorities and facilitate the global recognizes that such a requirement can permitted to issue authorized release movement and acceptance of aircraft impose a significant burden on PAHs. documents since the PAH is responsible engines, propellers, and articles. Although the FAA has proposed to for ensuring the airworthiness of each All airworthiness certificates would include a definition of the term product and article it manufactures. continue to be issued by the FAA.

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Production approval holders would not may be the only way to provide a impact of regulatory changes on small be permitted to issue airworthiness fireproof identification that will not entities. Third, the Trade Agreements certificates under the provisions of this likely be lost or destroyed in an Act (Pub. L. 96–39) prohibits agencies proposal. accident. from setting standards that create E. Marking of Wooden Propellers The FAA further noted the possible unnecessary obstacles to the foreign safety risks inherent in attaching a metal commerce of the United States. In Currently, § 45.11(c) requires each tag. Attaching a metal tag could: (1) developing U.S. standards, the Trade person who produces a propeller, Affect the environmental resistance of a Act requires agencies to consider propeller blade, or propeller hub under wooden propeller because the screws international standards and, where a TC or PC to mark each product or part would break the moisture seal, which appropriate, that they be the basis of using an approved fireproof method. would increase the potential for U.S. standards. Fourth, the Unfunded The regulation does not take into cracking and deterioration of the Mandates Reform Act of 1995 (Pub. L. account the inherent difficulty of wooden propeller; (2) increase the 104–4) requires agencies to prepare a marking a wooden propeller with a difficulty in attaining propeller balance; written assessment of the costs, benefits, fireproof method. Under this proposal, and (3) become ineffective because the and other effects of proposed or final § 45.11(c) would continue to require a metal tag could become loose and fall rules that include a Federal mandate fixed-pitch wooden propeller to be off, leaving the propeller with no likely to result in the expenditure by marked; however, the marking would no identification. Therefore, in granting the State, local, or tribal governments, in the longer be required to be fireproof. This exemption, the FAA found that aggregate, or by the private sector, of relief is not necessary for variable-pitch stamping the hub of the propeller with $100 million or more annually (adjusted wooden propellers, as they are the identification marks would achieve for inflation with base year of 1995). constructed with a metal hub which can a level of safety equivalent to that of the This portion of the preamble be marked with a fireproof method. rule. Stamping has been the industry’s summarizes the FAA’s analysis of the In 2000, 2003, and 2008, the FAA standard for marking wooden economic impacts of this proposed rule. granted Exemptions Nos. 7559, 8394, propellers. Additionally, the FAA and 9800 (and an extension with an Department of Transportation Order recognizes that engravings and etchings amendment to Exemption No. 9800 in DOT 2100.5 prescribes policies and are acceptable methods for marking 2013) to Sensenich Wood Propeller procedures for simplification, analysis, identification. Company, Inc. (‘‘Sensenich’’). These and review of regulations. If the exemptions permitted Sensenich to IV. Regulatory Notices and Analyses expected cost impact is so minimal that place the required identification a proposed or final rule does not marking directly on the hub of a A. Regulatory Evaluation warrant a full evaluation, this order wooden propeller instead of attaching a Changes to Federal regulations must permits that a statement to that effect metal tag with that information. (Copies undergo several economic analyses. and the basis for it be included in the of these exemptions are included in the First, Executive Order 12866 and preamble if a full regulatory evaluation docket.) In its petition for exemption, Executive Order 13563 direct that each of the costs and benefits is not prepared. Sensenich reported that in accidents Federal agency shall propose or adopt a Such a determination has been made for involving damage to wooden propellers, regulation only upon a reasoned this proposed rule. The reasoning for the hub remains intact, thus preserving determination that the benefits of the this determination follows. the stamped identification. The FAA intended regulation justify its costs. Discussion of Costs and Benefits also noted that because of the Second, the Regulatory Flexibility Act flammability properties of a solid of 1980 (Public Law 96–354) requires Overview of Costs and Benefits of This wooden propeller, mounting a metal tag agencies to analyze the economic Proposed Rule

Provision Costs/benefits

Require Identification of Accountable Manager ...... Minimal costs—requires identification of an existing manager who would be responsible for, and have authority over, a PAH’s oper- ations, and who would serve as a PAH’s primary contact with the FAA. Allow PC Holders to Manufacture and Install Interface Components ..... Codifying the practice, currently allowed by exemption, would reduce regulatory compliance costs. Clarify Supplier Control Requirements ...... No additional cost. Proposal clarifies existing requirements that PAHs are responsible for conformity throughout their supply chains and gives PAHs flexibility in establishing a supplier-reporting process for nonconforming releases. Allow PAHs to Issue Authorized Release Documents for Aircraft En- Voluntary, so inherently cost-beneficial. gines, Propellers and Articles. Exclude Fixed-Pitch Wooden Propellers from Fireproof Marking Re- The FAA found the exemption provides an equivalent level of safety. quirements. Codifying the practice currently allowed by exemption would reduce regulatory compliance costs.

Who is potentially affected by this Costs and Benefits of This Proposed a Production Certificate (PC), PMA proposed rule? Rule (Parts Manufacturer Approval), or TSO Production approval holders (PAHs) 1. Require Identification of an (Technical Standard Order) and TC (type certificate) holders are Accountable Manager authorization to identify an accountable potentially affected. manager, who would be responsible for, Under this proposal, the FAA would and have authority over, a PAH’s require each applicant for, or holder of, operations, and who would serve as a

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PAH’s primary contact with the FAA. components that interface between the already implied by the practice. This proposal is not intended to require engine and the airframe provided they Codifying the practice, however, would the PAH to create a new position within own or are licensed to use the IC type reduce regulatory costs since paperwork its organization and would not mandate design and installation data. In granting requirements involved in periodic that an individual in a specific position these exemptions, the FAA found that application for and granting of be identified as the accountable allowing engine manufacturers to exemptions would be eliminated. manager. Consequently, the costs, if produce and install ICs improved safety any, associated with this requirement and efficiency by eliminating 3. Supplier Control are minimal. disassembly, reassembly and retesting, With this proposal the FAA intends to as well as related scoring of fatigue 2. Allow Production Certificate Holders clarify existing requirements that the sensitive parts; damage to critical parts; To Manufacture and Install Interface PAH is responsible for (1) conformity and air/fuel/oil leaks.2 Components This provision would codify the throughout the supply chain and (2) PC holders currently cannot install practice, currently allowed by establishing a supplier reporting process interface components (ICs) on their exemption, of allowing PC holders to for nonconforming releases. As there is type-certificated products without an manufacture and install ICs, and would no definition of supplier in the current exemption. Current regulations apply to any articles designated by the regulations, the proposed rule would governing the production limitation TC holder that interface between define supplier as ‘‘a person that record and the amendment of PCs products, therefore including the provides a product, article, or service at restrict the PC holder to the interface between propeller and aircraft any tier in the supply chain that is used manufacture of products only (aircraft, engine and between propeller and or consumed in the design or aircraft engines, or propellers) and do aircraft, as well as between aircraft manufacture of, or installed on, a not authorize installation.1 The FAA has engine and aircraft. Codifying the product or article.’’ granted exemptions to engine practice of allowing PC holders to The proposed rule would change the manufacturers, allowing them to manufacture and install ICs implies no language to § 21.137(c) as shown in the manufacture and install airframe change in safety or efficiency benefits following table:

Current language Proposed language

Supplier Control. Procedures that— Supplier Control. Procedures that— (1) Ensure that each supplier-furnished product or article conforms (1) Ensure that each supplier-provided product, article, or service con- to its approved design; and forms to the production approval holder’s requirements; and (2) Require each supplier to report to the production approval hold- (2) Establish a supplier-reporting process for products, articles, or serv- er if a product or article has been released from that supplier ices that have been released from the supplier and subsequently and subsequently found not to conform to the applicable design found not to conform to the production approval holder’s require- data. ments.

As provision (1) just clarifies the obtain approvals from the FAA. For regulations requiring that a propeller, FAA’s intent, while provision (2) gives aircraft, an export airworthiness propeller blade, or propeller hub be the PAHs greater flexibility, any approval would continue to be issued marked using an approved fireproof additional costs would be minimal. only by the FAA, using Form 8130–4, method. In granting the exemption, the ‘‘Export Certificate of Airworthiness.’’ FAA found that stamping the hub of the 4. Allow Production Approval Holders propeller with the identification marks To Issue Authorized Release Documents Although export airworthiness approvals are required only when would achieve a level of safety for Aircraft Engines, Propellers, and equivalent to the rule. The FAA Articles requested by a foreign civil aviation authority, they have become maintains that finding in this proposal This proposal would allow, but not increasingly valued in the aviation and, in any case, codifying the practice, require, PAHs to issue authorized industry. Several U.S. manufacturers currently allowed by exemption, release documents using FAA Form have requested the privilege of issuing implies no change in safety benefits.3 8130–3, ‘‘Authorized Release authorized release documents, which is Codifying the practice, however, would Certificate,’’ for aircraft engines, already enjoyed by their European and reduce regulatory compliance costs propellers, and articles for which the Canadian counterparts. As issuance of since the costs of fireproof stamping and PAH has a production approval. FAA authorized release documents is the costs of paperwork requirements Form 8130–3 is the preferred method for voluntary, this provision would be involved in periodic application for and issuing an export airworthiness inherently cost beneficial. granting of the exemption would be eliminated. approval documenting that an aircraft 5. Marking of Fixed-Pitch Wooden engine, propeller, or article conforms to Propellers B. Regulatory Flexibility Determination its approved design and is in a condition for safe operation. PAHs As noted in the preamble above, the The Regulatory Flexibility Act of 1980 choosing not to issue these authorized FAA granted an exemption to Sensenich (Pub. L. 96–354) (RFA) establishes ‘‘as a release documents would continue to Wood Propeller Company from the principle of regulatory issuance that

1 These regulations were § 21.151 (production delivery of quick-change replacement engines to want kits on hand for routine maintenance limitation record) and § 21.153 (amendments of end users such as air carriers and charter operators. operations or to replace hardware damaged during production certificates) before the 2010 changes in Some piece parts (or kits), such as the engine operations. the part 21 rule and § 21.142 and § 21.147 in 2012, buildup unit (EBU), rather than being installed by 3 Since variable-pitch wooden propellers have after the 2010 changes. the PC holder may be shipped separately to an metal hubs, a metal tag is not necessary. 2 The production and installation of ICs by engine aircraft manufacturer for the purpose of just-in-time manufacturers also increase efficiency by allowing manufacturing operations, or to an airline that may

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agencies shall endeavor, consistent with from establishing standards or engaging maximum extent practicable. The FAA the objectives of the rule and of in related activities that create has reviewed the corresponding ICAO applicable statutes, to fit regulatory and unnecessary obstacles to the foreign Standards and Recommended Practices informational requirements to the scale commerce of the United States. and has identified no differences with of the businesses, organizations, and Pursuant to these Acts, the these proposed regulations. governmental jurisdictions subject to establishment of standards is not Executive Order 13609, Promoting regulation.’’ To achieve this principle, considered an unnecessary obstacle to International Regulatory Cooperation, agencies are required to solicit and the foreign commerce of the United promotes international regulatory consider flexible regulatory proposals States, so long as the standard has a cooperation to meet shared challenges and to explain the rationale for their legitimate domestic objective, such as involving health, safety, labor, security, actions to assure that such proposals are the protection of safety, and does not environmental, and other issues and to given serious consideration.’’ The RFA operate in a manner that excludes reduce, eliminate, or prevent covers a wide-range of small entities, imports that meet this objective. The unnecessary differences in regulatory including small businesses, not-for- statute also requires consideration of requirements. The FAA has analyzed profit organizations, and small international standards and, where this action under the policies and governmental jurisdictions. appropriate, that they be the basis for agency responsibilities of Executive Agencies must perform a review to U.S. standards. Order 13609, and has determined that determine whether a rule will have a The FAA has assessed the potential this action would have no effect on significant economic impact on a effect of this proposed rule and international regulatory cooperation. substantial number of small entities. If determined that the rule’s provision G. Environmental Analysis the agency determines that it will, the allowing PAHs to issue authorized agency must prepare a regulatory release documents would be in accord FAA Order 1050.1E identifies FAA flexibility analysis as described in the with the Trade Agreements Act as this actions that are categorically excluded RFA. provision uses European standards as from preparation of an environmental However, if an agency determines that the basis for United States regulation. assessment or environmental impact a rule is not expected to have a The remaining provisions have a statement under the National significant economic impact on a minimal domestic impact only and Environmental Policy Act in the substantial number of small entities, therefore no effect on international absence of extraordinary circumstances. section 605(b) of the RFA provides that trade. The FAA has determined this the head of the agency may so certify rulemaking action qualifies for the and a regulatory flexibility analysis is D. Unfunded Mandates Assessment categorical exclusion identified in not required. The certification must Title II of the Unfunded Mandates paragraph 312f and involves no include a statement providing the Reform Act of 1995 (Pub. L. 104–4) extraordinary circumstances. factual basis for this determination, and requires each Federal agency to prepare V. Executive Order Determinations the reasoning should be clear. a written statement assessing the effects The provisions of this proposed rule of any Federal mandate in a proposed or A. Executive Order 12866 (1) are minimal cost, (2) would impose final agency rule that may result in an See the ‘‘Regulatory Evaluation’’ no additional costs because the expenditure of $100 million or more (in discussion in the ‘‘Regulatory Notices provisions would clarify only or are 1995 dollars) in any one year by State, and Analyses’’ section elsewhere in this current practice, or (3) are voluntary and local, and tribal governments, in the preamble. therefore inherently cost-beneficial. aggregate, or by the private sector; such If an agency determines that a a mandate is deemed to be a ‘‘significant B. Executive Order 13132, Federalism rulemaking will not result in a regulatory action.’’ The FAA currently The FAA has analyzed this proposed significant economic impact on a uses an inflation-adjusted value of rule under the principles and criteria of substantial number of small entities, the $143.1 million in lieu of $100 million. Executive Order 13132, Federalism. The head of the agency may so certify under This proposed rule does not contain agency has determined that this action section 605(b) of the RFA. Therefore, as such a mandate; therefore, the would not have a substantial direct provided in section 605(b), the head of requirements of Title II of the Act do not effect on the States, or the relationship the FAA certifies that this rulemaking apply. between the Federal Government and will not result in a significant economic the States, or on the distribution of impact on a substantial number of small E. Paperwork Reduction Act power and responsibilities among the entities. The FAA solicits comments The Paperwork Reduction Act of 1995 various levels of government, and, regarding this determination. (44 U.S.C. 3507(d)) requires that the therefore, would not have Federalism Specifically, the FAA requests FAA consider the impact of paperwork implications. comments on whether the proposed rule and other information collection C. Executive Order 13211, Regulations creates any specific compliance costs burdens imposed on the public. The That Significantly Affect Energy Supply, unique to small entities. Please provide FAA has determined that there would Distribution, or Use detailed economic analysis to support be no new requirement for information any cost claims. The FAA also invites collection associated with this proposed The FAA analyzed this proposed rule comments regarding other small-entity rule. under Executive Order 13211, Actions concerns with respect to the proposed Concerning Regulations that F. International Compatibility and rule. Significantly Affect Energy Supply, Cooperation Distribution, or Use (May 18, 2001). The C. International Trade Impact In keeping with U.S. obligations agency has determined that it would not Assessment under the Convention on International be a ‘‘significant energy action’’ under The Trade Agreements Act of 1979 Civil Aviation, it is FAA policy to the executive order and would not be (Pub. L. 96–39), as amended by the conform to International Civil Aviation likely to have a significant adverse effect Uruguay Round Agreements Act (Pub. Organization (ICAO) Standards and on the supply, distribution, or use of L. 103–465), prohibits Federal agencies Recommended Practices to the energy.

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VI. Additional Information 1. Searching the Federal eRulemaking (5) Interface component means an Portal (http://www.regulations.gov); article that serves as a functional A. Comments Invited 2. Visiting the FAA’s Regulations and interface between an aircraft and an The FAA invites interested persons to Policies Web page at http:// aircraft engine, an aircraft engine and a participate in this rulemaking by www.faa.gov/regulations_policies or propeller, or an aircraft and a propeller. submitting written comments, data, or 3. Accessing the Government Printing An interface component is designated views. The agency also invites Office’s Web page at http:// by the holder of the type certificate or comments relating to the economic, www.gpoaccess.gov/fr/index.html. the supplemental type certificate who environmental, energy, or federalism Copies may also be obtained by controls the approved design data for impacts that might result from adopting sending a request to the Federal that article. the proposals in this document. The Aviation Administration, Office of * * * * * most helpful comments reference a Rulemaking, ARM–1, 800 Independence (10) Supplier means a person that specific portion of the proposal, explain Avenue SW., Washington, DC 20591, or provides a product, article, or service at the reason for any recommended by calling (202) 267–9680. Commenters any tier in the supply chain that is used change, and include supporting data. To must identify the docket or notice or consumed in the design or ensure the docket does not contain number of this rulemaking. manufacture of, or installed on a duplicate comments, commenters All documents the FAA considered in product or article. should send only one copy of written developing this proposed rule, ■ 3. Revise § 21.135 to read as follows: comments, or if comments are filed including economic analyses and electronically, commenters should technical reports, may be accessed from § 21.135 Organization. submit only one time. the Internet through the Federal The FAA will file in the docket all (a) Each applicant for or holder of a eRulemaking Portal referenced in item production certificate must provide the comments it receives, as well as a report (1) above. summarizing each substantive public FAA with a document describing how contact with FAA personnel concerning List of Subjects its organization will ensure compliance with the provisions of this subpart. In this proposed rulemaking. Before acting 14 CFR Part 21 on this proposal, the FAA will consider addition, the document must identify an all comments it receives on or before the Amendment of production accountable manager and describe closing date for comments. The FAA certificates, Issuance of export assigned responsibilities, delegated will consider comments filed after the airworthiness approvals for aircraft authorities, and the functional comment period has closed if it is engines, propellers, and articles, relationship of those responsible for possible to do so without incurring Organization and Quality system. quality to management and other expense or delay. The agency may organizational components. 14 CFR Part 45 (b) The accountable manager specified change this proposal in light of the in paragraph (a) of this section is comments it receives. Marking of products. responsible for, and has the authority Proprietary or Confidential Business The Proposed Amendment Information: Commenters should not over, all production operations that are file proprietary or confidential business In consideration of the foregoing, the conducted under this part. The information in the docket. Such Federal Aviation Administration production approval holder must ensure information must be sent or delivered proposes to amend chapter I of Title 14, that the accountable manager confirms directly to the person identified in the Code of Federal Regulations as follows: the procedures described in the quality manual are in place and the FOR FURTHER INFORMATION CONTACT PART 21—CERTIFICATION section of this document, and marked as requirements of the applicable PROCEDURES FOR PRODUCTS AND regulations are met. The accountable proprietary or confidential. If submitting PARTS information on a disk or CD ROM, mark manager serves as the primary contact with the FAA. the outside of the disk or CD ROM, and ■ 1. The authority citation for part 21 ■ identify electronically within the disk or continues to read as follows: 4. Amend § 21.137, by revising CD ROM the specific information that is paragraphs (c)(1) and (2) and adding proprietary or confidential. Authority: 42 U.S.C. 7572; 49 U.S.C. paragraph (o) to read as follows: 106(g), 40105, 40113, 44701–44702, 44704, Under 14 CFR 11.35(b), when the 44707, 44709, 44711, 44713, 44715, 45303. § 21.137 Quality system. FAA is aware of proprietary information filed with a comment, the agency does ■ 2. Amend § 21.1 by revising paragraph * * * * * not place it in the docket. It is held in (b)(1), redesignating paragraphs (b)(5) (c) * * * a separate file to which the public does through (8) as (b)(6) through (9), and (1) Ensure that each supplier- not have access, and the FAA places a adding new paragraph (b)(5) and provided product, article, or service note in the docket that it has received paragraph (b)(10) to read as follows: conforms to the production approval holder’s requirements; and it. If the FAA receives a request to § 21.1 Applicability and definitions. examine or copy this information, it (2) Establish a supplier-reporting treats it as any other request under the * * * * * process for products, articles, or services Freedom of Information Act (5 U.S.C. (b) * * * that have been released from or 552). The FAA processes such a request (1) Airworthiness approval means a provided by the supplier and under Department of Transportation document issued by the FAA for an subsequently found not to conform to procedures found in 49 CFR Part 7. aircraft, aircraft engine, propeller, or the production approval holder’s article which certifies that the aircraft, requirements. B. Availability of Rulemaking aircraft engine, propeller, or article * * * * * Documents conforms to its approved design, unless (o) Issuing authorized release An electronic copy of rulemaking otherwise specified, and is in a documents. Procedures for issuing documents may be obtained from the condition for safe operation. authorized release documents for Internet by— * * * * * aircraft engines, propellers, and articles

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if the production approval holder (5) The applicant complies with any ■ 10. Amend § 45.11 by revising intends to issue those documents. These other conditions and limitations the paragraph (c) introductory text to read procedures must provide for the FAA considers necessary. as follows: selection, appointment, training, ■ 7. Revise § 21.305 to read as follows: management, and removal of § 45.11 Marking of products. individuals authorized by the § 21.305 Organization. * * * * * production approval holder to issue (a) Each applicant for or holder of a (c) Propellers and propeller blades authorized release documents. These PMA must provide the FAA with a and hubs. Each person who produces a documents may be issued for new document describing how its propeller, propeller blade, or propeller aircraft engines, propellers, and articles; organization will ensure compliance hub under a type certificate or and for used aircraft engines, propellers, with the provisions of this subpart. In production certificate must mark each and articles when rebuilt, or altered, in addition, the document must identify an product or part. Except for a fixed-pitch accordance with § 43.3(j) of this chapter. accountable manager and describe wooden propeller, the marking must be When an authorized release document assigned responsibilities, delegated accomplished using an approved is being used for the purpose of export, authorities, and the functional fireproof method. The marking must— the production approval holder must relationship of those responsible for * * * * * comply with the procedures applicable quality to management and other Issued under authority provided by 49 to the export of new and used aircraft organizational components. U.S.C. 106(f), 44701(a), and 44703 in engines, propellers, and articles (b) The accountable manager specified Washington, DC, on January 23, 2014. specified in § 21.331 and the in paragraph (a) of this section is Frank P. Paskiewicz, responsibilities of exporters specified in responsible for, and has the authority Deputy Director, Aircraft Certification § 21.335 of this part. over, all production operations that are Service. ■ 5. Revise § 21.142 to read as follows: conducted under this part. The [FR Doc. 2014–04330 Filed 2–26–14; 8:45 am] production approval holder must ensure BILLING CODE 4910–13–P § 21.142 Production limitation record. that the accountable manager confirms The FAA issues a production the procedures described in the quality limitation record as part of a production manual are in place and the DEPARTMENT OF TRANSPORTATION certificate. The record lists the type requirements of the applicable certificate number and model of every regulations are met. The accountable Federal Aviation Administration product that the production certificate manager serves as the primary contact holder is authorized to manufacture, with the FAA. 14 CFR Part 39 and identifies every interface ■ 8. Revise § 21.605 to read as follows: [Docket No. FAA–2014–0059; Directorate component that the production Identifier 2013–NM–075–AD] certificate holder is authorized to § 21.605 Organization. manufacture and install. (a) Each applicant for or holder of a RIN 2120–AA64 ■ 6. Revise § 21.147 to read as follows: TSO authorization must provide the FAA with a document describing how Airworthiness Directives; Embraer S.A. § 21.147 Amendment of production its organization will ensure compliance Airplanes certificates. with the provisions of this subpart. In AGENCY: Federal Aviation (a) The holder of a production addition, the document must identify an Administration (FAA), DOT. certificate must apply for an amendment accountable manager and describe ACTION: Notice of proposed rulemaking to a production certificate in a form and assigned responsibilities, delegated (NPRM). manner prescribed by the FAA. authorities, and the functional (b) The applicant for an amendment relationship of those responsible for SUMMARY: We propose to supersede to a production certificate to add a type quality to management and other Airworthiness Directive (AD) 2012–07– certificate or model, or both, must organizational components. 08, for all Embraer S.A. Model ERJ 170 comply with the applicable (b) The accountable manager specified airplanes. AD 2012–07–08 currently requirements of §§ 21.137, 21.138, and in paragraph (a) of this section is requires revising the Airworthiness 21.150. responsible for, and has the authority Limitations Section (ALS) of the (c) The applicant for an amendment to over, all production operations that are Instructions for Continued a production certificate may have its conducted under this part. The Airworthiness (ICA) to incorporate new production limitation record amended production approval holder must ensure structural inspection requirements. to allow the manufacture and that the accountable manager confirms Since we issued AD 2012–07–08, we installation of an interface component, the procedures described in the quality have determined that more restrictive provided— manual are in place and the maintenance requirements and (1) The design and installation data requirements of the applicable airworthiness limitations are necessary. for the interface component is owned regulations are met. The accountable This proposed AD would require by, or licensed to, the applicant and manager serves as the primary contact revising the maintenance or inspection made available to the FAA upon with the FAA. program to incorporate new inspections. request; We are proposing this AD to detect and (2) The interface component is PART 45—IDENTIFICATION AND correct fatigue cracking of structural manufactured by the applicant; REGISTRATION MARKING components, which could result in (3) The applicant’s product conforms reduced structural integrity of the to its approved type design and the ■ 9. The authority citation for part 45 airplane. interface component conforms to its continues to read as follows: DATES: approved type design data; Authority: 49 U.S.C. 106(g), 40103, 40113– We must receive comments on (4) The assembled product with the 40114, 44101–44105, 44107–44111, 44504, this proposed AD by April 14, 2014. installed interface component is in a 44701, 44708–44709, 44711–44713, 44725, ADDRESSES: You may send comments by condition for safe operation; and 45302–45303, 46104, 46304, 46306, 47122. any of the following methods:

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• Federal eRulemaking Portal: Go to comments on the overall regulatory, FAA’s Determination and Requirements http://www.regulations.gov. Follow the economic, environmental, and energy of This Proposed AD instructions for submitting comments. aspects of this proposed AD. We will This product has been approved by • Fax: (202) 493–2251. consider all comments received by the the aviation authority of another • Mail: U.S. Department of closing date and may amend this country, and is approved for operation Transportation, Docket Operations, M– proposed AD based on those comments. in the United States. Pursuant to our 30, West Building Ground Floor, Room We will post all comments we bilateral agreement with the State of W12–140, 1200 New Jersey Avenue SE., receive, without change, to http:// Design Authority, we have been notified Washington, DC 20590. www.regulations.gov, including any of the unsafe condition described in the • Hand Delivery: U.S. Department of personal information you provide. We MCAI and service information Transportation, Docket Operations, M– will also post a report summarizing each referenced above. We are proposing this 30, West Building Ground Floor, Room substantive verbal contact we receive AD because we evaluated all pertinent W12–140, 1200 New Jersey Avenue SE., about this proposed AD. information and determined an unsafe Washington, DC, between 9 a.m. and 5 Discussion condition exists and is likely to exist or p.m., Monday through Friday, except develop on other products of the same Federal holidays. On March 29, 2012, we issued AD type design. For service information identified in 2012–07–08, Amendment 39–17014 (77 this proposed AD, contact Embraer S.A., FR 24342, April 24, 2012). AD 2012–07– This proposed AD would require Technical Publications Section (PC 08 requires actions intended to address revisions to certain operator 060), Av. Brigadeiro Faria Lima, 2170— an unsafe condition on all EMBRAER maintenance documents to include new Putim—12227–901 Sa˜o Jose dos S.A. Model ERJ 170 airplanes. (AD actions (e.g., inspections). Compliance Campos—SP—BRASIL; telephone +55 2012–07–08 superseded AD 2010–11– with these actions is required by 14 CFR 12 3927–5852 or +55 12 3309–0732; fax 13, Amendment 39–16318 (75 FR 91.403(c). For airplanes that have been +55 12 3927–7546; email distrib@ 30284, June 1, 2010)). previously modified, altered, or repaired embraer.com.br; Internet http:// Since we issued AD 2012–07–08, in the areas addressed by this proposed www.flyembraer.com. You may view Amendment 39–17014 (77 FR 24342, AD, the operator may not be able to this referenced service information at April 24, 2012), the Ageˆncia Nacional accomplish the actions described in the the FAA, Transport Airplane de Aviac¸a˜o Civil (ANAC), which is the revisions. In this situation, to comply Directorate, 1601 Lind Avenue SW., aviation authority for Brazil, has issued with 14 CFR 91.403(c), the operator Renton, WA. For information on the Brazilian Airworthiness Directive 2012– must request approval for an alternative availability of this material at the FAA, 10–01, effective October 29, 2012 method of compliance according to call 425–227–1221. (referred to after this as the Mandatory paragraph (k) of this proposed AD. The Continuing Airworthiness Information, request should include a description of Examining the AD Docket or ‘‘the MCAI’’), to correct an unsafe changes to the required inspections that You may examine the AD docket on condition for the specified products. will ensure the continued operational the Internet at http:// The MCAI states: safety of the airplane. www.regulations.gov by searching for This [Brazilian] AD results from a new This proposed AD would retain only and locating Docket No. FAA–2014– revision to the Airworthiness Limitations certain paragraphs from AD 2012–07– 0059; or in person at the Docket Section (ALS) of Embraer ERJ 170 08, Amendment 39–17014 (77 FR Operations office between 9 a.m. and 5 Maintenance Review Board Report (MRBR 24342, April 24, 2012). Because all of p.m., Monday through Friday, except 1621), to include new or modification of the the paragraphs in AD 2012–07–08 are Federal holidays. The AD docket current tasks and its respective thresholds not included in this proposed AD, the contains this proposed AD, the and intervals. Failure to inspect these organization of the retained paragraphs regulatory evaluation, any comments structural components, according to the new was changed. or revised tasks, thresholds and intervals, received, and other information. The could prevent a timely detection of fatigue Costs of Compliance street address for the Docket Operations cracking. These cracks, if not properly office (telephone (800) 647–5527) is in addressed, could adversely affect the We estimate that this proposed AD the ADDRESSES section. Comments will structural integrity of the airplane. affects 171 products of U.S. registry. be available in the AD docket shortly The required action is revising the The actions that are required by AD after receipt. maintenance or inspection program to 2012–07–08, Amendment 39–17014 (77 FOR FURTHER INFORMATION CONTACT: incorporate new structural inspection FR 24342, April 24, 2012), and retained Kathrine Rask, Aerospace Engineer, requirements. You may examine the in this proposed AD take about 1 work- International Branch, ANM–116, MCAI in the AD docket on the Internet hour per product, at an average labor Transport Airplane Directorate, FAA, at http://regulations.gov by searching for rate of $85 per work-hour. Required 1601 Lind Avenue SW., Renton, WA and locating it in Docket No. FAA– parts cost about $0 per product. Based 98057–3356; telephone 425–227–2180; 2014–0059. on these figures, the estimated cost of fax 425–227–1149. the actions that were required by AD Relevant Service Information SUPPLEMENTARY INFORMATION: 2012–07–08 is $85 per product. EMBRAER has issued Part 2— We also estimate that it would take Comments Invited Airworthiness Limitation Inspection about 1 work-hour per product to We invite you to send any written (ALI)—Structures, of Appendix A, comply with the basic requirements of relevant data, views, or arguments about Airworthiness Limitations of the this proposed AD. The average labor this proposed AD. Send your comments EMBRAER 170 Maintenance Review rate is $85 per work-hour. Required to an address listed under the Board MRB–1621, Revision 8, dated parts would cost about $0 per product. ADDRESSES section. Include ‘‘Docket No. August 20, 2012. The actions described Based on these figures, we estimate the FAA–2014–0059; Directorate Identifier in this service information are intended cost of this proposed AD on U.S. 2013–NM–075–AD’’ at the beginning of to correct the unsafe condition operators to be $14,535, or $85 per your comments. We specifically invite identified in the MCAI. product.

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Authority for This Rulemaking § 39.13 [Amended] cycles after revising the maintenance ■ program, whichever occurs later. For certain Title 49 of the United States Code 2. The FAA amends § 39.13 by removing Airworthiness Directive (AD) tasks, the compliance times depend on the specifies the FAA’s authority to issue pre-modification and post-modification rules on aviation safety. Subtitle I, 2012–07–08, Amendment 39–17014 (77 status of the actions specified in the section 106, describes the authority of FR 24342, April 24, 2012), and adding associated service bulletin, as specified in the the FAA Administrator. ‘‘Subtitle VII: the following new AD: ‘‘Applicability’’ column of Part 2— Aviation Programs,’’ describes in more Embraer S.A.: Docket No. FAA–2014–0059; Airworthiness Limitation Inspection (ALI)— Directorate Identifier 2013–NM–075–AD. Structures, of Appendix A, Airworthiness detail the scope of the Agency’s Limitations, of the EMBRAER 170 MRBR, authority. (a) Comments Due Date MRB–1621, Revision 7, dated November 11, We are issuing this rulemaking under We must receive comments by April 14, 2010; and EMBRAER Temporary Revision 7– the authority described in ‘‘Subtitle VII, 2014. 1, dated February 11, 2011, to Part 2— Part A, Subpart III, Section 44701: Airworthiness Limitation Inspection (ALI)— General requirements.’’ Under that (b) Affected ADs Structures, of Appendix A, Airworthiness section, Congress charges the FAA with This AD supersedes AD 2012–07–08, Limitations of the EMBRAER 170 MRBR, promoting safe flight of civil aircraft in Amendment 39–17014 (77 FR 24342, April MRB–1621, Revision 7. air commerce by prescribing regulations 24, 2012). (h) Retained No Alternative Actions, for practices, methods, and procedures (c) Applicability Intervals, and/or Critical Design the Administrator finds necessary for This AD applies to Embraer S.A. Model Configuration Control Limitations (CDCCLs) safety in air commerce. This regulation ERJ 170–100 LR, –100 STD, –100 SE., and This paragraph restates the actions is within the scope of that authority –100 SU airplanes; and Model ERJ 170–200 required by paragraph (j) of AD 2012–07–08, because it addresses an unsafe condition LR, –200 SU, and –200 STD airplanes; Amendment 39–17014 (77 FR 24342, April that is likely to exist or develop on certificated in any category; all manufacturer 24, 2012). After accomplishing the revision serial numbers. required by paragraph (g) of this AD, no products identified in this rulemaking alternative actions (e.g., inspections), action. (d) Subject intervals, and/or CDCCLs may be used other Regulatory Findings Air Transport Association (ATA) of than those specified in Part 2—Airworthiness America Code 52, Doors; Code 53, Fuselage; Limitation Inspection (ALI)—Structures, of We determined that this proposed AD Code 54, Nacelles/Pylons; Code 55 Appendix A, Airworthiness Limitations, of would not have federalism implications Stabilizers; Code 57, Wings; Code 71 the EMBRAER 170 MRBR, MRB–1621, under Executive Order 13132. This Powerplant; and Code 78, Exhaust. Revision 7, dated November 11, 2010; and EMBRAER Temporary Revision 7–1, dated proposed AD would not have a (e) Reason substantial direct effect on the States, on February 11, 2011, to Part 2—Airworthiness This AD was prompted by a determination Limitation Inspection (ALI)—Structures, of the relationship between the national that more restrictive maintenance Appendix A, Airworthiness Limitations of Government and the States, or on the requirements and airworthiness limitations the EMBRAER 170 MRBR, MRB–1621, distribution of power and are necessary. We are issuing this AD to Revision 7; unless the actions or intervals are responsibilities among the various detect and correct fatigue cracking of approved as an alternative method of levels of government. structural components, which could result in compliance (AMOC), in accordance with the For the reasons discussed above, I reduced structural integrity of the airplane. procedures specified in paragraph (k)(1) of this AD, except as required by paragraph (i) certify this proposed regulation: (f) Compliance of this AD. 1. Is not a ‘‘significant regulatory Comply with this AD within the action’’ under Executive Order 12866; compliance times specified, unless already (i) New Revision of Maintenance or 2. Is not a ‘‘significant rule’’ under the done. Inspection Program DOT Regulatory Policies and Procedures Within 60 days after the effective date of (g) Retained Maintenance Program Revision (44 FR 11034, February 26, 1979); this AD, revise the maintenance or inspection 3. Will not affect intrastate aviation in This paragraph restates the action required program, as applicable, to incorporate the by paragraph (i) of AD 2012–07–08, information specified in Part 2— Alaska; and Amendment 39–17014 (77 FR 24342, April 4. Will not have a significant Airworthiness Limitation Inspection (ALI)— 24, 2012). Structures, of Appendix A, Airworthiness economic impact, positive or negative, (1) Within 60 days after May 29, 2012 (the Limitations of the EMBRAER 170 on a substantial number of small entities effective date of AD 2012–07–08, Maintenance Review Board Report, MRB– under the criteria of the Regulatory Amendment 39–17014 (77 FR 24342, April 1621, Revision 8, dated August 20, 2012. The Flexibility Act. 24, 2012)): Revise the maintenance program initial compliance times for the tasks are at to incorporate the new or revised tasks the applicable times specified in Part 2— List of Subjects in 14 CFR Part 39 specified in Part 2—Airworthiness Limitation Airworthiness Limitation Inspection (ALI)— Air transportation, Aircraft, Aviation Inspection (ALI)—Structures, of Appendix A, Structures, of Appendix A, Airworthiness Airworthiness Limitations, of the EMBRAER safety, Incorporation by reference, Limitations of the EMBRAER 170 170 MRBR, MRB–1621, Revision 7, dated Maintenance Review Board Report, MRB– Safety. November 11, 2010; and EMBRAER 1621, Revision 8, dated August 20, 2012, or The Proposed Amendment Temporary Revision (TR) 7–1, dated within 60 days after the effective date of this February 11, 2011, to Part 2—Airworthiness AD, whichever occurs later. Accomplishing Accordingly, under the authority Limitation Inspection (ALI)—Structures, of the requirements of this paragraph terminates delegated to me by the Administrator, Appendix A, Airworthiness Limitations, of the requirements of paragraph (g) of this AD. the FAA proposes to amend 14 CFR part the EMBRAER 170 MRBR, MRB–1621, (j) No Alternative Actions or Intervals 39 as follows: Revision 7; with the initial compliance times and intervals specified in these documents. After accomplishing the revision required PART 39—AIRWORTHINESS (2) The initial compliance times for the by paragraph (i) of this AD, no alternative DIRECTIVES tasks start from the date of issuance of the actions (e.g., inspections) or intervals may be original Brazilian airworthiness certificate or used unless the actions or intervals are ■ 1. The authority citation for part 39 the date of issuance of the original Brazilian approved as an alternative method of export certificate of airworthiness of the compliance (AMOC) in accordance with the continues to read as follows: applicable airplane at the applicable time procedures specified in paragraph (k) of this Authority: 49 U.S.C. 106(g), 40113, 44701. specified in the tasks, or within 600 flight AD.

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(k) Other FAA AD Provisions DEPARTMENT OF TRANSPORTATION may view this referenced service The following provisions also apply to this information at the FAA, Transport AD: Federal Aviation Administration Airplane Directorate, 1601 Lind Avenue (1) Alternative Methods of Compliance SW., Renton, WA. For information on (AMOCs): The Manager, International 14 CFR Part 39 the availability of this material at the Branch, ANM–116, Transport Airplane [Docket No. FAA–2014–0061; Directorate FAA, call 425–227–1221. Directorate, FAA, has the authority to Identifier 2013–NM–029–AD] Examining the AD Docket approve AMOCs for this AD, if requested using the procedures found in 14 CFR 39.19. RIN 2120–AA64 You may examine the AD docket on In accordance with 14 CFR 39.19, send your the Internet at http:// Airworthiness Directives; Airbus www.regulations.gov by searching for request to your principal inspector or local Airplanes Flight Standards District Office, as and locating Docket No. FAA–2014– appropriate. If sending information directly AGENCY: Federal Aviation 0061; or in person at the Docket to the International Branch, send it to ATTN: Administration (FAA), DOT. Management Facility between 9 a.m. and 5 p.m., Monday through Friday, Kathrine Rask, Aerospace Engineer, ACTION: Notice of proposed rulemaking except Federal holidays. The AD docket International Branch, ANM–116, Transport (NPRM). Airplane Directorate, FAA, 1601 Lind contains this proposed AD, the Avenue SW., Renton, WA 98057–3356; SUMMARY: We propose to supersede regulatory evaluation, any comments telephone 425–227–2180; fax 425–227–1149. airworthiness directive (AD) 2007–06– received, and other information. The Information may be emailed to: 9-ANM-116- 12, that applies to certain Airbus Model street address for the Docket Operations [email protected]. Before using A330–200 and A330–300 airplanes. AD office (telephone (800) 647–5527) is in any approved AMOC, notify your appropriate 2007–06–12 requires, for certain the ADDRESSES section. Comments will principal inspector, or lacking a principal airplanes, reinforcement of the structure be available in the AD docket shortly inspector, the manager of the local flight of the center fuselage by installing after receipt. standards district office/certificate holding external stiffeners (butt straps) at frame FOR FURTHER INFORMATION CONTACT: district office. The AMOC approval letter (FR) 53.3 on the fuselage skin between Vladimir Ulyanov, Aerospace Engineer, must specifically reference this AD. left-hand (LH) and right-hand (RH) International Branch, ANM–116, (2) Airworthy Product: For any requirement stringer (STR) 13, and related Transport Airplane Directorate, FAA, in this AD to obtain corrective actions from investigative and corrective actions. 1601 Lind Avenue SW., Renton, WA a manufacturer, use these actions if they are Since we issued AD 2007–06–12, we 98057–3356; telephone (425) 227–1138; FAA-approved. Corrective actions are have determined that the compliance fax (425) 227–1149. considered FAA-approved if they were times must be reduced in order to SUPPLEMENTARY INFORMATION: approved by the State of Design Authority (or its delegated agent, or the Design Approval address the unsafe condition. This Comments Invited proposed AD would reduce the Holder with a State of Design Authority’s We invite you to send any written design organization approval), as applicable. compliance times for reinforcing the structure of the center fuselage at FR relevant data, views, or arguments about You are required to ensure the product is this proposed AD. Send your comments airworthy before it is returned to service. 53.3. We are proposing this AD to prevent fatigue cracking of the fuselage, to an address listed under the (l) Related Information which could result in reduced structural ADDRESSES section. Include ‘‘Docket No. (1) Refer to Mandatory Continuing integrity of the fuselage. FAA–2014–0061; Directorate Identifier 2013–NM–029–AD’’ at the beginning of Airworthiness Information Brazilian DATES: We must receive comments on your comments. We specifically invite Airworthiness Directive 2012–10–01, this proposed AD by April 14, 2014. effective October 29, 2012, for related comments on the overall regulatory, ADDRESSES: You may send comments by information. This MCAI may be found in the economic, environmental, and energy any of the following methods: aspects of this proposed AD. We will AD docket on the Internet at http:// • Federal eRulemaking Portal: Go to www.regulations.gov by searching for and consider all comments received by the http://www.regulations.gov. Follow the locating Docket No. FAA–2014–0059. closing date and may amend this instructions for submitting comments. (2) For service information identified in proposed AD based on those comments. • Fax: (202) 493–2251. this AD, contact Embraer S.A., Technical We will post all comments we • Mail: U.S. Department of Publications Section (PC 060), Av. Brigadeiro receive, without change, to http:// Faria Lima, 2170—Putim—12227–901 Sa˜o Transportation, Docket Operations, M– www.regulations.gov, including any Jose dos Campos—SP—BRASIL; telephone 30, West Building Ground Floor, Room personal information you provide. We +55 12 3927–5852 or +55 12 3309–0732; fax W12–140, 1200 New Jersey Avenue SE., will also post a report summarizing each Washington, DC 20590. substantive verbal contact we receive +55 12 3927–7546; email distrib@ • embraer.com.br; Internet http:// Hand Delivery: U.S. Department of about this proposed AD. Transportation, Docket Operations, M– www.flyembraer.com. You may view this Discussion service information at the FAA, Transport 30, West Building Ground Floor, Room Airplane Directorate, 1601 Lind Avenue SW., W12–140, 1200 New Jersey Avenue SE., On March 7, 2007, we issued AD Renton, WA. For information on the Washington, DC, between 9 a.m. and 5 2007–06–12, Amendment 39–14993 (72 availability of this material at the FAA, call p.m., Monday through Friday, except FR 12555, March 16, 2007) (‘‘AD 2007– 425–227–1221. Federal holidays. 06–12’’). AD 2007–06–12 requires For service information identified in Issued in Renton, Washington, on February actions intended to address an unsafe this proposed AD, contact Airbus SAS, 14, 2014. condition on the products listed above. Airworthiness Office—EAL, 1 Rond Since we issued AD 2007–06–12, Jeffrey E. Duven, Point Maurice Bellonte, 31707 Blagnac Amendment 39–14993 (72 FR 12555, Manager, Transport Airplane Directorate, Cedex, France; telephone +33 5 61 93 36 March 16, 2007), we have determined Aircraft Certification Service. 96; fax +33 5 61 93 45 80; email that the compliance times must be [FR Doc. 2014–04256 Filed 2–26–14; 8:45 am] airworthiness.A330–[email protected]; reduced in order to address the unsafe BILLING CODE 4910–13–P Internet http://www.airbus.com. You condition. We have also added the

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compliance time for short- and long- occurs first; and 25,600 total flight allow such delegation of authority, but range airplane utilization based on the cycles or 77,000 total flight hours, some countries do recognize design new fatigue and damage tolerance whichever occurs first; depending on approval organizations. In addition, we evaluation. The European Aviation airplane configuration. You may have become aware that some U.S. Safety Agency (EASA), which is the examine the MCAI in the AD docket on operators have used repair instructions Technical Agent for the Member States the Internet at http:// that were previously approved by a of the European Community, has issued www.regulations.gov by searching for State of Design Authority or a Design EASA Airworthiness Directive 2013– and locating it in Docket No. FAA– Approval Holder (DAH) as a method of 0016, dated January 16, 2013 (referred to 2014–0061. compliance with this provision in FAA after this as the Mandatory Continuing Relevant Service Information ADs. Frequently, in these cases, the Airworthiness Information, or ‘‘the previously approved repair instructions MCAI’’), to correct an unsafe condition Airbus has issued Mandatory Service come from the airplane structural repair for the specified products. The MCAI Bulletin A330–53–3127 Revision 02, manual or the DAH repair approval states: including Appendix 01, dated December statements that were not specifically 7, 2011, and Mandatory Service Bulletin developed to address the unsafe During the fatigue tests (EF2) of the Airbus A330–53–3143 Revision 05, including A330 test fuselage, initiation and condition corrected by the AD. Using development of cracks were evidenced at the Appendix 01, dated May 29, 2012. The repair instructions that were not circumferential joint of frame 53.3. actions described in this service specifically approved for a particular This condition, if not corrected, could lead information are intended to correct the AD creates the potential for doing to a reduction in the structural integrity of unsafe condition identified in the repairs that were not developed to the fuselage. MCAI. address the unsafe condition identified EASA issued AD 2006–0266 [(http:// ad.easa.europa.eu/blob/easa_ad_2006_0266_ FAA’s Determination and Requirements by the MCAI AD, the FAA AD, or the Superseded.pdf/AD_2006–0266_1), which of This Proposed AD applicable service information, which corresponds to FAA AD 2007–06–12, This product has been approved by could result in the unsafe condition not Amendment 39–14993 (72 FR 12555, March the aviation authority of another being fully corrected. 16, 2007)], which took over the requirements To prevent the use of repairs that ´ ´ country, and is approved for operation of Direction Generale de L’aviation Civile were not specifically developed to [DGAC] France AD F–2003–415 for A330– in the United States. Pursuant to our 300 pre-mod 41652S11819, and required bilateral agreement with the State of correct the unsafe condition, certain reinforcement of the circumferential joint of Design Authority, we have been notified requirements of this proposed AD frame 53.3 by application of Airbus Service of the unsafe condition described in the would require that the repair approval Bulletin (SB) A330–53–3143 on A330–300 MCAI and service information specifically refer to the FAA AD. This post modification 41652S11819 and pre-mod referenced above. We are proposing this change is intended to clarify the method 49202, and all A330–200 pre-mod 49202 in AD because we evaluated all pertinent of compliance and to provide operators order to improve the fatigue life. information and determined an unsafe with better visibility of repairs that are Since that [EASA] AD was issued, in the condition exists and is likely to exist or specifically developed and approved to frame of a new fatigue and damage tolerance evaluation taking into account the aeroplane develop on other products of the same correct the unsafe condition. In utilisation, the thresholds for the type design. addition, we use the phrase ‘‘its delegated agent, or the DAH with State reinforcement were reassessed and the Repair Approvals conclusion is that some thresholds must be of Design Authority design organization reduced. In many FAA transport ADs, when approval, as applicable’’ in this For the reason described above, this the service information specifies to proposed AD to refer to a DAH [EASA] AD retains the requirements of EASA contact the manufacturer for further authorized to approve certain required AD 2006–0266, which is superseded, and instructions if certain discrepancies are repairs for this proposed AD. requires reinforcement of structure of the found, we typically include in the AD centre fuselage at the upper circumferential a requirement to accomplish the action Costs of Compliance joint of frame 53.3 within the new using a method approved by either the thresholds. FAA or the State of Design Authority (or We estimate that this proposed AD The initial compliance times range its delegated agent). affects 9 airplanes of U.S. registry. between 15,700 total flight cycles or We have recently been notified that We estimate the following costs to 94,600 total flight hours, whichever certain laws in other countries do not comply with this proposed AD.

ESTIMATED COSTS

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

Installation ...... Up to 327 work-hour × $85 per hour = $27,795 $17,850 Up to $45,645 ...... Up to $410,805.

Authority for This Rulemaking We are issuing this rulemaking under is within the scope of that authority the authority described in ‘‘Subtitle VII, because it addresses an unsafe condition Title 49 of the United States Code Part A, Subpart III, Section 44701: that is likely to exist or develop on specifies the FAA’s authority to issue General requirements.’’ Under that products identified in this rulemaking rules on aviation safety. Subtitle I, section, Congress charges the FAA with action. section 106, describes the authority of promoting safe flight of civil aircraft in Regulatory Findings the FAA Administrator. ‘‘Subtitle VII: air commerce by prescribing regulations Aviation Programs,’’ describes in more for practices, methods, and procedures We determined that this proposed AD detail the scope of the Agency’s the Administrator finds necessary for would not have federalism implications authority. safety in air commerce. This regulation under Executive Order 13132. This

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proposed AD would not have a (e) Reason 41652S11819 has been embodied in substantial direct effect on the States, on This AD was prompted by a new fatigue production: At the time specified in the relationship between the national and damage tolerance evaluation that paragraph (i)(1) or (i)(2) of this AD, whichever occurs later, install butt straps at Government and the States, or on the concluded the compliance time for an existing reinforcement of the fuselage has to FR53.3 on the fuselage skin between LH and distribution of power and RH STR13; and do all related investigative responsibilities among the various be reduced. We are issuing this AD to prevent fatigue cracking of the fuselage, and other specified actions before further levels of government. which could result in reduced structural flight, as applicable. Do all actions in For the reasons discussed above, I integrity of the fuselage. accordance with the Accomplishment certify this proposed regulation: Instructions of Airbus Mandatory Service (f) Compliance Bulletin A330–53–3143, Revision 05, dated 1. Is not a ‘‘significant regulatory Comply with this AD within the May 29, 2012, including Appendix 1; except, action’’ under Executive Order 12866; compliance times specified, unless already if any crack is detected during a related 2. Is not a ‘‘significant rule’’ under the done. investigative action (rototest), before further DOT Regulatory Policies and Procedures flight, repair the crack using a method (44 FR 11034, February 26, 1979); (g) Installation for Model A330–300 Series approved by the Manager, International Airplanes Branch, ANM 116, Transport Airplane 3. Will not affect intrastate aviation in For Airbus Model A330–301, A330–321, Directorate, FAA; or the EASA (or its Alaska; and A330–322, A330–323, A330–341, A330–342, delegated agent, or by the Design Approval 4. Will not have a significant and A330–343 airplanes, except those on Holder (DAH) with EASA design economic impact, positive or negative, which Airbus modification 41652S11819 has organization approval). For a repair method on a substantial number of small entities been incorporated in production: At the time to be approved, the repair approval must under the criteria of the Regulatory specified in paragraph (g)(1) or (g)(2) of this specifically refer to this AD. Flexibility Act. AD, whichever occurs later, install butt (1) At the applicable times specified in the straps at FR53.3 on the fuselage skin between ‘‘threshold’’ column of the table in 1.E. List of Subjects in 14 CFR Part 39 left-hand (LH) and right-hand (RH) stringer ‘‘Compliance’’ of Airbus Mandatory Service (STR) 13, and do all related investigative and Bulletin A330–53–3143, Revision 05, dated Air transportation, Aircraft, Aviation corrective actions before further flight. May 29, 2012. Where paragraph 1.E. safety, Incorporation by reference, Except as provided by paragraph (h) of this ‘‘Compliance’’ of Airbus Mandatory Service Safety. AD, do all actions in accordance with the Bulletin A330 53–3143, Revision 05, dated Accomplishment Instructions of Airbus May 29, 2012, specifies a time in the The Proposed Amendment Mandatory Service Bulletin A330–53–3127, ‘‘threshold’’ column, this AD requires Accordingly, under the authority Revision 02, including Appendix 01, dated compliance within the corresponding times December 7, 2011. after the first flight of the airplane. delegated to me by the Administrator, (1) At the applicable time specified in (2) Within 24 months after the effective the FAA proposes to amend 14 CFR part paragraph (g)(1)(i) or (g)(1)(ii) of this AD. date of this AD, but not to exceed 17,600 total 39 as follows: (i) Airplanes with a short-range mission as flight cycles or 61,600 total flight hours, specified in Airbus Mandatory Service whichever occurs earlier. PART 39—AIRWORTHINESS Bulletin A330–53–3127, Revision 02, dated (j) Credit for Previous Actions DIRECTIVES December 7, 2011: Within 15,300 flight cycles or 46,100 flight hours, whichever (1) This paragraph provides credit for ■ 1. The authority citation for part 39 occurs first, after the first flight of the actions required by paragraphs (g) of this AD continues to read as follows: airplane. if those actions were performed before the (ii) Airplanes with a long-range mission as effective date of this AD using Airbus Service Authority: 49 U.S.C. 106(g), 40113, 44701. specified in Airbus Mandatory Service Bulletin A330–53–3127, Revision 01, Bulletin A330–53–3127, Revision 02, dated including Appendix 01, dated November 21, § 39.13 [Amended] December 7, 2011: Within 13,200 flight 2003 (which is not incorporated by reference ■ 2. The FAA amends § 39.13 by cycles or 79,300 flight hours, whichever in this AD). removing airworthiness directive (AD) occurs first after the first flight of the (2) This paragraph provides credit for 2007–06–12, Amendment 39–14993 (72 airplane. actions required by paragraph (i) of this AD if those actions were performed before the FR 12555, March 16, 2007), and adding (2) Within 24 months after the effective date of this AD, but not to exceed 14,700 total effective date of this AD using any service the following new AD: flight cycles or 51,400 total flight hours, information specified in paragraphs (j)(2)(i) Airbus: Docket No. FAA–2014–0061; whichever occurs earlier. through (j)(2)(v) of this AD; this service Directorate Identifier 2013–NM–029–AD. information is not incorporated by reference (h) Corrective Actions in this AD. (a) Comments Due Date For Airbus Model A330–301, –321, –322, (i) Airbus Mandatory Service Bulletin We must receive comments by April 14, –323, –341, –342, and –343 airplanes, except A330–53–3143, including Appendix 01, 2014. those on which Airbus Modification dated December 24, 2004. 41652S11819 has been incorporated in (ii) Airbus Mandatory Service Bulletin (b) Affected ADs production: If any crack is detected during A330–53–3143, Revision 01, including This AD supersedes AD 2007–06–12, the related investigative actions (rototest) Appendix 01, dated June 29, 2006. Amendment 39–14993 (72 FR 12555, March required by paragraph (g) of this AD, before (iii) Airbus Mandatory Service Bulletin 16, 2007). further flight, repair using a method A330–53–3143, Revision 02, including approved by the Manager, International Appendix 01, dated August 31, 2010. (c) Applicability Branch, ANM–116, Transport Airplane (iv) Airbus Mandatory Service Bulletin This AD applies to Airbus Model A330– Directorate, FAA; or the EASA (or its A330–53–3143, Revision 03, including 201, –202, –203, –223, and –243 airplanes; delegated agent, or by the Design Approval Appendix 01, dated March 3, 2011. and A330–301, –321, –322, –323, –341, –342, Holder (DAH) with EASA design (v) Airbus Mandatory Service Bulletin and –343 airplanes, certificated in any organization approval). For a repair method A330–53–3143, Revision 04, including category, except those on which Airbus to be approved, the repair approval must Appendix 01, dated December 6, 2011. modification 49202 has been embodied in specifically refer to this AD. production. (k) Other FAA AD Provisions (i) Installation for Model A330–200 and –300 The following provisions also apply to this (d) Subject Series Airplanes AD: Air Transport Association (ATA) of For airplanes specified in paragraph (c) of (1) Alternative Methods of Compliance America Code 53, Fuselage. this AD on which Airbus modification (AMOCs): The Manager, International

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Branch, ANM–116, FAA, has the authority to DEPARTMENT OF TRANSPORTATION 96; fax +33 5 61 93 45 80; email approve AMOCs for this AD, if requested [email protected]; using the procedures found in 14 CFR 39.19. Federal Aviation Administration Internet http://www.airbus.com. You In accordance with 14 CFR 39.19, send your may view this referenced service request to your principal inspector or local 14 CFR Part 39 information at the FAA, Transport Flight Standards District Office, as [Docket No. FAA–2014–0060; Directorate Airplane Directorate, 1601 Lind Avenue appropriate. If sending information directly Identifier 2012–NM–194–AD] SW., Renton, WA. For information on to the International Branch, send it to ATTN: the availability of this material at the Vladimir Ulyanov, Aerospace Engineer, RIN 2120–AA64 FAA, call 425–227–1221. International Branch, ANM–116, Transport Airplane Directorate, FAA, 1601 Lind Airworthiness Directives; Airbus Examining the AD Docket Avenue SW., Renton, WA 98057–3356; Airplanes You may examine the AD docket on telephone (425) 227–1138; fax (425) 227– AGENCY: Federal Aviation the Internet at http:// 1149. Information may be emailed to: 9- Administration (FAA), DOT. www.regulations.gov by searching for [email protected]. and locating Docket No. FAA–2014– ACTION: Before using any approved AMOC, notify Notice of proposed rulemaking 0060; or in person at the Docket your appropriate principal inspector, or (NPRM). Management Facility between 9 a.m. lacking a principal inspector, the manager of SUMMARY: We propose to supersede and 5 p.m., Monday through Friday, the local flight standards district office/ Airworthiness Directives (AD) 2006–21– except Federal holidays. The AD docket certificate holding district office. The AMOC 08, AD 2007–14–01, AD 2008–25–02, contains this proposed AD, the approval letter must specifically reference AD 2010–04–09, AD 2011–01–02, and regulatory evaluation, any comments this AD. AMOCs approved previously for AD AD 2012–16–05, for certain Airbus received, and other information. The 2007–06–12, Amendment 39–14993 (72 FR Model A330 and 340 series airplanes. street address for the Docket Operations 12555, March 16, 2007), are approved as AD 2006–21–08, AD 2007–14–01, AD office (telephone (800) 647–5527) is in AMOCs for the corresponding provisions of 2008–25–02, AD 2010–04–09, AD 2011– the ADDRESSES section. Comments will paragraph (i) of this AD. 01–02, and AD 2012–16–05 currently be available in the AD docket shortly (2) Airworthy Product: For any requirement require revising the maintenance after receipt. in this AD to obtain corrective actions from FOR FURTHER INFORMATION CONTACT: a manufacturer, use these actions if they are program or inspection program to incorporate certain maintenance Vladimir Ulyanov, Aerospace Engineer, FAA-approved. Corrective actions are International Branch, ANM–116, considered FAA-approved if they were requirements and airworthiness limitations for fuel tank systems. Since Transport Airplane Directorate, FAA, approved by the State of Design Authority (or 1601 Lind Avenue SW., Renton, WA its delegated agent, or the DAH with a State we issued AD 2006–21–08, AD 2007– 14–01, AD 2008–25–02, AD 2010–04– 98057–3356; telephone (425) 227–1138; of Design Authority’s design organization fax (425) 227–1149. approval). You are required to ensure the 09, AD 2011–01–02, and AD 2012–16– SUPPLEMENTARY INFORMATION: product is airworthy before it is returned to 05, we have determined that more service. restrictive maintenance requirements Comments Invited and airworthiness limitations are (l) Related Information necessary. This proposed AD would We invite you to send any written (1) Refer to Mandatory Continuing require a new maintenance or relevant data, views, or arguments about Airworthiness Information (MCAI) EASA inspection program revision. We are this proposed AD. Send your comments Airworthiness Directive 2013–0016, dated proposing this AD to prevent the to an address listed under the January 16, 2013, for related information. potential of ignition sources inside fuel ADDRESSES section. Include ‘‘Docket No. This MCAI may be found in the AD docket tanks, which, in combination with FAA–2014–0060; Directorate Identifier on the Internet at http://www.regulations.gov flammable fuel vapors, could result in 2012–NM–194–AD’’ at the beginning of your comments. We specifically invite by searching for and locating Docket No. fuel tank explosions and consequent comments on the overall regulatory, FAA–2014–0061. loss of the airplane. (2) For service information identified in economic, environmental, and energy DATES: We must receive comments on aspects of this proposed AD. We will this AD, contact Airbus SAS, Airworthiness this proposed AD by April 14, 2014. Office—EAL, 1 Rond Point Maurice Bellonte, consider all comments received by the ADDRESSES: 31707 Blagnac Cedex, France; telephone +33 You may send comments by closing date and may amend this any of the following methods: proposed AD based on those comments. 5 61 93 36 96; fax +33 5 61 93 45 80; email • [email protected]; Federal eRulemaking Portal: Go to We will post all comments we Internet http://www.airbus.com. You may http://www.regulations.gov. Follow the receive, without change, to http:// view this service information at the FAA, instructions for submitting comments. www.regulations.gov, including any • Fax: (202) 493–2251. personal information you provide. We Transport Airplane Directorate, 1601 Lind • Avenue SW., Renton, WA. For information Mail: U.S. Department of will also post a report summarizing each on the availability of this material at the Transportation, Docket Operations, M– substantive verbal contact we receive FAA, call 425–227–1221. 30, West Building Ground Floor, Room about this proposed AD. W12–140, 1200 New Jersey Avenue SE., Issued in Renton, Washington, on February Washington, DC 20590. Discussion 14, 2014. • Hand Delivery: Deliver to Mail On October 10, 2006, we issued AD Jeffrey E. Duven, address above between 9 a.m. and 5 2006–21–08, Amendment 39–14793 (71 Manager, Transport Airplane Directorate, p.m., Monday through Friday, except FR 61639, October 19, 2006), for certain Aircraft Certification Service. Federal holidays. Airbus Model A330–200, A340–200, [FR Doc. 2014–04259 Filed 2–26–14; 8:45 am] For service information identified in and A340–300 airplanes. AD 2006–21– BILLING CODE 4910–13–P this proposed AD, contact Airbus SAS, 08 requires installation of heat shields Airworthiness Office—EAL, 1 Rond in the belly fairing of the center Point Maurice Bellonte, 31707 Blagnac fuselage. AD 2006–21–08 resulted from Cedex, France; telephone +33 5 61 93 36 fuel system reviews conducted by the

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manufacturer. We issued AD 2006–21– –223, and –243 airplanes; certain Airbus FAA published Special Federal Aviation 08 to prevent exposing any fuel leaked Model A330–300 series airplanes; and Regulation (SFAR) 88 (66 FR 23086, May 7, from the center fuel tank to the hot all Airbus Model A340–200 and –300 2001) and the Joint Aviation Authorities temperature areas of the air series airplanes. AD 2011–01–02 (JAA) published Interim Policy INT/POL/25/ 12. The design review conducted Airbus to conditioning packs, which could result requires installing flight warning develop Fuel Airworthiness Limitations in a fire and consequent fuel tank computer (FWC) software on both (FAL) for Airbus on A330 and A340 explosion. FWCs. AD 2011–01–02 resulted from aeroplanes in response to these regulations. On June 25, 2007, we issued AD fuel system reviews conducted by the The FAL * * * have been approved by the 2007–14–01, Amendment 39–15123 (72 manufacturer. We issued AD 2011–01– European Aviation Safety Agency (EASA) FR 38006, July 12, 2007), for all Airbus 02 to prevent failure of the auxiliary * * * ALS Part 5. Model A330 and A340 airplanes. AD power unit (APU) bleed leak detection Failure to comply with items as identified 2007–14–01 requires revising the system, which could result in overheat in Airbus A330 and A340 ALS Part 5 could Airworthiness Limitations Section of the fuel tank located in the horizontal result in a fuel tank explosion and (ALS) of the Instructions for Continued consequent loss of the aeroplane. stabilizer and ignition of the fuel vapors To address this condition, EASA issued: Airworthiness (ICA) to incorporate new in that tank and consequent loss of the EASA AD 2007–0023, dated January 25, limitations for fuel tank systems. AD airplane. 2007 (http://ad.easa.europa.eu/ad/2007- 2007–14–01 resulted from fuel system On July 31, 2012, we issued AD 2012– 0023), which corresponds to FAA AD 2007– reviews conducted by the manufacturer. 16–05, Amendment 39–17152 (77 FR 14–01, Amendment 39–15123 (72 FR 38006, We issued AD 2007–14–01 to prevent 48425, August 14, 2012), for certain July 12, 2007) to require compliance with the potential of ignition sources inside Airbus Model A330–200 and –200 FAL * * * (comprising maintenance/ fuel tanks, which, in combination with freighter series airplanes; and Model inspection tasks and Critical Design flammable fuel vapors caused by latent A340–200, A340–300, A340–500, and Configuration Control Limitations (CDCCL)) failures, alterations, repairs, or A340–600 series airplanes. AD 2012– for A330 aeroplanes, and EASA AD 2006–0205, dated July 11, 2006 maintenance actions, could result in 16–05 requires modification of the (http://ad.easa.europa.eu/ad/2006-0205), fuel tank explosions and consequent control circuit for the fuel pumps for the which also corresponds to FAA AD 2007–14– loss of the airplane. center fuel tanks for certain airplanes, 01, Amendment 39–15123 (72 FR 38006, July On November 26, 2008, we issued AD and center and rear fuel tanks for certain 12, 2007) to require compliance with FAL 2008–25–02, Amendment 39–15760 (73 other airplanes. AD 2012–16–05 * * * (comprising maintenance/inspection FR 75307, December 11, 2008), for all resulted from fuel system reviews tasks and Critical Design Configuration Airbus Model A330 airplanes, and conducted by the manufacturer. We Control Limitations (CDCCL)) for Airbus Model A340–200 and A340–300 issued AD 2012–16–05 to prevent the A340 aeroplanes. airplanes. AD 2008–25–02 requires potential of ignition sources inside fuel All other EASA ADs * * * required inspecting P-clips in the wings, accomplishment of aeroplane modifications tanks, which, in combination with related to Fuel Tank Safety items, the modifying the electrical bonding of the flammable fuel vapors, could result in requirements and compliance times of which equipment installed in fuel tanks, and fuel tank explosions and consequent are now integrated into ALS Part 5. applying applicable corrective actions. loss of the airplane. For the reasons described above this AD 2008–25–02 resulted from fuel Actions Since Previously Described [EASA] AD * * * requires the system reviews conducted by the implementation of the new or more manufacturer. We issued AD 2008–25– ADs Were Issued restrictive maintenance requirements and/or 02 to prevent the potential of ignition Since we issued AD 2006–21–08, airworthiness limitations as specified in the sources inside fuel tanks, which, in Amendment 39–14793 (71 FR 61639, revision 00 of Airbus A340 ALS Part 5. combination with flammable fuel October 19, 2006); AD 2007–14–01, The unsafe condition is the potential of vapors, could result in fuel tank Amendment 39–15123 (72 FR 38006, ignition sources inside fuel tanks. Such explosions and consequent loss of the July 12, 2007); AD 2008–25–02, ignition sources, in combination with airplane. Amendment 39–15760 (73 FR 75307, flammable fuel vapors, could result in On February 5, 2010, we issued AD December 11, 2008); AD 2010–04–09, fuel tank explosions and consequent 2010–04–09, Amendment 39–16202 (75 Amendment 39–16202 (75 FR 7940, loss of the airplane. You may examine FR 7940, February 23, 2010; corrected February 23, 2010; corrected March 3, the MCAI in the AD docket on the March 3, 2010 (75 FR 9515)), for certain 2010 (75 FR 9515)); AD 2011–01–02, Internet at http://www.regulations.gov Airbus Model A330–200 series Amendment 39–16555 (76 FR 432, by searching for and locating it in airplanes, and Model A340–200 and January 5, 2011); and AD 2012–16–05, Docket No. FAA–2014–0060. A340–300 series airplanes. AD 2010– Amendment 39–17152 (77 FR 48425, 04–09 requires the installation of plugs August 14, 2012); we have determined Relevant Service Information on the heat shield panels of the left- that more restrictive maintenance Airbus has issued A330 ALS Part 5— hand (LH) and right-hand (RH) air requirements and airworthiness Fuel Airworthiness Limitations, dated conditioning packs. AD 2010–04–09 limitations are necessary. November 16, 2011. The actions resulted from the development of a The European Aviation Safety Agency described in this service information are repair solution by the manufacturer. We (EASA), which is the Technical Agent intended to correct the unsafe condition issued AD 2010–04–09 to prevent fuel for the Member States of the European identified in the MCAI. from the center tank leaking through Community, has issued EASA holes in the heat shield panels, which Airworthiness Directive 2012–0168, Related Rulemaking could cause vapor to develop into a dated August 31, 2012 (referred to after We have issued AD 2013–26–03, potential source of ignition, possibly this as the Mandatory Continuing Amendment 39–17712 (78 FR 79292, resulting in a fuel tank explosion and Airworthiness Information, or ‘‘the December 30, 2013), for Airbus Model consequent loss of the airplane. MCAI’’), to correct an unsafe condition A340 airplanes to require revising the On December 17, 2010, we issued AD for the specified products. The MCAI maintenance or inspection program to 2011–01–02, Amendment 39–16555 (76 states: incorporate certain maintenance FR 432, January 5, 2011), for certain Prompted by an accident [involving a fuel requirements and airworthiness Airbus Model A330–201, –202, –203, tank system explosion in flight] * * * the limitations. AD 2013–26–03 terminates

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the requirements of the following ADs also require accomplishing the actions Aviation Programs,’’ describes in more for Model A340 airplanes only: specified in the service information detail the scope of the Agency’s • AD 2006–21–08, Amendment 39– described previously, except as authority. 14793 (71 FR 61639, October 19, 2006); discussed under ‘‘Differences Between We are issuing this rulemaking under • AD 2007–14–01, Amendment 39– this Proposed AD and the MCAI or the authority described in ‘‘Subtitle VII, 15123 (72 FR 38006, July 12, 2007); Service Information.’’ Part A, Subpart III, Section 44701: • AD 2008–25–02, Amendment 39– This proposed AD would require General requirements.’’ Under that 15760 (73 FR 75307, December 11, revisions to certain operator section, Congress charges the FAA with 2008); maintenance documents to include new promoting safe flight of civil aircraft in • AD 2010–04–09, Amendment 39– actions (e.g., inspections) and Critical air commerce by prescribing regulations 16202 (75 FR 7940, February 23, 2010; Design Configuration Control for practices, methods, and procedures corrected March 3, 2010 (75 FR 9515)); Limitations (CDCCLs). Compliance with the Administrator finds necessary for • AD 2011–01–02, Amendment 39– these actions and CDCCLs is required by safety in air commerce. This proposed 16555 (76 FR 432, January 5, 2011); and 14 CFR 91.403(c). For airplanes that regulation is within the scope of that • AD 2012–16–05, Amendment 39– have been previously modified, altered, authority because it addresses an unsafe 17152 (77 FR 48425, August 14, 2012). or repaired in the areas addressed by condition that is likely to exist or Because AD 2013–26–03, Amendment these actions, the operator may not be develop on products identified in this 39–17712 (78 FR 79292, December 30, able to accomplish the actions described rulemaking action. 2013), terminates the requirements of in the revisions. In this situation, to the preceding ADs and requires new comply with 14 CFR 91.403(c), the Regulatory Findings airworthiness limitations for Airbus operator must request approval for an We determined that this proposed AD Model A340 series airplanes, we have alternative method of compliance would not have federalism implications not included Airbus Model A340 series according to the procedures specified in under Executive Order 13132. This airplanes in the applicability of this paragraph (j)(1) of this AD. The request proposed AD would not have a proposed AD. This proposed AD applies should include a description of changes substantial direct effect on the States, on only to the Airbus Model A330 series to the required actions that will ensure the relationship between the national airplanes specified in paragraph (c) of the continued operational safety of the Government and the States, or on the this proposed AD. airplane. distribution of power and responsibilities among the various FAA’s Determination and Requirements Differences Between This Proposed AD levels of government. of This Proposed AD and the MCAI or Service Information For the reasons discussed above, I This product has been approved by This NPRM proposes to incorporate certify this proposed regulation: the aviation authority of another Airbus A330 ALS Part 5—Fuel 1. Is not a ‘‘significant regulatory country, and is approved for operation Airworthiness Limitations, dated action’’ under Executive Order 12866; in the United States. Pursuant to our November 16, 2011, including ‘‘the 2. Is not a ‘‘significant rule’’ under the bilateral agreement with the State of specified compliance times’’ for the DOT Regulatory Policies and Procedures Design Authority, we have been notified actions. However, the compliance times (44 FR 11034, February 26, 1979); of the unsafe condition described in the in this proposed AD for certain initial 3. Will not affect intrastate aviation in MCAI and service information actions is different from those specified Alaska; and referenced above. We are proposing this in Airbus A330 ALS Part 5—Fuel 4. Will not have a significant AD because we evaluated all pertinent Airworthiness Limitations, dated economic impact, positive or negative, information and determined an unsafe November 16, 2011, because the actions on a substantial number of small entities condition exists and is likely to exist or were required by the ADs identified in under the criteria of the Regulatory develop on other products of these same the paragraph titled ‘‘Related Flexibility Act. type designs. Rulemaking’’ in this AD. Therefore, the This proposed AD would retain none initial compliance time is relative to the List of Subjects in 14 CFR Part 39 of the requirements of the ADs listed effective date of the applicable Air transportation, Aircraft, Aviation below, because those requirements are superseded AD, as specified in safety, Incorporation by reference, now contained in Airbus A330 ALS Part paragraph (h) of this NPRM. Safety. 5—Fuel Airworthiness Limitations, dated November 16, 2011: Costs of Compliance The Proposed Amendment • AD 2006–21–08, Amendment 39– We estimate that this proposed AD Accordingly, under the authority 14793 (71 FR 61639, October 19, 2006). affects 80 airplanes of U.S. registry. delegated to me by the Administrator, • AD 2007–14–01, Amendment 39– We estimate that it would take about the FAA proposes to amend 14 CFR part 15123 (72 FR 38006, July 12, 2007). 1 work-hour per product to comply with 39 as follows: • AD 2008–25–02, Amendment 39– the basic requirements of this proposed 15760 (73 FR 75307, December 11, AD. The average labor rate is $85 per PART 39—AIRWORTHINESS 2008). work-hour. Required parts would cost DIRECTIVES • AD 2010–04–09, Amendment 39– about $0 per product. Based on these 16202 (75 FR 7940, February 23, 2010; figures, we estimate the cost of this ■ 1. The authority citation for part 39 corrected March 3, 2010 (75 FR 9515)). proposed AD on U.S. operators to be continues to read as follows: • AD 2011–01–02, Amendment 39– $6,800, or $85 per product. Authority: 49 U.S.C. 106(g), 40113, 44701. 16555 (76 FR 432, January 5, 2011). • AD 2012–16–05, Amendment 39– Authority for This Rulemaking § 39.13 [Amended] 17152 (77 FR 48425, August 14, 2012). Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by: This proposed AD would require specifies the FAA’s authority to issue ■ a. Removing AD 2006–21–08, implementation of certain maintenance rules on aviation safety. Subtitle I, Amendment 39–14793 (71 FR 61639, requirements and airworthiness section 106, describes the authority of October 19, 2006); AD 2007–14–01, limitations. This proposed AD would the FAA Administrator. ‘‘Subtitle VII: Amendment 39–15123 (72 FR 38006,

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July 12, 2007); AD 2008–25–02, Limitations, dated November 16, 2011. The approval letter must specifically reference Amendment 39–15760 (73 FR 75307, initial compliance times for the actions this AD. December 11, 2008); AD 2010–04–09, specified in Airbus A330 ALS Part 5—Fuel (2) Airworthy Product: For any requirement Amendment 39–16202 (75 FR 7940, Airworthiness Limitations, dated November in this AD to obtain corrective actions from 16, 2011, are at the later of the times a manufacturer, use these actions if they are February 23, 2010; corrected March 3, specified in paragraphs (g)(2)(i) and (g)(2)(ii) FAA-approved. Corrective actions are 2010 (75 FR 9515)); AD 2011–01–02, of this AD, except as required by paragraphs considered FAA-approved if they were Amendment 39–16555 (76 FR 432, (h) and (i) of this AD. approved by the State of Design Authority (or January 5, 2011); AD 2012–16–05, (i) Within the applicable compliance times its delegated agent, or the DAH with a State Amendment 39–17152 (77 FR 48425, specified in Airbus A330 ALS Part 5—Fuel of Design Authority’s design organization August 14, 2012); and Airworthiness Limitations, dated November approval, as applicable). You are required to ■ b. Adding the following new AD: 16, 2011. ensure the product is airworthy before it is (ii) Within 3 months after accomplishing returned to service. Airbus: Docket No. FAA–2014–0060; the actions required by paragraph (g)(1) of Directorate Identifier 2012–NM–194–AD. this AD. (k) Related Information (a) Comments Due Date (1) Refer to Mandatory Continuing (h) Exceptions to Compliance Times for Airworthiness Information (MCAI) European We must receive comments by April 14, Design Changes Aviation Safety Agency Airworthiness 2014. (1) For type design changes specified in Directive 2012–0168, dated August 31, 2012; (b) Affected ADs ‘‘Sub-part 5–2 Changes to Type Design,’’ of for related information. This MCAI may be Airbus A330 ALS Part 5—Fuel Airworthiness found in the AD docket on the Internet at This AD supersedes the ADs specified in Limitations, dated November 16, 2011, the http://www.regulations.gov by searching for paragraphs (b)(1) through (b)(6) of this AD. compliance times are defined as and locating Docket No. FAA–2014–0060. (1) AD 2006–21–08, Amendment 39–14793 ‘‘Embodiment Limits,’’ except as defined in (2) For service information identified in (71 FR 61639, October 19, 2006). paragraph (h)(2) of this AD. this AD, contact Airbus SAS, Airworthiness (2) AD 2007–14–01, Amendment 39–15123 (2) Where Airbus A330 ALS Part 5—Fuel Office—EAL, 1 Rond Point Maurice Bellonte, (72 FR 38006, July 12, 2007). Airworthiness Limitations, dated November 31707 Blagnac Cedex, France; telephone +33 (3) AD 2008–25–02, Amendment 39–15760 16, 2011, specifies a compliance time based 5 61 93 36 96; fax +33 5 61 93 45 80; email (73 FR 75307, December 11, 2008). on a calendar date for modifying the control [email protected]; (4) AD 2010–04–09, Amendment 39–16202 circuit for the fuel pump of the center fuel Internet http://www.airbus.com. You may (75 FR 7940, February 23, 2010; corrected tank (installing ground fault interrupters to view this service information at the FAA, March 3, 2010 (75 FR 9515)). the center tank fuel pump control circuit), Transport Airplane Directorate, 1601 Lind (5) AD 2011–01–02, Amendment 39–16555 the compliance date is September 18, 2016 Avenue SW., Renton, WA. For information (76 FR 432, January 5, 2011). (48 months after the effective date of AD on the availability of this material at the (6) AD 2012–16–05, Amendment 39–17152 2012–16–05, Amendment 39–17152 (77 FR FAA, call 425–227–1221. (77 FR 48425, August 14, 2012). 48425, August 14, 2012)). Issued in Renton, Washington, on February (c) Applicability (i) No Alternative Actions, Intervals, or 14, 2014. This AD applies to Airbus Model A330– Critical Design Configuration Control Jeffrey E. Duven, Limitations (CDCCLs) 201, –202, –203, –223, –243, –223F, –243F, Manager. Transport Airplane Directorate, –301, –302, –303, –321, –322, –323, –341, After accomplishing the revision required Aircraft Certification Service. –342, and –343 airplanes, certificated in any by paragraph (g) of this AD, no alternative category, all manufacturer serial numbers. actions (e.g., inspections), intervals, or [FR Doc. 2014–04258 Filed 2–26–14; 8:45 am] CDCCLs may be used; except as specified in BILLING CODE 4910–13–P (d) Subject paragraphs (h) and (i) of this AD; or unless Air Transport Association (ATA) of the actions, intervals, or CDCCLs are America Code 05, Time Limits/Maintenance approved as an alternative method of DEPARTMENT OF TRANSPORTATION Checks. compliance (AMOC) in accordance with the procedures specified in paragraph (j)(1) of Federal Aviation Administration (e) Reason this AD. This AD was prompted by a determination 14 CFR Part 39 that more restrictive maintenance (j) Other FAA AD Provisions requirements and airworthiness limitations The following provisions also apply to this [Docket No. FAA–2014–0120; Directorate are necessary. We are issuing this AD to AD: Identifier 2013–NM–056–AD] prevent the potential of ignition sources (1) Alternative Methods of Compliance RIN 2120–AA64 inside fuel tanks, which, in combination with (AMOCs): The Manager, International Branch, ANM–116, Transport Airplane flammable fuel vapors, could result in fuel Airworthiness Directives; Bombardier, tank explosions and consequent loss of the Directorate, FAA, has the authority to airplane. approve AMOCs for this AD, if requested Inc. Airplanes using the procedures found in 14 CFR 39.19. AGENCY: Federal Aviation (f) Compliance In accordance with 14 CFR 39.19, send your Comply with this AD within the request to your principal inspector or local Administration (FAA), DOT. compliance times specified, unless already Flight Standards District Office, as ACTION: Notice of proposed rulemaking done. appropriate. If sending information directly (NPRM). to the International Branch, send it to ATTN: (g) Maintenance Program Revision and Vladimir Ulyanov, Aerospace Engineer, SUMMARY: We propose to adopt a new Airworthiness Limitations Compliance International Branch, ANM–116, Transport airworthiness directive (AD) for certain (1) Within 3 months after the effective date Airplane Directorate, FAA, 1601 Lind Bombardier, Inc. Model CL–215–6B11 of this AD, revise the maintenance or Avenue SW., Renton, WA 98057–3356; (CL–215T Variant), and CL–215–6B11 inspection program, as applicable, by telephone (425) 227–1138; fax (425) 227– (CL–415 Variant) airplanes. This incorporating Airbus A330 Airworthiness 1149. Information may be emailed to: 9- proposed AD was prompted by several Limitations Section (ALS) Part 5—Fuel [email protected]. Airworthiness Limitations, dated November Before using any approved AMOC, notify reports indicating that shorter nacelle 16, 2011. your appropriate principal inspector, or strut bushings were inadvertently (2) Comply with all applicable instructions lacking a principal inspector, the manager of installed on certain airplanes. This and airworthiness limitations included in the local flight standards district office/ proposed AD would require a general Airbus A330 ALS Part 5—Fuel Airworthiness certificate holding district office. The AMOC visual inspection of the left and right

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nacelle upper strut bushings; regulatory evaluation, any comments N), 85410265–105, have been inadvertently installation of the bolts and preload received, and other information. The installed in lieu of P/N 85410265–103. indicating (PLI) washers, if necessary; street address for the Docket Operations Bushing P/N 85410265–105 is shorter than and replacement of the bushing or office (telephone (800) 647–5527) is in bushing P/N 85410265–103 and provides for less engagement in the strut fork end, P/N repair of the bushing installation, if ADDRESSES the section. Comments will 215T16534–12/–13, which may deform necessary. We are proposing this AD to be available in the AD docket shortly under the bearing load leading to the failure detect and correct inadequate nacelle after receipt. of the joint. strut bushings, which provide FOR FURTHER INFORMATION CONTACT: insufficient engagement in the strut fork Ricardo Garcia, Aerospace Engineer, The actions for this proposed AD end, and could deform under the Airframe and Mechanical Systems include a general visual inspection of bearing load and lead to the failure of Branch, ANE–171, FAA, New York the left and right nacelle upper strut the joint. Aircraft Certification Office, 1600 bushings; installation of the bolts and DATES: We must receive comments on Stewart Avenue, Suite 410, Westbury, PLI washers, if necessary; and this proposed AD by April 14, 2014. NY 11590; phone (516) 228–7331; fax replacement of the bushing or repair of ADDRESSES: You may send comments by (516) 794–5531. the bushing installation, if necessary. You may examine the MCAI in the AD any of the following methods: SUPPLEMENTARY INFORMATION: • Federal eRulemaking Portal: Go to docket on the Internet at http:// http://www.regulations.gov. Follow the Comments Invited www.regulations.gov by searching for and locating it in Docket No. FAA– instructions for submitting comments. We invite you to send any written • 2014–0120. Fax: (202) 493–2251. relevant data, views, or arguments about • Mail: U.S. Department of this proposed AD. Send your comments Relevant Service Information Transportation, Docket Operations, M– to an address listed under the 30, West Building Ground Floor, Room ADDRESSES section. Include ‘‘Docket No. Bombardier, Inc. has issued Alert W12–140, 1200 New Jersey Avenue SE., FAA–2014–0120; Directorate Identifier Service Bulletin 215–A3173, dated Washington, DC 20590. 2013–NM–056–AD’’ at the beginning of April 11, 2012, and Alert Service • Hand Delivery: U.S. Department of Bulletin 215–A4453, dated April 10, Transportation, Docket Operations, M– your comments. We specifically invite comments on the overall regulatory, 2012. The actions described in this 30, West Building Ground Floor, Room service information are intended to W12–140, 1200 New Jersey Avenue SE., economic, environmental, and energy aspects of this proposed AD. We will correct the unsafe condition identified Washington, DC, between 9 a.m. and 5 in the MCAI. p.m., Monday through Friday, except consider all comments received by the Federal holidays. closing date and may amend this FAA’s Determination and Requirements For service information identified in proposed AD based on those comments. of This Proposed AD this proposed AD, contact Bombardier, We will post all comments we This product has been approved by Inc., 400 Coˆte-Vertu Road West, Dorval, receive, without change, to http:// the aviation authority of another Que´bec H4S 1Y9, Canada; telephone www.regulations.gov, including any country, and is approved for operation 514–855–5000; fax 514–855–7401; email personal information you provide. We in the United States. Pursuant to our [email protected]; Internet will also post a report summarizing each bilateral agreement with the State of http://www.bombardier.com. You may substantive verbal contact we receive Design Authority, we have been notified view this referenced service information about this proposed AD. of the unsafe condition described in the at the FAA, Transport Airplane Discussion MCAI and service information Directorate, 1601 Lind Avenue SW., referenced above. We are proposing this Renton, WA. For information on the Transport Canada Civil Aviation, AD because we evaluated all pertinent availability of this material at the FAA, which is the aviation authority for information and determined an unsafe call 425–227–1221. Canada, has issued Canadian Airworthiness Directive CF–2013–06, condition exists and is likely to exist or Examining the AD Docket dated February 27, 2013 (referred to develop on other products of the same You may examine the AD docket on after this as the Mandatory Continuing type design. the Internet at http:// Airworthiness Information, or ‘‘the Costs of Compliance www.regulations.gov; or in person at the MCAI’’), to correct an unsafe condition Docket Operations office between 9 a.m. for the specified products. The MCAI We estimate that this proposed AD and 5 p.m., Monday through Friday, states: affects 5 airplanes of U.S. registry. except Federal holidays. The AD docket It was discovered in several cases that We estimate the following costs to contains this proposed AD, the nacelle strut bushings with part number (P/ comply with this proposed AD:

ESTIMATED COSTS

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

Inspection ...... 4 work-hours × $85 per hour = $340 ...... $0 $340 $1,700

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

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ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Replacement ...... 4 work-hours × $85 per hour = $340 ...... $0 $340 Repair ...... 4 work-hours × $85 per hour = $340 ...... 0 340

Authority for This Rulemaking the FAA proposes to amend 14 CFR part airplanes); or Bombardier Alert Service 39 as follows: Bulletin 215–A4453, dated April 10, 2012 Title 49 of the United States Code (for Model CL–215–6B11 (CL–415 Variant) specifies the FAA’s authority to issue PART 39—AIRWORTHINESS airplanes). rules on aviation safety. Subtitle I, DIRECTIVES (1) If any bushing with part number (P/N) section 106, describes the authority of 85410265–103 is installed: Before further the FAA Administrator. ‘‘Subtitle VII: ■ 1. The authority citation for part 39 flight, install the bolts and preload indicating Aviation Programs,’’ describes in more continues to read as follows: (PLI) washers, in accordance with paragraph detail the scope of the Agency’s 2.G. of the Accomplishment Instructions of Authority: 49 U.S.C. 106(g), 40113, 44701. Bombardier Alert Service Bulletin 215– authority. A3173, dated April 11, 2012 (for Model CL– We are issuing this rulemaking under § 39.13 [Amended] 215–6B11 (CL–215T Variant) airplanes); or the authority described in ‘‘Subtitle VII, ■ 2. The FAA amends § 39.13 by adding Bombardier Alert Service Bulletin 215– Part A, Subpart III, Section 44701: the following new AD: A4453, dated April 10, 2012 (for Model CL– 215–6B11 (CL–415 Variant) airplanes). General requirements.’’ Under that Bombardier, Inc.: Docket No. FAA–2014– (2) If any bushing with P/N 85410265–105 section, Congress charges the FAA with 0120; Directorate Identifier 2013–NM– is installed in either the left or right nacelle: promoting safe flight of civil aircraft in 056–AD. air commerce by prescribing regulations Do the actions in paragraph (h) of this AD. (a) Comments Due Date for practices, methods, and procedures (h) Replacement or Repair of the Bushing We must receive comments by April 14, the Administrator finds necessary for If any bushing with P/N 85410265–105 is 2014. safety in air commerce. This regulation found installed during the inspection is within the scope of that authority (b) Affected ADs required by paragraph (g) of this AD: Before because it addresses an unsafe condition None. further flight, do the actions specified in that is likely to exist or develop on paragraph (h)(1) or (h)(2) of this AD. products identified in this rulemaking (c) Applicability (1) Replace the bushing in accordance with paragraph 2.E. of the Accomplishment action. This AD applies to the Bombardier, Inc. airplanes, certificated in any category, Instructions of Bombardier Alert Service Regulatory Findings identified in paragraphs (c)(1) and (c)(2) of Bulletin 215–A3173, dated April 11, 2012 this AD. (for Model CL–215–6B11 (CL–215T Variant) We determined that this proposed AD (1) Model CL–215–6B11 (CL–215T Variant) airplanes); or Bombardier Alert Service would not have federalism implications airplanes, serial numbers 1056, 1057, 1061, Bulletin 215–A4453, dated April 10, 2012 under Executive Order 13132. This 1080, 1109, 1113, 1114, 1115, 1116, 1117, (for Model CL–215–6B11 (CL–415 Variant) proposed AD would not have a 1118, 1119, 1120, 1121, 1122, and 1125. airplanes); and continue with the installation substantial direct effect on the States, on (2) Model CL–215–6B11 (CL–415 Variant) of bolt and PLI washer, in accordance with paragraph 2.G. of the Accomplishment the relationship between the national airplanes, serial numbers 2001 through 2067 inclusive. Instructions of Bombardier Alert Service Government and the States, or on the Bulletin 215–A3173, dated April 11, 2012 distribution of power and (d) Subject (for Model CL–215–6B11 (CL–215T Variant) responsibilities among the various Air Transport Association (ATA) of airplanes); or Bombardier Alert Service levels of government. America Code 54, Nacelles/Pylons. Bulletin 215–A4453, dated April 10, 2012 For the reasons discussed above, I (for Model CL–215–6B11 (CL–415 Variant) (e) Reason certify this proposed regulation: airplanes). 1. Is not a ‘‘significant regulatory This AD was prompted by several reports (2) Repair the bushing in accordance with paragraph 2.F. of the Accomplishment action’’ under Executive Order 12866; indicating that shorter nacelle strut bushings were inadvertently installed on certain Instructions of Bombardier Alert Service 2. Is not a ‘‘significant rule’’ under the airplanes. We are issuing this AD to detect Bulletin 215–A3173, dated April 11, 2012 DOT Regulatory Policies and Procedures and correct inadequate nacelle strut (for Model CL–215–6B11 (CL–215T Variant) (44 FR 11034, February 26, 1979); bushings, which provide insufficient airplanes); or Bombardier Alert Service 3. Will not affect intrastate aviation in engagement in the strut fork end, and could Bulletin 215–A4453, dated April 10, 2012 Alaska; and deform under the bearing load and lead to (for Model CL–215–6B11 (CL–415 Variant) 4. Will not have a significant the failure of the joint. airplanes); and continue with the installation of bolt and PLI washer, in accordance with economic impact, positive or negative, (f) Compliance paragraph 2.G. of the Accomplishment on a substantial number of small entities Comply with this AD within the Instructions of Bombardier Alert Service under the criteria of the Regulatory compliance times specified, unless already Bulletin 215–A3173, dated April 11, 2012 Flexibility Act. done. (for Model CL–215–6B11 (CL–215T Variant) airplanes); or Bombardier Alert Service List of Subjects in 14 CFR Part 39 (g) Inspection of the Bushing Bulletin 215–A4453, dated April 10, 2012 Air transportation, Aircraft, Aviation Within 3 months after the effective date of (for Model CL–215–6B11 (CL–415 Variant) safety, Incorporation by reference, this AD: Do a general visual inspection to airplanes). determine the part number of the left and Safety. right nacelle upper strut bushings, in (i) Replacement of Repaired Bushing The Proposed Amendment accordance with the Accomplishment For any bushing that has been repaired as Instructions of Bombardier Alert Service specified in paragraph (h)(2) of this AD: Accordingly, under the authority Bulletin 215–A3173, dated April 11, 2012 Within 5,000 flight hours after accomplishing delegated to me by the Administrator, (for Model CL–215–6B11 (CL–215T Variant) the repair or at the next engine removal,

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whichever occurs first, replace the bushing February 27, 2013, for related information. must be submitted on or before March with P/N 85410265–103, in accordance with This MCAI may be found in the AD docket 31, 2014. Comments received by mail paragraph 2.E. of the Accomplishment on the Internet at http://www.regulations.gov will be considered timely if they are Instructions of Bombardier Alert Service by searching for and locating it in Docket No. Bulletin 215–A3173, dated April 11, 2012 FAA–2014–0120. postmarked on or before that date. The (for Model CL–215–6B11 (CL–215T Variant) (2) For service information identified in electronic Federal Docket Management airplanes); or Bombardier Alert Service this AD, contact Bombardier, Inc., 400 Coˆte- System (FDMS) will accept comments Bulletin 215–A4453, dated April 10, 2012 Vertu Road West, Dorval, Que´bec H4S 1Y9, until Midnight Eastern Time at the end (for Model CL–215–6B11 (CL–415 Variant) Canada; telephone 514–855–5000; fax 514– of that day. airplanes); and continue with the installation 855–7401; email thd.crj@ ADDRESSES: You may submit comments, aero.bombardier.com; Internet http:// of bolt and PLI washer, in accordance with identified by Regulatory Information paragraph 2.G. of the Accomplishment www.bombardier.com. You may view this Instructions of Bombardier Alert Service service information at the FAA, Transport Number (RIN) 0605–AA33, by any of the Bulletin 215–A3173, dated April 11, 2012 Airplane Directorate, 1601 Lind Avenue SW., following methods: (for Model CL–215–6B11 (CL–215T Variant) Renton, WA. For information on the • Federal eRulemaking Portal: http:// airplanes); or Bombardier Alert Service availability of this material at the FAA, call www.regulations.gov. Follow the Bulletin 215–A4453, dated April 10, 2012 425–227–1221. instructions for submitting comments. (for Model CL–215–6B11 (CL–415 Variant) Issued in Renton, Washington, on February • Fax: (202) 482–2552. Include the airplanes). 14, 2014. RIN 0605–AA33 in the subject line. • (j) No Further Action Required Jeffrey E. Duven, Mail: Mark R. Tallarico, Senior (1) For airplanes on which a general visual Manager, Transport Airplane Directorate, Counsel, Office of the General Counsel, inspection specified in paragraph (g) of this Aircraft Certification Service. Department of Commerce, 1401 AD is done and it is determined that the [FR Doc. 2014–04260 Filed 2–26–14; 8:45 am] Constitution Avenue NW., Room 5099, nacelle strut bushings having P/N 85410265– BILLING CODE 4910–13–P Washington, DC 20230. 103 are installed in the airplane: No further Instructions: All submissions received actions are required by this AD, provided the must include the agency name and actions specified in paragraph (g)(1) of this DEPARTMENT OF COMMERCE docket number or RIN for this AD have been done. rulemaking. All comments received will (2) For airplanes on which nacelle strut be posted without change to bushings having P/N 85410265–103 are Office of the Secretary installed as specified in paragraph (h)(1) or regulations.gov, including any personal (i) of this AD, no further actions are required 15 CFR Part 4 information provided. For detailed by this AD. instructions on submitting comments [Docket No. 140127076–4076–01] and additional information on the (k) Other FAA AD Provisions RIN 0605–AA33 rulemaking process, see the ‘‘Public The following provisions also apply to this Participation’’ heading of the AD: Public Information, Freedom of SUPPLEMENTARY INFORMATION section of (1) Alternative Methods of Compliance Information Act and Privacy Act this document. (AMOCs): The Manager, New York Aircraft Regulations Certification Office (ACO), ANE–170, FAA, FOR FURTHER INFORMATION CONTACT: has the authority to approve AMOCs for this AGENCY: Department of Commerce. Mark R. Tallarico, 202–482–8156, or AD, if requested using the procedures found ACTION: Notice of proposed rulemaking. Britt E. Carlson, 202–482–8155. in 14 CFR 39.19. In accordance with 14 CFR SUPPLEMENTARY INFORMATION: Public 39.19, send your request to your principal SUMMARY: This rule proposes revisions Participation: Comments sent by any inspector or local Flight Standards District to the Department of Commerce’s Office, as appropriate. If sending information other method, to any other address or directly to the ACO, send it to ATTN: (Department) regulations under the individual, or received after the end of Program Manager, Continuing Operational Freedom of Information Act (FOIA) and the comment period, may not be Safety, FAA, New York ACO, 1600 Stewart Privacy Act. The FOIA regulations are considered by the Department. Avenue, Suite 410, Westbury, NY 11590; being revised to clarify, update and If you want to submit personal telephone 516–228–7300; fax 516–794–5531. streamline the language of several identifying information (such as your Before using any approved AMOC, notify procedural provisions, including name, address, etc.) as part of your your appropriate principal inspector, or methods for submitting FOIA requests comment, but do not want it to be lacking a principal inspector, the manager of and appeals and the time limits for posted online, you must include the the local flight standards district office/ filing an administrative appeal, and to certificate holding district office. The AMOC phrase ‘‘PERSONAL IDENTIFYING approval letter must specifically reference incorporate certain of the changes INFORMATION’’ in the first paragraph this AD. brought about by the amendments to the of your comment. You must also locate (2) Airworthy Product: For any requirement FOIA under the OPEN Government Act all the personal identifying information in this AD to obtain corrective actions from of 2007. Additionally, the FOIA you do not want posted online in the a manufacturer, use these actions if they are regulations are being updated to reflect first paragraph of your comment and FAA-approved. Corrective actions are developments in the case law. The identify what information you want considered FAA-approved if they were Privacy regulations are being revised to approved by the State of Design Authority (or redacted. clarify, update and streamline several If you want to submit confidential its delegated agent, or the DAH with a State procedural provisions, including the of Design Authority’s design organization business information as part of your approval). For a repair method to be methods for submitting appeals of comment but do not want it to be posted approved, the repair approval must Privacy Act requests and the time limits online, you must include the phrase specifically refer to this AD. You are required for filing a Privacy Act appeal. ‘‘CONFIDENTIAL BUSINESS to ensure the product is airworthy before it Additionally, the Privacy Act INFORMATION’’ in the first paragraph is returned to service. regulations are being updated to make of your comment. You must also (l) Related Information technical changes to the applicable prominently identify confidential exemptions. (1) Refer to Mandatory Continuing business information to be redacted Airworthiness Information (MCAI) Canadian DATES: Written comments must be within the comment. If a comment has Airworthiness Directive CF–2013–06, dated postmarked and electronic comments so much confidential business

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information that it cannot be effectively Eastern Time, the next business day will considerations: Medical records); § 4.28 redacted, all or part of the comment may be deemed timely. (Agency review of requests for not be posted on http:// To implement the OPEN Government correction or amendment); § 4.29 www.regulations.gov. Act of 2007, the Department proposes (Appeal of initial adverse agency Personal identifying information and to: (1) Allow Department components to determination on correction or confidential business information seek a one-time clarification of a request amendment); § 4.33 (General identified and located as set forth above and toll the time period for responding exemptions); and § 4.34 (Specific will be placed in the agency’s public to the request until the requester exemptions). clarifies; (2) add a definition of docket file, but not posted online. If you Appendix A to part 4 is being revised ‘‘Representative of the news media, or wish to inspect the agency’s public to: update mailing addresses and news media requester’’ as defined in the docket file in person by appointment, telephone addresses of Department OPEN Government Act; and (3) place please see the FOR FURTHER INFORMATION components for receipt and processing limits on the fees charged when CONTACT paragraph. of requests for records under the FOIA Department components do not comply and Privacy Act and requests for Discussion with the statutory time limits under the correction and amendment under the FOIA. This rule proposes revisions to the Privacy Act; include contact Department’s regulations under the This rule would modify the following Department FOIA regulations: § 4.1 information for components receiving FOIA to clarify, update and streamline requests for records under the FOIA and the language of several procedural (General Provisions), § 4.2 (Public reference facilities), § 4.3 (Records Privacy Act and requests for correction provisions, including the methods for and amendment under the Privacy Act; submitting FOIA requests and appeals under the FOIA), § 4.4 (Requirements for making requests), § 4.5 identify components maintaining public and the time limits for responding to a inspection facilities; and identify request and filing an administrative (Responsibility for responding to requests), § 4.6 (Time limits and components maintaining separate appeal, and to incorporate certain of the online Electronic FOIA Libraries. changes brought about by the expedited processing), § 4.7 (Responses to requests), § 4.8 (Classified Appendix B to part 4 is being revised to amendments to the FOIA under the information), § 4.9 (Business include an updated list of Department OPEN Government Act of 2007, Public information), § 4.10 (Appeals from officials authorized to deny requests for Law 110–175, 121 Stat. 2524. initial determinations or untimely records under the FOIA and Privacy Act Additionally, the FOIA regulations are delays), and § 4.11 (Fees). In addition, and requests for correction or being updated to reflect developments new provisions implementing such amendment under the Privacy Act. in the case law. changes are found at § 4.6(c) Regulatory Flexibility Act Specifically this action would amend (Clarification of request), § 4.7(a) the procedures for filing requests and (Acknowledgment of requests), In accordance with the Regulatory appeals for both the FOIA and the §§ 4.10(a)(1) and (2) and (b)(1)(2) Flexibility Act (5 U.S.C. 605(b)), the Privacy Act, and allow parties to use (distinguishing where requesters should Chief Counsel for Regulation has delivery services or file online through submit appeals from initial reviewed this rule and certifies that this FOIAonline (http:// determinations or untimely delays), and regulation, if implemented, will not foiaonline.regulations.gov). The rule § 4.11(d)(6) (Limitation on charging have a significant economic impact on will also vest the Office of the Inspector fees), with subsequent sections a substantial number of small entities. General’s (OIG) Counsel, rather than the renumbered accordingly. Current Under the FOIA, agencies may recover Office of the Assistant General Counsel § 4.2(c), § 4.2(d), and § 4.9(h)(1) are to be only the direct costs of searching for, for Administration, with responsibility deleted and subsequent sections, if any, reviewing, and duplicating the records for addressing appeals for the OIG. renumbered accordingly. processed for requesters. These fees are The Department further proposes to This rule also proposes revisions to nominal, and therefore would not clarify when the 20-day statutory time the Department’s regulations under the constitute a significant economic impact limit for responding to requests begins Privacy Act to clarify, update and on a requester. Further, the number of (i.e., when requests are received by the streamline several procedural ‘‘small entities’’ that make FOIA proper DOC component’s FOIA office, provisions, including the methods for requests is relatively small compared to when requests are modified for submitting Privacy Act requests and the number of individual requesters and purposes of reformulating a request so appeals and the time limits for filing a other requesters who make such that it reasonably describes the requests Privacy Act appeal. In particular, the requests. sought). This rule would also clarify action will amend the Department’s that certain inactions by a requester, Privacy Act regulations regarding Executive Order 12866 such as his or her failure to respond to applicable exceptions to reflect new a component’s one-time clarification Department wide systems of records This regulation has been drafted and request within 30 calendar days, failure notices published since the last time the reviewed in accordance with Executive to submit an agreement to pay regulations were updated, and to make Order 12866, § 1(b), Principles of anticipated fees in excess of $20 within requesting your own medical records Regulation. The Office of Management 30 calendar days of the component’s fee from the Department easier. Many of the and Budget has determined that this estimate, failure to make an advanced other changes mirror those made to the rule is not a ‘‘significant regulatory payment within 30 calendar days of the FOIA regulations in order to maintain action’’ under Executive Order 12866, component’s fee estimate, may result in consistency between the provisions. The § 3(f), Regulatory Planning and Review. a request being closed. For FOIA revisions of the Privacy Act regulations Paperwork Reduction Act appeals, the Department proposes to in subpart B of part 4 incorporate clarify that if the deadline for filing an changes to the language of the This regulation does not contain a administrative appeal falls on a regulations in the following provisions: ‘‘collection of information’’ as defined Saturday, Sunday or legal public § 4.25 (Disclosure of requested records by the Paperwork Reduction Act, 44 holiday, an appeal received by 5 p.m. to individuals); § 4.26 (Special U.S.C. 3501 et seq.

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Lists of Subjects in 15 CFR Part 4 maintain Electronic FOIA Libraries. electronic format (including data and Appeals, Freedom of Information Act, These records may also be accessible at other electronically-stored information). Information, Privacy, Privacy Act. the FOIAonline Web site, http:// (c) Department officials may, upon foiaonline.regulations.gov. Each request, create and provide new records Dated: February 12, 2014. component of the Department is to the public pursuant to statutes that Catrina D. Purvis, responsible for determining which of its authorize the creation and provision of Chief Privacy Officer, and Director of Open records are required to be made new records for a fee, such as the first Government. available, as well as identifying paragraph of 15 U.S.C. 1525, or in For the reasons stated in the additional records of interest to the accordance with authority otherwise preamble, the Department of Commerce public that are appropriate for provided by law. Such creation and proposes to amend 15 CFR part 4 as disclosure, and for making those records provision of records is outside the scope follows: available either in its own Electronic of the FOIA. Library or in the Department’s central * * * * * PART 4—DISCLOSURE OF Electronic FOIA Library. Components ■ 5. Amend § 4.4 by revising paragraphs GOVERNMENT INFORMATION that maintain their own Electronic FOIA (a) through (c) to read as follows: Library are designated as such in ■ 1. The authority citation for part 4 Appendix A to this part. Each § 4.4 Requirements for making requests. continues to read as follows: component shall maintain and make (a) How made and addressed. The Authority: 5 U.S.C. 301; 5 U.S.C. 552; 5 available for public inspection and Department has a decentralized system U.S.C. 552a; 5 U.S.C. 553; 31 U.S.C. 3717; 44 copying a current subject-matter index for responding to FOIA requests, with U.S.C. 3101; Reorganization Plan No. 5 of of the records made available each component designating a FOIA 1950. electronically. Each component shall office to process records from that ensure that posted records and indices component. All components have the Subpart A—Freedom of Information capability to receive requests Act are updated regularly, at least quarterly. (b) If the requester does not have electronically either through electronic ■ 2. Amend § 4.1 by revising paragraph access to the Internet and wishes to mail (email) or the FOIAonline Web (a) to read as follows: obtain information regarding publicly site, http:// available information, he or she may www.foiaonline.regulations.gov. A § 4.1 General provisions. contact the component’s FOIA office. request for Department records that are (a) The information in this part is Appendix A to this part contains the not customarily made available to the furnished for the guidance of the public contact information for the components’ public as part of the Department’s and in compliance with the FOIA offices. Some components may regular informational services (or requirements of the Freedom of also maintain physical public reading pursuant to a user fee statute), must be Information Act (FOIA), as amended (5 rooms. These components and their in writing and shall be processed under U.S.C. 552). This part sets forth the contact information are listed in the FOIA, regardless of whether the procedures the Department of Appendix A of this part. FOIA is mentioned in the request. Commerce (Department) and its ■ 4. Amend § 4.3 by revising paragraphs Requests must include the requester’s components follow to make publicly (a) through (c) to read as follows: full name and a legible return address. available materials and indices specified Requesters may also include other in 5 U.S.C. 552(a)(2) and records § 4.3 Records under the FOIA. contact information, such as an email requested under 5 U.S.C. 552(a)(3). (a) Records under the FOIA include address and a telephone number. For Information routinely provided to the all Government records, regardless of the quickest handling, the request (and public as part of a regular Department format, medium or physical envelope, if the request is mailed or activity (for example, press releases characteristics, and electronic records hand delivered) should be marked issued by the Office of Public Affairs) and information, audiotapes, ‘‘Freedom of Information Act Request.’’ may be provided to the public without videotapes, Compact Disks, DVDs, and Requests may be submitted by U.S. following this part. In addition, as a photographs. mail, delivery service, email, facsimile, matter of policy, the Department may (b) In response to a FOIA request, the or online at the FOIAonline Web site, make discretionary releases of records Department has no obligation to create, http://foiaonline.regulations.gov. or information exempt from disclosure compile, or obtain from outside the Requests made by mail, delivery service, under the FOIA when permitted to do Department a record to satisfy a request email, or facsimile should be sent to the so in accordance with current law and (for example, extrapolating information Department component identified in governmental policy. This policy does from existing agency records, Appendix A to this part that maintains not create any right enforceable in court. reformatting available information, those records requested, and should be * * * * * preparing new electronic programs or sent to the addresses, email addresses, ■ 3. Amend § 4.2 by revising the section databases, or creating data through or numbers listed in Appendix A to this heading, paragraphs (a) and (b) and calculations of rations, proportions, part or the Department’s Web site, removing paragraphs (c) and (d) to read percentages, trends, frequency http://www.doc.gov.1 If the proper as follows: distributions, correlations, or component cannot be determined, the comparisons). In complying with a request should be sent to the central § 4.2 Public reading rooms. request for records (including data and facility identified in Appendix A to this (a) Records that the FOIA requires to other electronically-stored information), part. The central facility will forward be made available for public inspection whether the Department creates or and copying are accessible compiles records (as by undertaking 1 The United States Patent and Trademark Office electronically through the Department’s significant programming work) or (USPTO), which is established as an agency of the ‘‘Electronic FOIA Library’’ on the merely extracts them from an existing United States within the Department of Commerce, operates under its own FOIA regulations at 37 CFR Department’s Web site, http:// database is fact dependent. The part 102, subpart A. Accordingly, requests for www.doc.gov, which includes links to Department shall undertake reasonable USPTO records, and any appeals thereof, should be Web sites for those components that efforts to search for records stored in sent directly to the USPTO.

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the request to the component(s) it is closed. In cases where a requester has (e) and (f)(3), and adding new paragraph believes most likely to have the modified his or her request, the date of (c) to read as follows: requested records. Requests will be receipt for purposes of the 20-day time considered received for purposes of the limit of § 4.6 shall be the date of receipt § 4.6 Time limits and expedited processing. 20-day time limit of § 4.6 as of the date of the modified request. it is received by the proper component’s ■ 6. Amend § 4.5 by revising paragraphs * * * * * FOIA office. (a) through (c) to read as follows: (b) Initial response and appeal. (b) Requests for records about an Unless the component and the requester individual or oneself. For requests for § 4.5 Responsibility for responding to have agreed otherwise, or when requests. records about oneself, § 4.24 of this part ‘‘unusual circumstances’’ exist as contains additional requirements. For (a) In general. Except as stated in provided for in paragraph (d) of this requests for records about another paragraph (b) of this section, the proper section, a determination whether to individual, either written authorization component of the Department to comply with a FOIA request shall be signed by the individual permitting respond to a request for records is the made by components within 20 working disclosure of his or her records to the component that first receives the request days (i.e., excluding Saturdays, requester or proof that the individual is and has responsive records (or in the Sundays, and legal public holidays) of deceased (for example, a copy of a death instance of where no records exist, the the receipt of a request for a record certificate or an obituary) will facilitate component that first receives the request under this part by the proper processing the request. and is likely to have responsive component identified in accordance (c) Description of records sought. A records), or the component to which the with § 4.5(a). In instances involving FOIA request must reasonably describe Departmental FOIA Officer or misdirected requests that are re-routed the agency records sought, to enable component FOIA Officer assigns lead pursuant to § 4.5(a), the response time Department personnel to locate them responsibility for responding to the shall commence on the date that the with a reasonable amount of effort. request. Where a component’s FOIA request is received by the proper Whenever possible, a request should office determines that a request was component, but in any event not later include specific information about each misdirected within the Department, the than ten working days after the request record sought, such as the date, title or receiving component’s FOIA office shall is first received by any designated name, author, recipient, and subject route the request to the FOIA office of component. An administrative appeal, matter of the record, and the name and the proper component(s). Records other than an appeal from a request location of the office where the record responsive to a request shall include made to the Office of the Inspector might be found. In addition, if records those records within the Department’s General, shall be decided within 20 about a court case are sought, the title possession and control as of the date the working days of its receipt by the Office of the case, the court in which the case Department begins its search for them. of the General Counsel. An was filed, and the nature of the case (b) Consultations and referrals. When administrative appeal from a request should be included. If known, any file a component receives a request for a made to the Office of the Inspector designations or descriptions of the record (or a portion thereof) in its General shall be decided within 20 requested records should be included. possession that originated with another working days of its receipt by the Office As a general rule, the more specifically Federal agency subject to the FOIA, the of the Inspector General Office of the request describes the records sought, component shall refer the record to that Counsel. The Department’s failure to the greater the likelihood that the agency for direct response to the comply with the time limits identified Department will be able to locate those requester (see § 4.8 for additional in this paragraph constitutes exhaustion records. Before submitting their information about referrals of classified of the requester’s administrative requests, requesters may contact the information). In instances where a remedies for the purposes of judicial component’s FOIA contact to discuss record is requested that originated with action to compel disclosure. the records they are seeking and to the Department and another Federal (c) Clarification of request. receive assistance in describing the agency has a significant interest in the Components may seek a one-time records (contact information for these record (or a portion thereof), the clarification of a request for a record individuals is contained in Appendix A component shall consult with that (including clarification related to the to this part and on the Department’s Federal agency before responding to a scope of the request) under this part. Web site, http://www.doc.gov). If a requester. When a component receives a The component shall notify the component determines that a request request for a record (or a portion requester in writing of its clarification’s does not reasonably describe the records thereof) in its possession that originated intentions. When a component seeks sought, it shall inform the requester with another Federal agency that is not clarification of a request, the time for what additional information is needed subject to the FOIA, the component responding to a request set forth in or how the request is otherwise shall consult with that Federal agency § 4.6(b) is tolled until the requester insufficient, to enable the requester to before responding to the requester. responds to the clarification request. modify the request to meet the (c) Notice of referral. Whenever a The tolling period will end when the requirements of this section. Requesters component refers a record to another component that sought the clarification who are attempting to reformulate or Federal agency for direct response to the receives a response from the requester. modify such a request may discuss their requester, the component’s FOIA Officer If a component asks for clarification and request with the component’s shall notify the requester in writing of does not receive a written response from designated FOIA contact. When a the referral and inform the requester of the requester within 30 calendar days requester fails to provide sufficient the name of the agency to which the from the date of the component’s detail after having been asked to record was referred. clarification request, the component reasonably describe the records sought, * * * * * will presume that the requester is no the component shall notify the requester ■ 7. Amend § 4.6 by redesignating longer interested and notify the in writing that the request has not been paragraphs (c) through (f) as (d) through requester that the request will be closed. properly made, that no further action (g), revising paragraph (b) and newly (d) Unusual Circumstances. (1) will be taken, and that the FOIA request redesignated paragraphs (d)(1) and (2), Components may extend the time

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period for processing a FOIA request section, if not a full-time member of the determinations also include denials only in ‘‘unusual circumstances,’’ as news media, must establish that he or involving fees or fee waiver matters or described in paragraph (d)(2) of this she is a person whose main professional denials of requests for expedited section, in which the component shall, activity or occupation is information processing. before expiration of the twenty-day dissemination, though it need not be his (d) Content of denial. The denial letter period to respond, notify the requester or her sole occupation. A requester shall be signed by an official listed in of the extension in writing of the within the category described in Appendix B to this part (or a designee), unusual circumstances involved and of paragraph (f)(1)(iv) of this section must and shall include: the date by which processing of the also establish a particular urgency to (1) The name and title or position of request is expected to be completed. If inform the public about the Government the person responsible for the denial; the extension is for more than ten activity involved in the request—one (2) A brief statement of the reason(s) working days, the component shall that extends beyond the public’s right to for the denial, including any FOIA provide the requester with an know about Government activity exemption(s) applied by the component opportunity to modify the request or generally. The existence of numerous in denying the request; agree to an alternative time period for articles published on a given subject can (3) An estimate of the volume of any processing the original or modified be helpful to establishing the records or information withheld, by request. requirement that there be an ‘‘urgency to providing the number of pages or some (2) For purposes of this section, inform’’ the public on a topic. As a other reasonable form of estimation. unusual circumstances include: matter of administrative discretion, a This estimate is not required if the (i) The need to search for and collect component may waive the formal volume is otherwise indicated by the requested agency records from field certification requirement. deletions marked on records that are facilities or other establishments that are * * * * * disclosed in part, or if providing an separate from the office processing the ■ 8. Amend § 4.7 by redesignating estimate would harm an interest request; paragraphs (a) and (b) as (b) and (c), protected by an applicable FOIA (ii) The need to search for, collect, adding new paragraphs (a) and (d), and exemption; and and appropriately examine a revising newly redesignated paragraphs (4) A statement that the denial may be voluminous amount of separate and (b) and (c) to read as follows: appealed under § 4.10 of this subpart, and a list of the requirements for filing distinct records that are the subject of a § 4.7 Responses to requests. single request; or an appeal set forth in § 4.10(b). (iii) The need to consult with another (a) Acknowledgment of requests. ■ 9. Amend § 4.8 by revising it to read Federal agency having a substantial Upon receipt of a request, a component as follows: ordinarily shall send an interest in the determination of the acknowledgement letter to the requester § 4.8 Classified information. FOIA request or among two or more which shall provide an assigned request In processing a request for components of the Department having number for further reference and, if information classified under Executive substantial subject-matter interest in the necessary, confirm whether the Order 13526 or any other executive determination of the request. requester is willing to pay fees. order concerning the classification of * * * * * (b) Grants of requests. If a component records, the information shall be (e) Multi-track processing. (1) A makes a determination to grant a request reviewed to determine whether it component must use two or more in whole or in part, it shall notify the should remain classified. Ordinarily the processing tracks by distinguishing requester in writing of such component or other Federal agency that between simple and more complex determination and disclose records to classified the information should requests based on the amount of work the requester promptly upon payment of conduct the review, except that if a and/or time needed to process the any applicable fees. Records disclosed record contains information that has request, including the amount of pages in part shall be marked or annotated to been derivatively classified by a involved, and whether the request show the applicable FOIA exemption(s) component because it contains qualifies for expedited processing as and the amount of information deleted, information classified by another described in paragraph (f) of this unless doing so would harm an interest component or agency, the component section. protected by an applicable exemption. shall refer the responsibility for (2) A component using multi-track The location of the information deleted responding to the request to the processing may provide requesters in its shall also be indicated on the record, if component or agency that classified the slower track(s) with an opportunity to feasible. underlying information. Information limit the scope of their requests in order (c) Adverse determinations of determined to no longer require to qualify for faster processing. A requests. If a component makes an classification shall not be withheld on component doing so shall contact the adverse determination regarding a the basis of FOIA exemption (b)(1) (5 requester by telephone, email, letter, or request, it shall notify the requester of U.S.C. 552(b)(1)), but should be through the FOIAonline Web site, that determination in writing. An reviewed to assess whether any other http://foiaonline.regulations.gov, adverse determination is a denial of a FOIA exemption should be invoked. whichever is the most efficient in each request and includes decisions that: the Appeals involving classified case. requested record is exempt, in whole or information shall be processed in (f) * * * in part; the request does not reasonably accordance with § 4.10(c). (3) A requester who seeks expedited describe the records sought; the ■ 10. Amend § 4.9 by revising processing must submit a statement, information requested is not a record paragraphs (c), (h) and (j) to read as certified to be true and correct to the subject to the FOIA; the requested follows: best of that person’s knowledge and record does not exist, cannot be located, belief, explaining in detail the basis for or has previously been destroyed; or the § 4.9 Business information. requesting expedited processing. For requested record is not readily * * * * * example, a requester within the category reproducible in the form or format (c) Designation of business described in paragraph (f)(1)(iv) of this sought by the requester. Adverse information. A submitter of business

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information must use good-faith efforts determined, or if a requester receives an addressed to the AGC-Admin, or the to designate, by appropriate markings, adverse determination regarding any General Counsel if the records were either at the time of submission or at a other matter listed under this subpart initially denied by the AGC-Admin. The reasonable time thereafter, any portions (as described in § 4.7(c)), the requester address of both is: U.S. Department of of its submission that it considers to be may file an appeal. Appeals can be Commerce, Office of the General protected from disclosure under FOIA submitted in writing or electronically, Counsel, Room 5875, 14th and exemption (b)(4) of this section. These as described in paragraph (b)(1) of this Constitution Avenue NW., Washington, designations will expire ten years after section. The appeal must be received by DC 20230. An appeal may also be sent the date of the submission unless the the Office of the General Counsel during via facsimile at 202–482–2552. For a submitter requests, and provides normal business hours (8:30 a.m. to 5:00 written appeal, both the letter and the justification for, a longer period. p.m., Eastern Time, Monday through appeal envelope should be clearly * * * * * Friday) within 30 calendar days of the marked ‘‘Freedom of Information Act (h) Exceptions to notice requirements. date of the written denial of the adverse Appeal.’’ Appeals may also be The notice requirements of paragraphs determination or, if there has been no submitted electronically either by email (d) and (g) of this section shall not apply determination, an appeal may be to [email protected] or online at if: submitted any time after the due date, the FOIAonline Web site, http:// (1) The component determines that including the last extension under foiaonline.regulations.gov, if requesters the information is exempt under a FOIA § 4.6(d), of the adverse determination. have a FOIAonline account. In all cases, exemption, other than exemption (b)(4); Written or electronic appeals arriving the appeal (written or electronic) must (2) The information has been lawfully after normal business hours will be include a copy of the original request published or has been officially made deemed received on the next normal and initial denial, if any. All appeals available to the public; business day. If the 30th calendar day must include a statement of the reasons (3) Disclosure of the information is falls on a Saturday, Sunday, or a legal why the records requested should be required by statute (other than the public holiday, an appeal received by made available and why the adverse FOIA) or by a regulation issued in 5:00 p.m., Eastern Time, the next determination was in error. No accordance with Executive Order 12600; business day will be deemed timely. opportunity for personal appearance, or Appeals received after the 30-day limit oral argument or hearing on appeal is (4) The designation made by the will not be considered. provided. Upon receipt of an appeal, (2) If a request for records to the submitter under paragraph (c) of this AGC-Admin, or the General Counsel if Office of Inspector General is initially section appears obviously frivolous, the records were initially denied by denied in whole or in part, or has not except that, in such a case, the AGC-Admin, ordinarily shall send an been timely determined, or if a requester component shall provide the submitter acknowledgement letter to the requester receives an adverse determination written notice of any final decision to which shall confirm receipt of the regarding any other matter listed under disclose the information seven working requester’s appeal. this subpart (as described in § 4.7(c)), days from the date the submitter the requester may file an appeal. (2) Appeals of initial and untimely receives the notice. Appeals can be submitted in writing or determinations by the Office of * * * * * electronically, as described in paragraph Inspector General shall be decided by (j) Corresponding notice to requester. (b)(2) of this section. The appeal must the Counsel to the Inspector General, Whenever a component provides a be received by the Office of Inspector except that appeals for records which submitter with notice and an General, Office of Counsel, during were initially denied by the Counsel to opportunity to object to disclosure normal business hours (8:30 a.m. to 5:00 the Inspector General shall be decided under paragraph (d) of this section, the p.m., Eastern Time, Monday through by the Deputy Inspector General. component shall notify the requester Friday) within 30 calendar days of the Written appeals should be addressed to that the request is being processed date of the written denial of the adverse the Counsel to the Inspector General, or under the provisions of this regulation determination or, if there has been no the Deputy Inspector General if the and, as a consequence, there may be a determination, an appeal may be records were initially denied by the delay in receiving a response. The submitted any time after the due date, Counsel to the Inspector General. The notice to the requester will not include including the last extension under address of both is: U.S. Department of any of the specific information § 4.6(d), of the adverse determination. Commerce, Office of Counsel, Room contained in the records being Written or electronic appeals arriving 7898C, 14th and Constitution Avenue requested. Whenever a submitter files a after normal business hours will be NW., Washington, DC 20230. An appeal lawsuit seeking to prevent the deemed received on the next normal may also be sent via facsimile at 202– disclosure of business information, the business day. If the 30th calendar day 501–7335. For a written appeal, both the component shall notify the requester of falls on a Saturday, Sunday, or a legal letter and the appeal envelope should be such action and, as a consequence, there public holiday, an appeal received by clearly marked ‘‘Freedom of Information may be further delay in receiving a 5:00 p.m., Eastern Time, the next Act Appeal.’’ Appeals may also be response. business day will be deemed timely. submitted electronically either by email * * * * * Appeals received after the 30-day limit to [email protected] or online at the ■ 11. Amend § 4.10 by revising will not be considered. FOIAonline Web site, http:// paragraphs (a) through (c) to read as (b)(1) Appeals, other than appeals foiaonline.regulations.gov, if requesters follows: from requests made to the Office of have a FOIAonline account. In all cases, Inspector General, shall be decided by the appeal (written or electronic) must § 4.10 Appeals from initial determinations the Assistant General Counsel for include a copy of the original request or untimely delays. Administration (AGC-Admin), except and initial denial, if any. All appeals (a)(1) If a request for records to a that appeals for records which were must include a statement of the reasons component other than the Office of initially denied by the AGC-Admin why the records requested should be Inspector General is initially denied in shall be decided by the General made available and why the adverse whole or in part, or has not been timely Counsel. Written appeals should be determination was in error. No

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opportunity for personal appearance, example, the salary of the employee (6) Representative of the news media, oral argument or hearing on appeal is performing the work (the basic rate of or news media requester, means any provided. Upon receipt of an appeal, the pay for the employee, plus 16% of that person or entity organized and operated Counsel to the Inspector General, or the rate to cover benefits) and the cost of to publish or broadcast news to the Deputy Inspector General if the records operating computers and other public that actively gathers information were initially denied by the Counsel to electronic equipment, such as of potential interest to a segment of the the Inspector General, ordinarily shall photocopiers and scanners. Direct costs public, uses its editorial skills to turn send an acknowledgement letter to the do not include overhead expenses such the raw materials into a distinct work, requester which shall confirm receipt of as the costs of space, heating, or lighting and distributes that work to an the requester’s appeal. of the facility in which the service is audience. The term ‘‘news’’ means (c) Upon receipt of an appeal performed. information that is about current events involving records initially denied on the (3) Duplication means the making of or that would be of current interest to basis of FOIA exemption (b)(1), the a copy of a record, or of the information the public. Examples of news-media records shall be forwarded to the contained in it, necessary to respond to entities are television or radio stations Deputy Assistant Secretary for Security a FOIA request. Copies may take the broadcasting to the public at-large and (DAS) for a declassification review. The form of paper, microform, audiovisual publishers of periodicals that DAS may overrule previous materials, or electronic records, among disseminate ‘‘news’’ and make their classification determinations in whole others. A component shall honor a products available through a variety of or in part if continued protection in the requester’s specified preference of form means to the general public including interest of national security is no longer or format of disclosure if the record is news organizations that disseminate required, or no longer required at the readily reproducible with reasonable solely on the Internet. To be in this same level. The DAS shall advise the efforts in the requested form or format. category, a requester must not be AGC-Admin, the General Counsel, (4) Educational institution means a seeking the requested records for a Counsel to the Inspector General, or preschool, a public or private commercial use. A request for records Deputy Inspector General, as elementary or secondary school, an that supports the news-dissemination appropriate, of his or her decision. institution of undergraduate higher function of the requester shall not be ■ 12. Amend § 4.11 by: education, an institution of graduate considered to be for a commercial use. ■ a. Revising paragraphs (a), (b)(2)-(4), higher education, an institution of A freelance journalist shall be regarded (b)(6) and (7), (c)(2), (c)(3)(ii), (c)(4), professional education, or an institution as working for a news-media entity if (d)(1) and paragraph (i); of vocational education, that operates a the journalist can demonstrate a solid ■ b. Adding subparagraphs (1) and (2) to program of scholarly research. A basis for expecting publication through paragraph (e); requester in this fee category must show that entity, whether or not the journalist ■ c. Redesignating paragraphs (j) and (k) that the request is authorized by, and is is actually employed by the entity. A as (k) and (l); and made under the auspices of, an ■ d. Adding a new paragraph (j). publication contract would be the The changes to read as follows: educational institution and that the clearest proof, but components shall records are not sought for a commercial also look to the past publication record § 4.11 Fees. use, but rather are sought to further of a requester in making this (a) In general. Components shall scholarly research. To fall within this determination. A component’s decision charge fees for processing requests fee category, a request must serve the to grant a requester media status will be under the FOIA in accordance with scholarly research goal of the institution made on a case-by-case basis based paragraph (c) of this section, except rather than an individual research goal. upon the requester’s intended use of the where fees are limited under paragraph Example 1. A request from a professor material. (d) of this section or when a waiver or of geology at a university for records (7) Review means the examination of reduction is granted under paragraph (k) relating to soil erosion, written on a record located in response to a request of this section. A component shall letterhead of the Department of Geology, in order to determine whether any collect all applicable fees before would be presumed to be from an portion of it is exempt from disclosure. processing a request if a component educational institution. Review time includes processing any determines that advance payment is Example 2. A request from the same record for disclosure, such as doing all required in accordance with paragraphs professor of geology seeking drug that is necessary to prepare the record (i)(2) and (i)(3) of this section. If information from the Food and Drug for disclosure, including the process of advance payment of fees is not required, Administration in furtherance of a redacting it and marking any applicable a component shall collect all applicable murder mystery he is writing would not exemptions. Review costs are fees before sending copies of requested be presumed to be an institutional recoverable even if a record ultimately records to a requester. Requesters must request, regardless of whether it was is not disclosed. Review time includes pay fees by check or money order made written on institutional letterhead. time spent obtaining and considering payable to the Treasury of the United Example 3. A student who makes a any formal objection to disclosure made States. request in furtherance of the completion by a business submitter under § 4.9, but * * * * * of a course of instruction would be does not include time spent resolving (b)(2) Direct costs means those presumed to be carrying out an general legal or policy issues regarding expenses a component incurs in individual research goal, rather than a the application of exemptions. scholarly research goal of the searching for and duplicating (and, in * * * * * the case of commercial use requests, institution, and would not qualify as reviewing) records to respond to a FOIA part of this fee category. (c) * * * request. Direct costs include, for * * * * * (2) Uniform fee schedule.

Service Rate

(i) Manual search ...... Actual salary rate of employee involved, plus 16 percent of salary rate.

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Service Rate

(ii) Computerized search ...... Actual direct cost, including operator time. (iii) Review of records ...... Actual salary rate of employee conducting review, plus 16 percent of salary rate. (iv) Duplication of records: (A) Paper copy reproduction ...... $.16 per page (B) Other reproduction (e.g., converting paper into an electronic Actual direct cost, including operator time. format (e.g., scanning), computer disk or printout, or other elec- tronically-formatted reproduction (e.g., uploading records made available to the requester into FOIAonline)).

* * * * * respond to a request, unless unusual or calendar days from the date of the (3) * * * exceptional circumstances (as those notification of the fee estimate. If the (ii) For computer searches of records, terms are defined by the FOIA) apply to requester fails to submit an agreement to requesters will be charged the direct the processing of the request. pay the anticipated fees within 30 costs of conducting the search, although (7) No duplication fees shall be calendar days from the date of the certain requesters (as provided in charged to requesters in the fee category component’s fee notice, the component paragraph (d)(1) of this section) will be of a representative of the news media or will presume that the requester is no charged no search fee and certain other an educational or noncommercial longer interested and notify the requesters (as provided in paragraph scientific institution when a component requester that the request will be closed. (d)(3) of this section) are entitled to the does not comply with the statutory time * * * * * cost equivalent of two hours of manual limits at 5 U.S.C. 552(a)(6) in which to search time without charge. These direct respond to a request, unless unusual or (i)(1) Advance payments. For requests costs will include the cost of operating exceptional circumstances (as those other than those described in a central processing unit for that portion terms are defined by the FOIA) apply to paragraphs (i)(2) and (3) of this section, of operating time that is directly the processing of the request. a component shall not require the attributable to search for responsive requester to make an advance payment * * * * * (i.e., a payment made before a records, as well as the costs of the (e) Notice of anticipated fees in excess component begins to process or operator/programmer salary of $20.00. (1) When a component continues work on a request). Payment apportionable to the search. determines or estimates that the fees for owed for work already completed (i.e., (4) Duplication. Duplication fees shall processing a FOIA request will total a pre-payment before copies of be charged to all requesters, subject to more than $20.00 or total more than the responsive records are sent to a the limitations of paragraph (d) of this amount the requester indicated a requester) is not an advance payment. section. A component shall honor a willingness to pay, the component shall requester’s preference for receiving a notify the requester of the actual or (2) When a component determines or record in a particular form or format estimated amount of the fees, unless the estimates that the total fee for where it is readily producible by the requester has stated in writing a processing a FOIA request will be component in the form or format willingness to pay fees as high as those $250.00 or more, the component shall requested. For either a photocopy or a anticipated. If only a portion of the fee notify the requester of the actual or computer-generated printout of a record can be estimated readily, the component estimated fee and require the requester (no more than one copy of which need shall advise the requester that the to make an advance payment of the be supplied), the fee shall be $.16 per estimated fee may be only a portion of entire anticipated fee before beginning page. Requesters may reduce costs by the total fee. A notice under this to process the request. A notice under specifying double-sided duplication, paragraph shall offer the requester an this paragraph shall offer the requester except where this is technically not opportunity to discuss the matter with an opportunity to discuss the matter feasible. For electronic forms of Departmental personnel in order to with Departmental personnel in order to duplication, other than a computer- modify the request in an effort to meet modify the request in an effort to meet generated printout, components will the requester’s needs at a lower cost. the requester’s needs at a lower cost. charge the direct costs of that (2) When a requester has been notified (3) When a requester has previously duplication. Such direct costs will that the actual or estimated fees will failed to pay a properly charged FOIA include the costs of the requested amount to more than $20.00, or amount fee to any component or other Federal electronic medium on which the copy is to more than the amount the requester agency within 30 calendar days of the to be made and the actual operator time indicated a willingness to pay, the date of billing, the component shall and computer resource usage required component will do no further work on notify the requester that he or she is to produce the copy, to the extent they the request until the requester agrees in required to pay the full amount due, can be determined. writing to pay the actual or estimated plus any applicable interest, and to * * * * * total fee. The component will toll the make an advance payment of the full (d) * * *. (1) No search fees shall be processing of the request while it amount of any anticipated fee, before charged for requests from educational notifies the requester of the actual or the component begins to process a new institutions, non-commercial scientific estimated amount of fees and this time request or continues to process a institutions, or representatives of the will be excluded from the twenty (20) pending request from that requester. A news media. working day time limit (as specified in notice under this paragraph shall offer * * * * * section 4.6(b)). The requester’s the requester an opportunity to discuss (6) No search fees shall be charged to agreement to pay fees must be made in the matter with Departmental personnel a FOIA requester when a component writing, must designate an exact dollar in order to modify the request in an does not comply with the statutory time amount the requester is willing to pay, effort to meet the requester’s needs at a limits at 5 U.S.C. 552(a)(6) in which to and must be received within 30 lower cost.

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(4) When the component requires to whom the records relate to receive § 4.29 Appeal of initial adverse agency advance payment or payment due under the documents. determination on correction or amendment. paragraphs (i)(2) and (i)(3) of this If an individual refuses to provide (a) If a request for correction or section, the component will not further written authorization to release his or amendment is denied initially under process the request until the required her medical records to a doctor, barring § 4.28, the individual may submit a payment is made. The component will any applicable exemption, the written appeal within thirty calendar toll the processing of the request while Department shall give the individual days of the date of the initial denial. The it notifies the requester of the advanced access to his or her records by means of appeal must be received by the General payment due and this time will be a copy, provided without cost to the Counsel, or by the Counsel to the excluded from the twenty (20) working requester, sent registered mail, return Inspector General in the case of an day time limit (as specified in section receipt requested. appeal of an initial adverse 4.6(b)). If the requester does not pay the ■ 15. Amend § 4.28 by revising determination by the Office of Inspector advance payment within 30 calendar paragraph (a)(1)(ii) and (a)(2) to read as General, during normal business hours days from the date of the component’s follows: (8:30 a.m. to 5:00 p.m., Eastern Time, fee notice, the component will presume Monday through Friday) within 30 that the requester is no longer interested § 4.28 Agency review of requests for calendar days of the date of the initial and notify the requester that the request correction or amendment. denial. Appeals arriving after normal will be closed. * * * * * business hours will be deemed received (j) Tolling. When necessary for the (a) * * * on the next normal business day. If the component to clarify issues regarding (1) * * * 30th calendar day falls on a Saturday, fee assessment with the FOIA requester, (ii) If the Privacy Officer fails to send Sunday, or a legal public holiday, an the time limit for responding to the the acknowledgment within ten working appeal received by 5:00 p.m., Eastern FOIA request is tolled until the days, as provided in paragraph (a)(1)(i) Time, the next business day will be component resolves such issues with of this section, the requester may ask the deemed timely. the requester. Assistant General Counsel for (b)(1) An appeal from a request to a component other than the Office of the * * * * * Administration, or in the case of a request to the Office of the Inspector Inspector General should be addressed ■ 13. Amend § 4.25 by revising General, the Counsel to the Inspector to the Assistant General Counsel for paragraph (g)(1) to read as follows: General, to take corrective action. No Administration, U.S. Department of § 4.25 Disclosure of requested records to failure of a Privacy Officer to send an Commerce, Room 5875, 14th and individuals. acknowledgment shall confer Constitution Avenue NW., Washington, DC 20230. An appeal should include the * * * * * administrative finality for purposes of words ‘‘Privacy Act Appeal’’ at the top (g) * * * (1) Grounds. Access by an judicial review. of the letter and on the face of the individual to a record that pertains to (2) Promptly after acknowledging envelope. An appeal not addressed and that individual will be denied only receipt of a request, or after receiving such further information as might have marked as provided herein will be so upon a determination by the Privacy marked by Department personnel when Officer that: been requested, or after arriving at a decision within the ten working days, it is so identified, and will be forwarded (i) The record is exempt under § 4.33 immediately to the Assistant General or 4.34, or exempt by determination of the Privacy Officer shall either: (i) Make the requested correction or Counsel for Administration. An appeal another agency publishing notice of the which is not properly addressed by the system of records, as described in amendment and advise the individual in writing of such action, providing individual will not be deemed to have § 4.23(f); been ‘‘received’’ for purposes of (ii) The record is information either a copy of the corrected or amended record or, in cases in which a measuring the time periods in this compiled in reasonable anticipation of a section until actual receipt by the copy cannot be provided, a statement as civil action or proceeding; Assistant General Counsel for to the means by which the correction or (iii) The provisions of § 4.26 Administration. In each instance when amendment was effected; or pertaining to medical records have been an appeal so forwarded is received, the (ii) Inform the individual in writing invoked; or Assistant General Counsel for that his or her request is denied and (iv) The individual unreasonably has Administration shall notify the provide the following information: failed to comply with the procedural individual that his or her appeal was requirements of this part. (A) The Privacy Officer’s name and improperly addressed and the date on title or position; * * * * * which the appeal was received at the (B) The date of the denial; ■ 14. Revise § 4.26 to read as follows: proper address. (C) The reasons for the denial, (2) An appeal of an initial adverse § 4.26 Special procedures: Medical including citation to the appropriate determination on correction or records. sections of the Act and this subpart; and amendment by the Office of Inspector When a request for access involves (D) The procedures for appeal of the General should be addressed to the medical or psychological records, the denial as set forth in § 4.29, including Counsel to the Inspector General, U.S. records will be reviewed by the the address of the Assistant General Department of Commerce, Room 7898C, Department’s medical officer for a Counsel for Administration, or in the 14th and Constitution Avenue NW., determination on whether disclosure case of a request to the Office of the Washington, DC 20230. An appeal would be harmful to the individual to Inspector General, the address of the should include the words ‘‘Privacy Act whom they relate. If it is determined Counsel to the Inspector General. Appeal’’ at the top of the letter and on that disclosure would be harmful, the * * * * * the face of the envelope. An appeal not Department may refuse to disclose the ■ 16. Amend § 4.29 by revising addressed and marked as provided records directly to the requester but paragraphs (a), (b), (c), (e), the herein will be so marked by Department shall transmit them to a doctor introductory text to (g),(g)(1), (h), and (i) personnel when it is so identified, and authorized in writing by the individual to read as follows: will be forwarded immediately to the

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Counsel to the Inspector General. An receipt of the appeal unless unusual (1) Individuals identified in Export appeal which is not properly addressed circumstances, as described in § 4.25(a), Transactions—COMMERCE/BIS–1. by the individual will not be deemed to are met. Pursuant to 5 U.S.C. 552a(j)(2), these have been ‘‘received’’ for purposes of * * * * * records are hereby determined to be measuring the time periods in this (g) If the appeal is denied, the final exempt from all provisions of the Act, section until actual receipt by the determination shall be transmitted except 5 U.S.C. 552a(b), (c)(1) and (2), Counsel to the Inspector General. In promptly to the individual and state the (e)(4)(A) through (F), (e)(6), (7), (9), (10), each instance when an appeal so reasons for the denial. The notice of and (11), and (i). These exemptions are forwarded is received, the Counsel to final determination shall inform the necessary to ensure the proper the Inspector General shall notify the individual that: functioning of the law enforcement individual that his or her appeal was (1) The individual has a right under activity, to protect confidential sources improperly addressed and the date on the Act to file with the Assistant of information, to fulfill promises of which the appeal was received at the General Counsel for Administration, or confidentiality, to maintain the integrity proper address. in the case of an initial denial by the of the law enforcement process, to avoid (c) The individual’s appeal shall be Office of the Inspector General, the premature disclosure of the knowledge signed by the individual, and shall Counsel to the Inspector General, a of criminal activity and the evidentiary include a statement of the reasons for concise statement of reasons for bases of possible enforcement actions, to why the initial denial is believed to be disagreeing with the final prevent interference with law in error, and the Department’s control determination. The statement ordinarily enforcement proceedings, to avoid number assigned to the request. The should not exceed one page and the disclosure of investigative techniques, Privacy Act Officer who issued the Department reserves the right to reject and to avoid endangering law initial denial shall furnish to the an excessively lengthy statement. It enforcement personnel. Section 12(c) of Assistant General Counsel for should provide the Department control the Export Administration Act of 1979, Administration, or in the case of an number assigned to the request, indicate as amended, also protects this initial denial by the Office of the the date of the final determination and information from disclosure. Inspector General, to the Counsel to the be signed by the individual. The * * * * * Inspector General, the record(s) the Assistant General Counsel for ■ 18. Amend § 4.34 by revising individual requests to be corrected or Administration, or in the case of an paragraphs (a)(1), (b) introductory text, amended, and all correspondence initial denial by the Office of the (b)(2)(i), (b)(3)(i) and (b)(4)(i) to read as between the Privacy Officer and the Inspector General, the Counsel to the follows: requester. Although the foregoing Inspector General, shall acknowledge normally will comprise the entire record receipt of such statement and inform the § 4.34 Specific exemptions. on appeal, the Assistant General individual of the date on which it was (a)(1) Certain systems of records Counsel for Administration, or in the received; under the Act that are maintained by the case of an initial denial by the Office of * * * * * Department may occasionally contain the Inspector General, the Counsel to (h) In making the final determination, material subject to 5 U.S.C. 552a(k)(1), the Inspector General, may seek any the Assistant General Counsel for relating to national defense and foreign additional information necessary to Administration, or in the case of an policy materials. The systems of records ensure that the final determination is initial denial by the Office of the published in the Federal Register by the fair and equitable and, in such Inspector General, the Counsel to the Department that are within this instances, disclose the additional Inspector General, shall employ the exemption are: information to the individual to the criteria set forth in § 4.28(c) and shall COMMERCE/BIS–1, COMMERCE/ITA– greatest extent possible, and provide an deny an appeal only on grounds set 2, COMMERCE/ITA–3, COMMERCE/ opportunity for comment thereon. forth in § 4.28(e). NOAA–11, COMMERCE–PAT–TM–4, * * * * * (i) If an appeal is partially granted and COMMERCE/DEPT–12, COMMERCE/ (e) The Assistant General Counsel for partially denied, the Assistant General DEPT–13, and COMMERCE/DEPT–14. Administration, or in the case of an Counsel for Administration, or in the * * * * * initial denial by the Office of the case of an initial denial by the Office of Inspector General, the Counsel to the (b) The specific exemptions the Inspector General, the Counsel to determined to be necessary and proper Inspector General, shall act upon the the Inspector General, shall follow the appeal and issue a final determination with respect to systems of records appropriate procedures of this section as maintained by the Department, in writing not later than thirty working to the records within the grant and the days (i.e., excluding Saturdays, Sundays including the parts of each system to be records within the denial. exempted, the provisions of the Act and legal public holidays) from the date ■ 17. Amend § 4.33 by revising on which the appeal is received, except from which they are exempted, and the paragraph (b) introductory text and justification for the exemption, are as that the Assistant General Counsel for (b)(1) to read as follows: Administration, or in the case of an follows: initial denial by the Office of the § 4.33 General exemptions. * * * * * Inspector General, the Counsel to the * * * * * (2)(i) Exempt under 5 U.S.C. Inspector General, may extend the thirty (b) The general exemptions 552a(k)(2). The systems of records days upon deciding that a fair and determined to be necessary and proper exempt (some only conditionally), the equitable review cannot be made within with respect to systems of records sections of the Act from which that period, but only if the individual is maintained by the Department, exempted, and the reasons therefor are advised in writing of the reason for the including the parts of each system to be as follows: extension and the estimated date by exempted, the provisions of the Act (A) Individuals identified in Export which a final determination will be from which they are exempted, and the Administration compliance proceedings issued. The estimated date should not justification for the exemption, are as or investigations—COMMERCE/BIS–1, be later than the sixtieth day after follows: but only on condition that the general

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exemption claimed in § 4.33(b)(1) is Appendix A to Part 4—Freedom of (3) Bureau of Economic Analysis/Economic held to be invalid; Information Public Inspection and Statistics Administration, Office of the Under Secretary for Economic Affairs, U.S. * * * * * Facilities, and Addresses for Requests for Records Under the Freedom of Department of Commerce, 14th and (3)(i) Exempt under 5 U.S.C. Constitution Avenue NW., Mail Stop H4836, 552a(k)(4). The systems of records Information Act and Privacy Act, and Washington, DC 20230; Ph.: (202) 482–5997; exempt, the sections of the Act from Requests for Correction or Amendment Fax: (202) 482–2889; Email: EFOIAESA@ which exempted, and the reasons Under the Privacy Act doc.gov; FOIAonline: http:// therefor are as follows: Each address listed below is the respective foiaonline.regulations.gov. This component (A) Special Censuses, Surveys, and component’s mailing address for receipt and maintains a separate online Electronic FOIA processing of requests for records under the Library through its Web site, http:// Other Studies—COMMECE/CENSUS–3; www.esa.doc.gov. (B) Economic Survey Collection— Freedom of Information Act and Privacy Act, for requests for correction or amendment (4) Bureau of Industry and Security, Office COMMERCE/CENSUS–4; under the Privacy Act and, unless otherwise of Administration, U.S. Department of (C) Decennial Census Program— noted, its public inspection facility for Commerce, 14th and Constitution Avenue COMMERCE/CENSUS–5; records available to the public under the NW., Mails Stop H6622, Washington, DC (D) Population Census Records for Freedom of Information Act. Requests should 20230; Ph.: (202) 482–0953; Fax: (202) 482– be addressed to the component the requester 0326; Email: [email protected]; 1910 & All Subsequent Decennial FOIAonline: http:// Census—COMMERCE/CENSUS–6; knows or has reason to believe has possession of, control over, or primary foiaonline.regulations.gov. This component (E) Other Agency Surveys & concern with the records sought. Otherwise, maintains a separate online Electronic FOIA Reimbursable—COMMERCE/CENSUS– requests should be addressed to the Library through its Web site, http:// 7; Departmental FOIA Office identified in www.bis.doc.gov. (F) Statistical Administrative Records subparagraph (1), below. The telephone and (5) Economic Development System—COMMERCE/CENSUS–8; facsimile numbers for each component are Administration, Office of the Chief Counsel, included after its address, as well as email U.S. Department of Commerce, 14th and (G) Longitudinal Employer-Household addresses for components that maintain an Constitution Avenue NW., Room 7325, Dynamics System—COMMERCE/ email address for the purposes of receiving Washington, DC 20230; Ph.: (202) 482–3085; CENSUS–9; and of FOIA and Privacy Act requests. Records of Fax: (202) 482–5671; FOIAonline: http:// (H) Foreign Trade Statistics— components that are required to be made foiaonline.regulations.gov. This component COMMERCE/CENSUS–12. publicly available are available electronically does not maintain a separate online either through the Department’s ‘‘Electronic Electronic FOIA Library, nor do any of the * * * * * FOIA Library’’ on the Department’s Web site, following Regional EDA offices. (4)(i) Exempt under 5 U.S.C. http://www.doc.gov, as described in § 4.2(a), (i) Atlanta Regional Office, EDA, U.S. 552a(k)(5). The systems of records or the component’s separate online Department of Commerce, 401 West exempt (some only conditionally), the Electronic FOIA Library as indicated below. Peachtree Street NW., Suite 1820, Atlanta, sections of the Act from which Components that maintain a public Georgia 30308; Ph.: (404) 730–3006. exempted, and the reasons therefor are inspection facility are designated as such (ii) Austin Regional Office, EDA, U.S. as follows: below. These public inspection facilities Department of Commerce, 504 Lavaca Street, records are open to the public Monday Suite 1100, Austin, Texas 78701; Ph.: (512) (A) Applications to U.S. Merchant through Friday (i.e., excluding Saturdays, 381–8165. Marine Academy (USMMA)— Sundays, and legal public holidays) between (iii) Chicago Regional Office, EDA, U.S. COMMERCE/MA–1; 9:00 a.m. and 4:00 p.m. local time of the Department of Commerce, 111 North Canal (B) USMMA Midshipman Medical facility at issue. The Departmental Freedom Street, Suite 855, Chicago, Illinois 60606; Ph.: Files—COMMERCE/MA–17; of Information Act Officer is authorized to (312) 353–8143. revise this appendix to reflect changes in the (iv) Denver Regional Office, EDA, U.S. (C) USMMA Midshipman Personnel information contained in it. Any such Files—COMMERCE/MA–18; Department of Commerce, 410 17th Street, revisions shall be posted on the Department’s Suite 250, Denver, Colorado 80202; Ph.: (303) (D) USMMA Non-Appropriated Fund ‘‘FOIA Home Page’’ link found at the 844–4404. Employees—COMMERCE/MA–19; Department’s Web site, http://www.doc.gov. (v) Philadelphia Regional Office, EDA, U.S. (E) Applicants for the NOAA Corps— (1) U.S. Department of Commerce, Office of Department of Commerce, Curtis Center, COMMERCE/NOAA–1; Privacy and Open Government, Departmental Suite 140 South, 601 Walnut Street, FOIA Office, 14th and Constitution Avenue Philadelphia, Pennsylvania 19106; Ph.: (215) (F) Commissioned Officer Official NW., Mail Stop A300, Washington, DC 597–7896. Personnel Folders—COMMERCE/ 20230; Phone: (202) 482–3258; Fax: (202) (vi) Seattle Regional Office, EDA, U.S. NOAA–3; 482–0827; Email: [email protected]; Department of Commerce, Jackson Federal (G) Conflict of Interest Records, FOIAonline: http:// foiaonline.regulations.gov. This component Building, Room 1890, 915 Second Avenue, Appointed Officials—COMMERCE/ Seattle, Washington 98174; Ph.: (206) 220– DEPT–3 maintains an online Electronic FOIA Library through the Department’s Web site, http:// 7663. (H) Investigative and Inspection www.doc.gov. This online Electronic FOIA (6) International Trade Administration, Records—COMMERCE/DEPT–12, but Library serves the Office of the Secretary, all Office of Strategic Resources, U.S. only on condition that the general other components of the Department not Department of Commerce, 14th and exemption claimed in § 4.33(b)(3) is identified below, and those components Constitution Avenue NW., Room 40003, held to be valid; identified below that do not have separate Washington, DC 20230; Ph.: (202) 482–7937; Fax: (202) 482–1584; Email: [email protected]; (I) Investigative Records—Persons online Electronic FOIA Libraries. (2) Bureau of the Census, Policy FOIAonline: http:// Within the Investigative Jurisdiction of Coordination Office, U.S. Department of foiaonline.regulations.gov. This component the Department—COMMERCE/DEPT– Commerce, Room 8H027, 4600 Silver Hill does not maintain a separate online 13; and Road, Suitland, Maryland 20233; Ph.: (301) Electronic FOIA Library. (J) Litigation, Claims, and 763–6440; Fax: (301) 763–6239 (ATTN.: (7) Minority Business Development Administrative Proceeding Records— FOIA Office); Email: cemsus.efoia@ Agency, Office of Administration and COMMERCE/DEPT–14. census.gov; FOIAonline: http:// Employee Support Services, U.S. Department foiaonline.regulations.gov. This component of Commerce, 14th and Constitution Avenue * * * * * maintains a separate online Electronic FOIA NW., Room 5092, Washington, DC 20230; ■ 19. Revise Appendix A to Part 4 to Library through its Web site, http:// Ph.: (202) 482–2419; Fax: (202) 482–2500; read as follows: www.census.gov. Email: [email protected]; FOIAonline: http://

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foiaonline.regulations.gov. This component under the FOIA,2 and requests for records Director, Office of Strategic Industries and maintains a separate online Electronic FOIA and requests for correction or amendment Economic Security Library through its Web site, http:// under the PA. In addition, the Departmental Director, Director, Office of Nonproliferation www.mbda.gov. Freedom of Information Officer and the Controls and Treaty Compliance (8) National Institute of Standards and Freedom of Information Officer for the Office Director, Office of Exporter Services Technology, Management and Organization of the Secretary have the foregoing FOIA and Assistant Secretary for Export Enforcement Office, U.S. Department of Commerce, 100 PA denial authority for all records of the Deputy Assistant Secretary for Export Bureau Drive, Mail Stop 1710, Gaithersburg, Department. The Departmental Freedom of Enforcement Maryland 20899–1710; Ph.: (301) 975–4054; Information Officer is authorized to assign Director, Office of Export Enforcement Fax: (301) 926–8091; Email: [email protected]; that authority, on a case-by-case basis only, Director, Office of Enforcement Analysis FOIAonline: http:// to any of the officials listed below, if the Director, Office of Antiboycott Compliance records responsive to a request include foiaonline.regulations.gov. This component Economics and Statistics Administration maintains a separate public inspection records for which more than one official facility at the Administration Building, listed below is responsible. The Office of Administration: Director Gaithersburg, Maryland. Please call (301) Departmental Freedom of Information Officer Bureau of Economic Analysis: Director 975–4054 for inspection facility directions is authorized to revise this appendix to Bureau of the Census: Freedom of Information Act Officer and hours. This component does not reflect changes in designation of denial officials. Any such revisions shall be posted maintain a separate online Electronic FOIA Economic Development Administration on the Department’s ‘‘FOIA Home Page’’ link Library. Freedom of Information Officer (9) National Oceanic and Atmospheric found at the Department’s Web site, http:// Administration, U.S. Department of www.doc.gov. International Trade Administration Commerce, 1315 East-West Highway Office of the Secretary Executive Administration (SSMC3), Room 9719, Silver Spring, Office of the Secretary: Executive Secretary; Under Secretary for International Trade Maryland 20910; Ph.: (301) 628–5658; Fax: Freedom of Information Officer (301) 713–1169; Email: [email protected]; Deputy Under Secretary for International Office of Business Liaison: Director Trade FOIAonline: http:// Office of Public Affairs: Director; Deputy foiaonline.regulations.gov. This component Chief Counsel for International Trade Director; Press Secretary; Deputy Press Chief Counsel for Enforcement and maintains a separate online Electronic FOIA Secretary Library through its Web site, http:// Compliance www.noaa.gov. Assistant Secretary for Legislative and Trade Promotion Coordinating Committee (10) National Technical Information Intergovernmental Affairs; Deputy Assistant Secretariat Service, Office of the Chief Information Secretary for Legislative and Director, Office of Public Affairs Officer, U.S. Department of Commerce, 5301 Intergovernmental Affairs Director, Office of Legislative and Intergovernmental Affairs Shawnee Road, Room 227, Alexandria, Office of Inspector General: Deputy Inspector Chief Information Officer Virginia 22312; Ph.: (703) 605–6710; Fax: General; FOIA and Records Management Deputy Chief Information Officer (703) 605–6764; FOIAonline: http:// Specialist; Assistant Inspector General for Chief Administrative Officer, Office of the foiaonline.regulations.gov. This component Administration; Counsel to the Inspector Chief Information Officer maintains a separate online Electronic FOIA General Chief Financial and Administration Officer Library through its Web site, http:// Office of the General Counsel: Deputy Deputy Chief Financial Administrative www.ntis.gov. General Counsel; Assistant General Officer (11) National Telecommunications and Counsel for Administration Director, Budget Division Information Administration, Office of the Office of Executive Support: Director Director, Financial Management and Chief Counsel, U.S. Department of Office of Chief Information Officer: Director Administrative Oversight Division Commerce, 14th and Constitution Avenue Assistant Secretary for Administration Director, Business Operations and Policy NW., Mail Stop 4713, Washington, DC 20230; Compliance Division Office of Civil Rights: Director Ph.: (202) 482–1816; Fax: (202) 501–8013; Director, Performance Management and Office of Budget: Director Email: [email protected]; FOIAonline: Employee Programs Division Office of Privacy and Open Government: http://foiaonline.regulations.gov. This Freedom of Information Act Officer component does not maintain a separate Director Enforcement and Compliance online Electronic FOIA Library. Departmental Freedom of Information Officer (12) Office of Inspector General, FOIA and Assistant Secretary for Enforcement and Office of Program Evaluation and Risk Records Management Specialist, U.S. Compliance Management: Director Department of Commerce, 14th and Office of Financial Management: Director Deputy Assistant Secretary for Enforcement Constitution Avenue NW., Room 7099C, Office of Human Resources Management: and Compliance Washington, DC 20230; Ph.: (202) 482–3470; Director; Deputy Director Director, Office of Foreign Trade Zones Staff Fax: (202) 501–7921; Email: FOIA@ Office of Administrative Services: Director Director, Office of Operations Support oig.doc.gov; FOIAonline: http:// Office of Security: Director Deputy Assistant Secretary for Antidumping foiaonline.regulations.gov. This component Office of Acquisition Management: Director and Countervailing Duty Operations maintains a separate online Electronic FOIA Office of Acquisition Services: Director Executive Director, Antidumping and Library through its Web site, http:// Office of Small and Disadvantaged Business Countervailing Duty Operations www.oig.doc.gov. Utilization: Director Director, Office of Antidumping and ■ 20. Revise Appendix B to Part 4 to Countervailing Duty Enforcement I read as follows: Bureau of Industry and Security Director, Office of Antidumping and Under Secretary Countervailing Duty Enforcement II Appendix B to Part 4—Officials Deputy Under Secretary Director, Office of Antidumping and Authorized To Deny Requests for Director, Office of Administration Countervailing Duty Enforcement III Records Under the Freedom of Director, Office of Planning, Evaluation and Director, Office of Antidumping and Information Act, and Requests for Management Countervailing Duty Enforcement IV Director, Office of Antidumping and Records and Requests for Correction or Assistant Secretary for Export Administration Deputy Assistant Secretary for Export Countervailing Duty Enforcement V Amendment Under the Privacy Act Administration Director, Office of Antidumping and Countervailing Duty Enforcement VI The officials of the Department listed 2 Director, Office of Antidumping and below and their superiors have authority, The foregoing officials have sole authority under § 4.7(c) to deny requests for records in any respect, Countervailing Duty Enforcement VII with respect to the records for which each is including, for example, denying requests for Deputy Assistant Secretary for Policy & responsible, to deny requests for records reduction or waiver of fees. Negotiations

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Director, Office of Trade Agreements Deputy Assistant Secretary for Trade Policy Head of Contracting Offices, Acquisition and Negotiations and Compliance and Analysis Grants Office Director, Office of Accounting Director, Office of Standards and Investment Director, Workforce Management Office Director, Office of Policy Policy Senior Advisor for International Affairs Director, Office of Trade and Economic Director, Office of Legislation & Global Markets Analysis Intergovernmental Affairs Assistant Secretary of Global Markets and Director, Office of Trade Negotiations and Freedom of Information Officer Director General for the US&FCS Analysis National Technical Information Service Deputy Director General Director, Office of Intellectual Property Principal Deputy Assistant Secretary Rights Director Executive Director, Advocacy Center Deputy Assistant Secretary for Manufacturing Deputy Director Director, Business Information and Director, Office of Energy and Environmental Chief Financial Officer/Associate Director for Technology Office Industries Finance and Administration Director, Global Knowledge Center Director, Office of Transportation and National Telecommunications and Director, Office of Budget Machinery Information Administration Director, Office of Foreign Service Human Director, Office of Health and Information Capital Technologies Deputy Assistant Secretary Chief Counsel Director, Office of Strategic Planning Deputy Assistant Secretary for Textiles, Deputy Chief Counsel Director, Office of Administrative Services Consumer Goods, and Materials Executive Director, SelectUSA Director, Office of Textiles and Appeal [FR Doc. 2014–03633 Filed 2–26–14; 8:45 am] Deputy Assistant Secretary for U.S. Field Director, Office of Materials BILLING CODE 3510–17–P National U.S. Field Director Director, Office of Consumer Goods Deputy Assistant Secretary for Asia Minority Business Development Agency Executive Director for Asia DEPARTMENT OF JUSTICE Director, Office of the ASEAN and Pacific Chief Counsel Freedom of Information Officer Basin Drug Enforcement Administration Director, Office of East Asia and APEC National Institute of Standards and Director, Office of South Asia Technology Deputy Assistant Secretary for China, Hong 21 CFR Part 1308 Director for Administration and Chief Kong, and Mongolia Financial Officer [Docket No. DEA–389] Executive Director for China, Hong Kong, and Chief, Management and Organization Office Mongolia NIST Counsel Schedules of Controlled Substances: Director, Office of China, Hong Kong, and Rescheduling of Hydrocodone Mongolia National Oceanic and Atmospheric Combination Products From Schedule Deputy Assistant Secretary for Western Administration III to Schedule II Hemispheres Under Secretary Executive Director for Western Hemispheres Deputy Under Secretary for Operations AGENCY: Drug Enforcement Director, Office of North and Central America Chief, Resource and Operations Management Administration, Department of Justice. Director, Office of South America Director, Office of Communications and ACTION: Notice of proposed rulemaking. Deputy Assistant Secretary for Europe, External Affairs Middle East, and Africa Director, Office of Marine and Aviation SUMMARY: The Drug Enforcement Executive Deputy Assistant Secretary for Operations Administration (DEA) proposes to Europe, Middle East, and Africa General Counsel Executive Director for Europe and Eurasia reschedule hydrocodone combination Deputy General Counsel products from schedule III to schedule Director, Office of Europe Country Affairs Assistant Administrator for National Ocean Director, Office of the European Union Services II of the Controlled Substances Act. This Director, Office of Russia, Ukraine, and Deputy Assistant Administrator for National proposed action is based on a Eurasia Ocean Services rescheduling recommendation from the Executive Director for Africa and Middle East Assistant Administrator for National Marine Assistant Secretary for Health of the Director, Office of the Middle East and North Fisheries Service Department of Health and Human Africa Deputy Assistant Administrator for Services and an evaluation of all other Director, Office of Sub-Saharan Africa Regulatory Programs for National Marine relevant data by the DEA. If finalized, Industry and Analysis Fisheries Service this action would impose the regulatory Assistant Administrator for National Weather Assistant Secretary for Industry and Analysis Services controls and administrative, civil, and Deputy Assistant Secretary for Industry and Deputy Assistant Administrator for National criminal sanctions applicable to Analysis Weather Services schedule II controlled substances on Trade Agreements Secretariat Assistant Administrator for National persons who handle (manufacture, Executive Director, Office of Trade Programs Environmental Satellite, Data, and distribute, dispense, import, export, and Strategic Partnerships Information Service engage in research, conduct Director, Trade Promotion Programs Deputy Assistant Administrator for National instructional activities, or possess) or Director, Strategic Partnerships Environmental Satellite, Data, and propose to handle hydrocodone Director, Office of Advisory Committees and Information Service Industry Outreach Assistant Administrator for Oceanic and combination products. Director, Office of Planning, Coordination Atmospheric Research DATES: Interested persons may file and Management Deputy Assistant Administrator for Programs written comments on this proposal Deputy Assistant Secretary for Services & Administration (Oceanic and pursuant to 21 CFR 1308.43(g). Director, Office of Financial and Insurance Atmospheric Research) Electronic comments must be Industries Assistant Administrator for Program, submitted, and written comments must Director, Office of Digital Service Industries Planning and Integration be postmarked, on or before April 28, Director, Office of Supply Chain, Professional Chief Administrative Officer and Business Services Chief Financial Officer 2014. Commenters should be aware that Executive Director for National Travel and Chief Information Officer the electronic Federal Docket Tourism Office Director, Acquisition and Grants Office Management System will not accept Director, Office of Travel and Tourism Deputy Director, Acquisition and Grants comments after midnight Eastern Time Industries Office on the last day of the comment period.

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Interested persons, defined as those comment, but do not want it to be made (b), and 1316.47 or 1316.48 as ‘‘adversely affected or aggrieved by any publicly available, you must include the applicable, and include a statement of rule or proposed rule issuable pursuant phrase ‘‘PERSONAL IDENTIFYING the interest of the person in the to section 201 of the Act (21 U.S.C. INFORMATION’’ in the first paragraph proceeding and the objections or issues, 811),’’ 21 CFR 1300.01, may file a of your comment. You must also place if any, concerning which the person request for hearing or waiver of an all of the personal identifying desires to be heard. Any waiver must opportunity for a hearing or to information you do not want made conform to the requirements of 21 CFR participate in a hearing pursuant to 21 publicly available in the first paragraph 1308.44(c) and 1316.49, including a CFR 1308.44 and in accordance with 21 of your comment and identify what written statement regarding the CFR 1316.45, 1316.47, 1316.48 or information you want redacted. interested person’s position on the 1316.49, as applicable. Requests for If you want to submit confidential matters of fact and law involved in any hearing, notices of appearance, and business information as part of your hearing. waivers of an opportunity for a hearing comment, but do not want it to be made Please note that pursuant to 21 U.S.C. or to participate in a hearing must be publicly available, you must include the 811(a)(1), the purpose and subject received on or before March 31, 2014. phrase ‘‘CONFIDENTIAL BUSINESS matter of a hearing held in relation to ADDRESSES: To ensure proper handling INFORMATION’’ in the first paragraph this rulemaking is restricted to: ‘‘(A) of comments, please reference ‘‘Docket of your comment. You must also find[ing] that such drug or other No. DEA–389’’ on all electronic and prominently identify the confidential substance has a potential for abuse, and written correspondence. The DEA business information to be redacted (B) mak[ing] with respect to such drug encourages that all comments be within the comment. If a comment has or other substance the findings submitted electronically through the so much confidential business prescribed by subsection (b) of section Federal eRulemaking Portal which information that it cannot be effectively 812 of [title 21] for the schedule in provides the ability to type short redacted, all or part of that comment which such drug is to be placed * * *.’’ comments directly into the comment may not be made publicly available. Requests for a hearing, notices of field on the Web page or attach a file for Comments containing personal appearance at a hearing, and waivers of lengthier comments. Please go to identifying information or confidential an opportunity for a hearing or to www.regulations.gov and follow the on- business information identified as participate in a hearing must be line instructions at that site for directed above will be made publicly submitted to the DEA using the address submitting comments. Paper comments available in redacted form. information provided above. An electronic copy of this document that duplicate electronic submissions and supplemental information to this Legal Authority are not necessary. Should you, however, proposed rule are available at The DEA implements and enforces wish to submit written comments, in www.regulations.gov for easy reference. titles II and III of the Comprehensive lieu of electronic comments, they If you wish to personally inspect the Drug Abuse Prevention and Control Act should be sent via regular or express comments and materials received or the of 1970, as amended. Titles II and III are mail to: Drug Enforcement supporting documentation the DEA referred to as the ‘‘Controlled Administration, Attention: DEA Federal used in preparing the proposed action, Substances Act’’ and the ‘‘Controlled Register Representative/ODW, 8701 these materials will be available for Substances Import and Export Act,’’ Morrissette Drive, Springfield, Virginia public inspection by appointment. To respectively, and are collectively 22152. All requests for a hearing and arrange a viewing, please see the ‘‘For referred to as the ‘‘Controlled waivers of participation must be sent to: Further Information Contact’’ paragraph Substances Act’’ or the ‘‘CSA’’ for the Drug Enforcement Administration, above. purpose of this action. 21 U.S.C. 801– Attention: Hearing Clerk/LJ, 8701 971. The DEA publishes the Morrissette Drive, Springfield, Virginia Request for Hearing, Notice of implementing regulations for these 22152. Appearance at Hearing, or Waiver of an statutes in title 21 of the Code of Federal Opportunity for a Hearing or To FOR FURTHER INFORMATION CONTACT: Regulations (CFR), parts 1300 to 1321. Participate in a Hearing Ruth A. Carter, Office of Diversion The CSA and its implementing Control, Drug Enforcement Pursuant to the provisions of the regulations are designed to prevent, Administration; Mailing Address: 8701 Controlled Substances Act (CSA), 21 detect, and eliminate the diversion of Morrissette Drive, Springfield, Virginia U.S.C. 811(a), this action is a formal controlled substances and listed 22152, Telephone: (202) 598–6812. rulemaking ‘‘on the record after chemicals into the illicit market while SUPPLEMENTARY INFORMATION: opportunity for a hearing.’’ Such providing for the legitimate medical, proceedings are conducted pursuant to scientific, research, and industrial needs Posting of Public Comments the provisions of the Administrative of the United States. Controlled Please note that all comments Procedure Act (APA), 5 U.S.C. 551–559. substances have the potential for abuse received in response to this docket are 21 CFR 1308.41–1308.45; 21 CFR Part and dependence and are controlled to considered part of the public record and 1316 subpart D. In accordance with 21 protect the public health and safety. will be made available for public CFR 1308.44(a)–(c), requests for a Under the CSA, controlled substances inspection online at hearing, notices of appearance, and are classified into one of five schedules www.regulations.gov. Such information waivers of an opportunity for a hearing based upon their potential for abuse, includes personal identifying or to participate in a hearing may be their currently accepted medical use, information (such as your name, submitted only by interested persons, and the degree of dependence the address, etc.) voluntarily submitted by defined as those ‘‘adversely affected or substance may cause. 21 U.S.C. 812. The the commenter. aggrieved by any rule or proposed rule initial schedules of controlled The Freedom of Information Act issuable pursuant to section 201 of the substances established by Congress are (FOIA) applies to all comments Act (21 U.S.C. 811).’’ 21 CFR 1300.01. found at 21 U.S.C. 812(c), and the received. If you want to submit personal Requests for hearing and notices of current list of all scheduled substances identifying information (such as your appearance must conform to the is published at 21 CFR Part 1308. 21 name, address, etc.) as part of your requirements of 21 CFR 1308.44(a) or U.S.C. 812(a).

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Pursuant to 21 U.S.C. 811(a)(1), the 1236, sec. 202(c), schedule III, the Food and Drug Administration Attorney General may, by rule, ‘‘add to paragraph (d), clauses (3) and (4) (FDA) to hold a public meeting to such a schedule or transfer between (codified at 21 U.S.C. 812(c)); initially ‘‘solicit advice and recommendations’’ such schedules any drug or other codified at 21 CFR 308.13(e)(3) and (4) pertaining to the scientific and medical substance if he (A) finds that such drug (36 FR 7776, April 24, 1971) (currently evaluation in connection with its or other substance has a potential for codified at 21 CFR 1308.13(e)(1)(iii) and scheduling recommendation to the DEA abuse, and (B) makes with respect to (iv)). Any other products that contain regarding drug products containing such drug or other substance the single-entity hydrocodone or hydrocodone, combined with other findings prescribed by [21 U.S.C. 812(b)] combinations of hydrocodone and other analgesics or as an antitussive. for the schedule in which such drug is substances outside the range of Additionally the Secretary was required to be placed * * *.’’ Pursuant to 28 CFR specified doses are listed in schedule II to solicit stakeholder input ‘‘regarding 0.100(b), the Attorney General has of the CSA.3 the health benefits and risks, including delegated this scheduling authority to the potential for abuse’’ of hydrocodone the Administrator of the DEA. Proposed Determination To Transfer combination products and the impact of The CSA provides that the scheduling HCPs to Schedule II up-scheduling of these products. of any drug or other substance may be Pursuant to 21 U.S.C. 811(a), Accordingly, on January 24–25, 2013, initiated by the Attorney General (1) on proceedings to add a drug or substance the FDA held a public Advisory his own motion; (2) at the request of the to those controlled under the CSA, or to Committee meeting at which the DEA Secretary of the Department of Health transfer a drug between schedules, may made a presentation. The Advisory and Human Services (HHS); or (3) on be initiated on the petition of any Committee included members with the petition of any interested party. 21 interested party. In response to a scientific and medical expertise in the U.S.C. 811(a). This proposed action was petition the DEA had received subject of opioid abuse, and a patient initiated by a petition to reschedule requesting that HCPs be controlled in representative. Members included hydrocodone combination products schedule II of the CSA, in 2004 the DEA representatives from National Institute (HCPs) 1 from schedule III to schedule II submitted a request to the HHS to on Drug Abuse (NIDA) and the Centers of the CSA, and is supported by, inter provide the DEA with a scientific and for Disease Control (CDC). There was alia, a recommendation from the medical evaluation of available also an opportunity for the public to Assistant Secretary for Health of the information and a scheduling provide comment. The Advisory HHS.2 If finalized, this action would recommendation for HCPs, pursuant to Committee voted 19 to 10 in favor of impose the regulatory controls and 21 U.S.C 811(b) and (c). In 2008 the recommending that hydrocodone administrative, civil, and criminal HHS provided to the DEA its combination products be placed into sanctions of schedule II controlled recommendation that HCPs remain schedule II. According to the FDA, 768 substances on any person who handles, controlled in schedule III of the CSA. In comments were submitted by patients, or proposes to handle, HCPs. response, in 2009, the DEA requested patient groups, advocacy groups, and Background that the HHS re-evaluate their data and professional societies to the FDA. provide another scientific and medical Upon evaluating the scientific and Hydrocodone was listed in schedule II evaluation and scheduling medical evidence, along with the above of the CSA upon the enactment of the recommendation based on additional considerations (e.g., recommendation of CSA in 1971. Public Law 91–513, 84 data and analysis. the Advisory Committee, the public Stat. 1236, sec. 202(c), schedule II, On July 9, 2012, President Obama comments, consideration of the health paragraph (a), clause (1) (codified at 21 signed the Food and Drug benefits and risks, and information U.S.C. 812(c)); initially codified at 21 Administration Safety and Innovation about the impact of rescheduling) CFR 308.12(b)(1)(x) (36 FR 7776, April Act (Pub. L. 112–144) (FDASIA). mandated by the FDASIA, the HHS on 24, 1971) (currently codified at 21 CFR Section 1139 of the FDASIA 4 directed December 16, 2013, submitted to the 1308.12(b)(1)(vi)). At that time, HCPs in Administrator of the DEA its scientific specified doses (containing no greater 3 In the United States there are currently no and medical evaluation (henceforth than 15 milligrams (mg) hydrocodone approved, marketed, products containing called HHS review) entitled, ‘‘Basis for per dosage unit or not more than 300 mg hydrocodone in combination with other active the Recommendation to Place hydrocodone per 100 milliliters) were ingredients that fall outside schedule III of the CSA. Hydrocodone Combination Products in Further, until recently, there were no approved listed in schedule III of the CSA when hydrocodone single-entity schedule II products. In Schedule II of the Controlled Substances formulated with specified amounts of an Oct. 2013, the FDA approved ZohydroTM ER, a Act.’’ Pursuant to 21 U.S.C. 811(b), this isoquinoline alkaloid of opium or one or single-entity, extended release schedule II product. document contained an eight-factor more therapeutically active nonnarcotic The sponsor of this product in a press release dated analysis of the abuse potential of HCPs, Oct. 25, 2013, stated that ZohydroTM ER will be ingredients. Public Law 91–513, 84 Stat. launched in approximately four months. along with the HHS’s recommendation Accordingly, all of the historical data regarding to control HCPs under schedule II of the 1 Hydrocodone combination products (HCPs) are hydrocodone from different national and regional CSA. pharmaceuticals containing specified doses of databases that support this proposal should refer to The HHS stated that the comments hydrocodone in combination with other drugs in HCPs only, regardless of whether the database received during the open public specified amounts. These products are approved for utilizes the term ‘‘hydrocodone’’ or ‘‘hydrocodone marketing for the treatment of pain and for cough combination products.’’ hearing, to the docket, and the suppression. 4 FDASIA, SEC1139. SCHEDULING OF discussion of the Advisory Committee 2 As set forth in a memorandum of understanding HYDROCODONE. (a) IN GENERAL.—Not later than entered into by the HHS, the Food and Drug 60 days after the date of enactment of this Act, if STAKEHOLDER INPUT.—In conducting the Administration (FDA), and the National Institute on practicable, the Secretary of Health and Human evaluation under subsection (a), the Secretary shall Drug Abuse (NIDA), the FDA acts as the lead agency Services (referred to in this section as the solicit input from a variety of stakeholders within the HHS in carrying out the Secretary’s ‘‘Secretary’’) shall hold a public meeting to solicit including patients, health care providers, harm scheduling responsibilities under the CSA, with the advice and recommendations to assist in prevention experts, the National Institute on Drug concurrence of the NIDA. 50 FR 9518, Mar. 8, 1985. conducting a scientific and medical evaluation in Abuse, the Centers for Disease Control and The Secretary of the HHS has delegated to the connection with a scheduling recommendation to Prevention, and the Drug Enforcement Assistant Secretary for Health of the HHS the the Drug Enforcement Administration regarding Administration regarding the health benefits and authority to make domestic drug scheduling drug products containing hydrocodone, combined risks, including the potential for abuse and the recommendations. with other analgesics or as an antitussive. (b) impact of up-scheduling of these products.

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members of the FDA Advisory advice from a practitioner licensed by For example, in 2011 the total number Committee meeting provided support law to administer such drugs; or of ED visits related to nonmedical use for its conclusion that individuals are (d) The drug is so related in its action of HCPs and oxycodone products were taking HCPs in amounts sufficient to to a drug or other substance already 82,479 and 151,218, respectively.9 The create a hazard to their health or to the listed as having a potential for abuse to American Association of Poison Control safety of other individuals or to the make it likely that it will have the same Centers’ National Poison Data System 10 community; that there is significant potential for abuse as such substance, (NPDS; formerly known as Toxic diversion of HCPs; and that individuals thus making it reasonable to assume that Exposure Surveillance System or TESS) are taking HCPs on their own initiative there may be significant diversions from reported that HCPs were involved in rather than on the basis of medical legitimate channels, significant use 30,792 and 29,391 annual toxic advice from a practitioner licensed by contrary to or without medical advice, exposures in 2011 and 2012, law to administer such drugs. The HHS or that it has a substantial capability of respectively. The corresponding data for stated it has also given careful creating hazards to the health of the user oxycodone products was 19,423 and consideration to the fact that the or to the safety of the community. 18,495. The majority of exposures for members of the Advisory Committee The DEA considered the HHS’s both drug products were for intentional voted 19 to 10 in favor of rescheduling evaluation and all other relevant data, reasons.11 HCPs from schedule III to schedule II including data related to the above The HHS mentions that nationwide under the CSA. The HHS considered the mentioned criteria, and finds that: estimates of overdose deaths due to increasing trends, the public comments, (a) Individuals are using HCPs in HCPs cannot be quantified, but the the recommendation of the Advisory amounts sufficient to create a hazard to available data for a limited number of Committee, the health benefits and their health, to the safety of other States suggest that HCPs contribute to a risks, and the information available individuals, or to the community. substantial number of overdose deaths The HHS states that there are about the impact of rescheduling, and each year. According to the HHS, increasing trends in the adverse effects concluded that HCPs have high DAWN medical examiner (ME) data for from abuse of HCPs, including potential for abuse. five States from 2004 through 2010 emergency department (ED) visits, reported an increase of 63% and 133% Summary of Eight Factor Analyses admissions to addiction treatment centers, and deaths in selected States. In in deaths related to HCPs and The DEA has reviewed the scientific 2011, HCPs were listed in 3,376 oxycodone products, respectively. and medical evaluation and scheduling admissions for drug treatment as the According to the Florida Department of recommendation provided by the HHS, 12 primary drug of abuse and in 6,601 Law Enforcement (FDLE), HCPs have and all other relevant data, and admissions listing HCPs in addition to completed its own eight-factor review 9 In DAWN, nonmedical use of pharmaceuticals other drugs in the Treatment Episode document pursuant to 21 U.S.C. 811(c). includes taking more than the prescribed dose of a Data Set (TEDS).6 HCPs are prescribed Included below is a brief summary of prescription pharmaceutical or more than the in an unprecedented manner and their recommended dose of an over-the-counter each factor as considered by the DEA in total prescriptions exceed prescriptions pharmaceutical or supplement; taking a its proposed rescheduling action. Both pharmaceutical prescribed for another individual; for any other opioid analgesic; this the DEA and HHS analyses are available deliberate poisoning with a pharmaceutical by characteristic drives their abuse in their entirety in the public docket for another person; and documented misuse or abuse potential and sets them apart from other of a prescription drug, an over-the-counter this proposed rule (Docket No. DEA– opioid analgesics in terms of abuse pharmaceutical, or a dietary supplement. 389) at www.regulations.gov under risks. 10 The American Association of Poison Control ‘‘Supporting and Related Material.’’ Full Drug Abuse Warning Network Centers (AAPCC) maintains the national database of analysis of, and citations to, information information logged by the United States’ 57 Poison (DAWN) 7 data indicate that abuse of Control Centers (PCCs). Case records in this referenced in this summary may also be HCPs, similar to oxycodone products 8 database are from self-reported calls: they reflect found in the supporting material. (schedule II), has been associated with only information provided when the public or healthcare professionals report an actual or 1. The Drug’s Actual or Relative large numbers of admissions to the ED. potential exposure to a substance (e.g., an ingestion, Potential for Abuse inhalation, or topical exposure, etc.), or request 6 TEDS is a program coordinated and managed by information/educational materials. Exposures do The term ‘‘abuse’’ is not defined in the SAMHSA. This database includes information not necessarily represent a poisoning or overdose. the CSA. However, the legislative on treatment admissions that are routinely collected The AAPCC is not able to completely verify the history of the CSA provides the by states to monitor their individual substance accuracy of every report made to member centers. abuse treatment systems. Thus, TEDS includes data Additional exposures may go unreported to PCCs following criteria to determine whether primarily from treatment facilities that receive and data referenced from the AAPCC should not be a particular drug or substance has a public funds. TEDS includes information on construed to represent the complete incidence of potential for abuse: 5 demographic variables including age, gender, race national exposures to any substance(s). (a) Individuals are taking the drug or and ethnicity. TEDS also reports on the top three 11 According to the AAPCC’s NPDS database, other substance in amounts sufficient to drugs of abuse at the time of admission. TEDS does ‘‘intentional reasons’’ include suspected suicide, not include all drugs that may have been abused misuse, abuse, and intentional unknown. create a hazard to their health or to the prior to admission. States and jurisdictions can 12 The Florida Department of Law Enforcement safety of other individuals or to the choose whether or not to report the detailed listing. Medical Examiners Commission publishes an community; or 7 The Drug Abuse Warning Network (DAWN) is Annual Medical Examiners Report, the Annual and (b) There is a significant diversion of a nationally representative public health Interim Drugs in Deceased Persons Report. In order surveillance system that continuously monitors for a death to be considered ‘‘drug-related’’ at least the drug or other substance from drug-related visits to hospital EDs. The DAWN data one drug identified must be in the decedent; each legitimate drug channels; or are used to monitor trends in drug misuse and identified drug is a drug occurrence. The State’s (c) Individuals are taking the drug or abuse in the United States. DAWN captures both ED medical examiners were asked to distinguish other substance on their own initiative visits that are directly caused by drugs and those between whether the drugs were the ‘‘cause’’ of in which drugs are a contributing factor but not the death or merely ‘‘present’’ in the body at the time rather than on the basis of medical direct cause of the ED visit. of death. A drug is only indicated as the cause of 8 Unless otherwise specified, for purposes of this death when, after examining all evidence and the 5 Comprehensive Drug Abuse Prevention and document ‘‘oxycodone products’’ refers to both its autopsy and toxicology results, the medical Control Act of 1970, H.R. Rep. No 91–1444, 91st single-entity and its combination products. All examiner determines the drug played a causal role Cong., Sess.1 (1970) reprinted in U.S.C.C.A.N. 4566, oxycodone products are schedule II controlled in the death. It is not uncommon for a decedent to 4601. substances. have multiple drugs listed as a cause of death.

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been associated with large numbers of (c) Individuals are using HCPs on nonmedical use of Vicodin®, an HCP, deaths in Florida. For example, in 2012, their own initiative rather than on the ranged from about 8% to 10.5% among HCPs were associated with 777 deaths, basis of medical advice. high school seniors (12th graders) and while oxycodone products were According to the data from the exceeded that of OxyContin® (4% to associated with 1,426. National Survey on Drug Use and 5.5%), an oxycodone extended release As summarized below, a review of Health 16 (NSDUH), the lifetime (i.e., product. In 2012, the annual prevalence drug abuse indicators for HCPs over the ever used) users of HCPs for nonmedical rate for nonmedical use of OxyContin® past several years further indicates that purposes exceeded those for oxycodone was 1.6%, 3.0%, and 4.3% among 8th, these products, similar to oxycodone products in the United States. For 10th and 12th graders, respectively. The products, are among the most widely example, in 2004, over 17.7 million corresponding rates for Vicodin® were diverted and abused drugs in the Americans age 12 years or older 1.3%, 4.4% and 7.5%. According to the country and have high potential for reported lifetime nonmedical use of MTF, the annual prevalence of abuse. HCPs as compared to over 11.9 million nonmedical use of Vicodin® in college (b) There is a significant diversion of reported for oxycodone products. In students and young adults was 3.8% HCPs from legitimate drug channels. 2012, the corresponding data for HCPs and 6.3% in 2012. The corresponding According to forensic laboratory data and oxycodone products were over 25.6 data for OxyContin® were 1.2% and as reported by the National Forensic and 16 million, respectively. The 2.3%. The aforementioned data from Laboratory System 13 14 (NFLIS) and the NSDUH also reported large increases drug abuse surveys (NSDUH and MTF) System to Retrieve Information from from 2004 through 2012 in the number collectively indicate high prevalence of Drug Evidence 15 (STRIDE), HCPs, of individuals using HCPs and abuse of HCPs among Americans similar to oxycodone products, are oxycodone products for nonmedical including students thereby indicating among the top 10 most frequently purposes. their high abuse potential. encountered drugs. From 2002 through The past year initiates (i.e., the first (d) HCPs are so related in their action 2010, total cases (from both NFLIS and use of a substance within the 12 months to a drug or other substance already STRIDE) for both HCPs and oxycodone prior to the interview date) of HCPs listed as having a potential for abuse to products gradually increased with some exceeded those of oxycodone products make it likely that they will have the decline in 2011 and 2012. From 2002 from 2002 through 2005. Past year same potential for abuse as such through 2008, annual total cases initiates for HCPs were over 1.3, 1.4, 1.3 substance, thus making it reasonable to involving HCPs (range: 9,106 in 2002 to and 1.3 million in 2002, 2003, 2004 and assume that there may be significant 33,611 in 2008) consistently exceeded 2005, respectively. The corresponding diversion from legitimate channels, those for oxycodone products (range: data for oxycodone products were over significant use contrary to or without 7,993 in 2002 to 28,343 in 2008). In 0.47, 0.5, 0.6 and 0.45 million. medical advice, or that they have a According to a report by the NSDUH, 2009, total cases for HCPs (37,894) were substantial capability of creating the combined data from 2002 through similar to that for oxycodone products hazards to the health of the user or to 2005 indicate that 57.7% of persons (37,680). From 2010 through 2012, total the safety of the community. who first used pain relievers Hydrocodone possesses abuse liability cases for oxycodone products (47,238 in nonmedically in the past year used effects substantially similar to morphine 2010 and 41,915 in 2012) exceeded HCPs while 21.7% used oxycodone (schedule II) in both animals and those for HCPs (39,261 in 2010 and products. The NSDUH data from 2002 humans. Hydrocodone, similar to 34,832 in 2012). The DEA has through 2006 also indicate that the morphine, is a m opioid receptor agonist documented a large number of diversion lifetime users of HCPs have a higher and shares pharmacological properties and trafficking cases involving HCPs. propensity than that of lifetime users of with morphine. Hydrocodone DEA investigations conducted from oxycodone immediate release products substitutes for morphine in animals 2005 through 2007 determined that (single-entity and combination products trained to discriminate the presence and HCPs were diverted from rogue Internet combined) to have used for nonmedical absence of morphine. Hydrocodone, pharmacies. purposes any pain relievers in the past similar to morphine, is self- year. administered by animals. Hydrocodone Although a medical examiner may determine a drug According to the Monitoring the substitutes for morphine in opioid- is present or detected in the decedent, the drug may 17 not have played a causal role in the death. A Future (MTF) survey, from 2002 dependent subjects. Clinical abuse decedent may have multiple drugs listed as present. through 2011 the annual prevalence of liability studies have also demonstrated ® 13 The NFLIS is a program of the DEA, Office of that HCPs (Hycodan or hydrocodone in Diversion Control. NFLIS systematically collects 16 The National Survey on Drug Use and Health, combination with acetaminophen) are drug identification results and associated formerly known as the National Household Survey similar to morphine with respect to information from drug cases submitted to and on Drug Abuse (NHSDA), is conducted annually by analyzed by State and local forensic laboratories. the Department of Health and Human Service’s physiological effects, subjective effects, NFLIS represents an important resource in Substance Abuse and Mental Health Services and drug ‘‘liking’’ scores. monitoring illicit drug abuse and trafficking, Administration (SAMHSA). It is the primary source Hydrocodone/acetaminophen and including the diversion of legally manufactured of estimates of the prevalence and incidence of oxycodone/acetaminophen combination pharmaceuticals into illegal markets. NFLIS is a nonmedical use of pharmaceutical drugs, illicit products at equi-miotic doses, in comprehensive information system that includes drugs, alcohol, and tobacco use in the United data from forensic laboratories that handle States. The survey is based on a nationally general, produce similar profiles of approximately 90% of an estimated 1.0 million representative sample of the civilian, non- psychopharmacological effects. These distinct annual State and local drug analysis cases. institutionalized population 12 years of age and two opioid products produced NFLIS includes drug chemistry results from older. The NSDUH provides yearly national and prototypic opiate-like effects and completed analyses only. state level estimates of drug abuse, and includes 14 While NFLIS data is not direct evidence of prevalence estimates by lifetime (i.e., ever used), psychomotor impairment of similar abuse, it can lead to an inference that a drug has past year, and past year abuse or dependence. magnitudes. been diverted and abused. See 76 FR 77330, 77332, 17 Monitoring the Future (MTF) is a national Collectively these data demonstrate Dec. 12, 2011. survey conducted by the Institute for Social that HCPs have a high potential for 15 STRIDE is a database of drug exhibits sent to Research at the University of Michigan under a DEA laboratories for analysis. Exhibits from the grant from the NIDA that tracks drug use trends abuse similar to other schedule II opioid database are from the DEA, other federal agencies, among American adolescents among the 8th, 10th, analgesic drugs such as morphine and and local law enforcement agencies. and 12th grades. oxycodone products.

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2. Scientific Evidence of the Drug’s morphine. Data regarding the HCPs at 3.75 per 100,000 population Pharmacological Effects, if Known pharmacological effects of hydrocodone followed by oxycodone products at 1.81 The HHS states that hydrocodone’s and its high potential for abuse were per 100,000. HCPs were involved in pharmacological effects are similar to available prior to the enactment of the 55% of all of the intentional exposure other m opioid receptor agonists. It is CSA and the placement of hydrocodone cases, whereas oxycodone products in schedule II reflects that knowledge were involved in 27%. In addition, effective as an antitussive agent and as base. In the United States, popularity of published data on toxic exposure calls an analgesic drug. Opioid analgesics hydrocodone as a drug of abuse received by Texas poison centers from have an important role in the increased in the 1990s coinciding with 1998 through 2009 showed that toxic management of pain. HCPs contain its increased use as an analgesic. exposure calls related to ingestion of the other nonnarcotic active ingredients Currently HCPs are widely diverted and combination of HCPs, carisoprodol and such as acetaminophen, nonsteroidal abused throughout the United States as alprazolam (commonly referred under anti-inflammatory drugs (NSAIDs) demonstrated in national and regional street names such as ‘‘Holy Trinity,’’ (aspirin and ibuprofen), drug-abuse-related databases. HCPs and ‘‘Houston Cocktail,’’ or ‘‘Trio’’) have chlorpheniramine or homatropine oxycodone products (schedule II) are increased from 2000 through 2007 with methylbromide. The mechanism of the two most common opioid analgesic some decline in 2009. analgesic and antitussive effects of HCPs products encountered by law 5. The Scope, Duration, and are different from those of nonnarcotic enforcement. active ingredients present in HCPs. Data from DEA field offices indicate Significance of Abuse Acetaminophen and NSAIDs are less that HCPs are diverted and are among The HHS mentions that abuse of HCPs effective against severe pain, but have a the most sought after licit drugs in every is considerable and is associated with recognized role in a variety of pain geographic region of the country. DEA considerable negative public health settings. case investigations document numerous impact. The extent of nonmedical use of HCPs, similar to other opioid methods of diversion of HCPs. These HCPs by adolescents is higher than for analgesics such as oxycodone products, methods involve drug theft, doctor oxycodone products. These data are of are associated with a substantial number shopping, fraudulent oral (call-in) significant concern as this may reflect of overdose, suicide, abuse, and prescriptions, fraudulent prescriptions, particular risk for younger individuals. dependence reports. Overdose of HCPs, diversion by registrants, and various The HHS also states that because of the similar to other opioid analgesics, can other drug trafficking schemes. HCPs are large number of prescriptions, large lead to respiratory depression and abused by individuals of diverse ages amounts of HCPs are potentially death. Common adverse effects of from adolescents to older populations. available for illicit use. Large numbers NSAIDs include gastrointestinal, According to the NSDUH, in 2012, of of adversely affected individuals and cardiovascular, renal and renovascular the 37 million people in the United the severity of the adverse effects related adverse events, and hepatic injury. States who used pain relievers to abuse of HCPs suggest that Acetaminophen has low incidence of nonmedically in their lifetime, over 25.6 individuals are taking these products in gastrointestinal side effects and is a million (representing 9.9% of the amounts sufficient to create a hazard to common household analgesic available United States population age 12 years or their health and to the safety of other over the counter. Overdoses of older) reported lifetime nonmedical use individuals and the community. Abuse acetaminophen can cause severe hepatic of HCPs. The MTF surveys indicate that of HCPs is associated with progressively damage and death. Opioid/ from 2002 through 2012, 8.1% to 10.5% increasing trends in serious adverse acetaminophen combination products of high school seniors used Vicodin®, effects, including ED visits, admissions are linked to numerous liver injuries. an HCP, for nonmedical purposes. In for abuse treatment, and in mortality data in selected States. The HHS cites 3. The State of Current Scientific 2012, the annual prevalence of ® the widespread prescriptions for HCPs Knowledge Regarding the Drug or Other nonmedical use of Vicodin in college as one of the reasons for these adverse Substance students and young adults was 3.8% and 6.3%, respectively. outcomes. According to the HHS, data The HHS provided additional Several published epidemiological suggests that HCPs have high potential scientific information with focus on studies indicate that HCPs are widely for abuse. chemical and toxicological properties of abused. For example, a published The DEA notes that initial reports of hydrocodone and nonnarcotic epidemiological study reviewed abuse of HCPs in the U.S. were components of HCPs. Hydrocodone is a prescription opioid abuse data collected published in the 1960s. Since the 1990s, semisynthetic opioid. The bitartrate salt by drug abuse experts (representatives the diversion and abuse of HCPs has form of hydrocodone is the main active of the nation’s methadone programs, escalated in the country. By the late component in all currently marketed treatment centers, impaired health care 1990s, there were large increases in the HCPs. Nonnarcotic drugs present as co- professional programs, NIDA grantees diversion and abuse of HCPs. HCPs, ingredients are acetaminophen, aspirin, and high-prescribing physicians) and similar to oxycodone products, are ibuprofen, chlorpheniramine or found that HCPs are one of the most widely diverted and abused homatropine methylbromide. commonly abused prescription opioid pharmaceutical opioid analgesics. HCPs Hydrocodone and nonnarcotic drugs drugs. Rates of abuse, expressed as cases are associated with significant illicit present in HCPs have potential to per 100,000 population, were the activity and abuse. Federal, State and produce adverse effects. highest for hydrocodone and extended local forensic laboratory data rank HCPs release oxycodone products, while the as one of the two most frequently 4. Its History and Current Pattern of rest of the opioid analgesics, including encountered opioid pharmaceuticals in Abuse immediate release oxycodone products, submissions to the laboratories. For Soon after introduction for clinical had lower rates. Another published example, in 2012, there were over use, there were reports of hydrocodone epidemiological study also indicates 34,000 exhibits for HCPs (NFLIS). All abuse and addiction. By the 1950s, it that the rate of intentional exposure DEA field divisions across the U.S. have was established that hydrocodone has (abuse, intentional misuse, suicide or reported that HCPs are among the most an abuse liability similar to that of intentional unknown) was highest for sought after pharmaceuticals.

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In 2012, according to the poison FDA Adverse Events Reporting System 7. Its Psychic or Physiological control centers data (NPDS), there were (FAERS) 20 from 1969 through 2012 and Dependence Liability over 29,390 toxic exposures involving compared them to those associated with According to the HHS, data from HCPs. In 2002, there were over 25,000 oxycodone products. The most common animal and human studies indicate the DAWN ED visits associated with HCPs adverse events reported for HCPs dependence potential of hydrocodone. and it was ranked sixth among all included terms such as complete The severe dependence potential is controlled substances. According to suicide, intentional overdose, drug reflected by the number of individuals DAWN, the nonmedical use related ED abuse, drug dependence, and drug admitted to addiction treatment centers visits for HCPs were 86,258; 95,972; and 21 abuser. The HHS found that both citing HCPs as their substance of abuse. 82,480 in 2009, 2010, and 2011, HCPs and oxycodone products are The HHS also states that the treatment respectively. A number of data sources associated with substantial numbers of admissions linked to abuse of HCPs are indicate that abuse of HCPs is associated reports of overdose, suicide, abuse, and increasing. The HHS concluded that with a large number of deaths. dependence reports. Both products have abuse of HCPs may lead to severe According to NSDUH, there were large large numbers of adverse events psychological or physical dependence. numbers of lifetime and past year reported that reflect abuse, misuse and The DEA notes that as evident from initiates of HCPs for nonmedical injury due to inappropriate use. HCPs purposes and these numbers exceeded the NSDUH data from 2002 through had fewer such reports than oxycodone 2006, the propensity of the lifetime those of oxycodone. According to the products. MTF, about 8% to 10% of high school users of HCPs to develop substance use seniors reported nonmedical use of According to the DAWN, ED mentions disorders on any pain relievers is higher Vicodin®, an HCP, in recent years. associated with HCPs and oxycodone than that of lifetime users of any pain DEA case investigations document products are the highest among all relievers, as well as lifetime users of opioid analgesics suggesting that both oxycodone products other than numerous methods of diversion of ® HCPs. These methods involve drug HCPs and oxycodone products have a OxyContin (i.e., oxycodone immediate theft, doctor shopping, fraudulent oral great adverse risk to the public health. release single-entity products and (call-in) prescriptions, fraudulent According to the HHS, DAWN ME data immediate release combination prescriptions, diversion by registrants, for five States from 2004 through 2010 products). The FAERS data (from 1969 and various other drug trafficking reported an increase of 63% and 133% through August 28, 2008) indicate that schemes. in deaths related to HCPs and the abuse and dependence reports oxycodone products, respectively. associated with HCPs expressed as a 6. What, if Any, Risk There Is to the According to the FDLE, HCPs have been percentage of all its adverse events Public Health associated with large numbers of deaths (13.3%) were similar (both in magnitude Despite the medical value of HCPs as in Florida in recent years. According to and temporal distribution) to that for antitussive and analgesic drugs, the the NPDS annual reports, since 2002, oxycodone products other than misuse and abuse of these products annual figures for toxic exposures OxyContin® (13.6%). present numerous risks to the public (within the category of opioid analgesic The DEA also notes that according to health. Many of the risk factors drugs) were the largest for HCPs, several published epidemiological associated with these products are followed by oxycodone products (see surveys and retrospective review of common risks shared with other m summary of Factor 1 above). From 2006 medical records of addiction treatment opioid receptor agonists. These include through 2012, NPDS reported a total of populations, HCPs are among the most the risks of developing tolerance, 84,798 single substance exposures abused opioid pharmaceuticals in dependence and addiction, and the related to HCPs resulting in 195 deaths. prescription opioid dependent attendant problems associated with The corresponding data for oxycodone individuals in the country and are these risks including death. According products is 57,219 exposures and 173 frequently mentioned as the primary to the CDC, from 1999 to 2010, the deaths. drug of abuse in these subjects. number of drug poisoning deaths 18 The above data collectively indicate involving any opioid analgesic (e.g., 20 FAERS is a computerized information database that HCPs, similar to oxycodone oxycodone, methadone, or designed to support FDA’s surveillance program for products, have high potential to cause hydrocodone) markedly increased (over the post-marketing safety of all drug and severe psychological or physiological four-fold), from 4,030 to 16,651, and therapeutic biologic products. FDA receives adverse drug reaction reports from manufacturers as dependence. accounted for 43% of the 38,329 drug required by regulation. Health care professionals poisoning deaths and 39% of the 42,917 and consumers voluntarily submit reports through 8. Whether the Substance Is an total poisoning deaths 19 in 2010. In the MedWatch program. All reported adverse terms Immediate Precursor of a Substance 1999, opioid analgesics were involved are coded according to standardized international Already Controlled Under the CSA terminology, MedDRA (the Medical Dictionary for in 24% of the 16,849 drug poisoning Regulatory Activities). These numbers are crude HCPs are not immediate precursors of deaths and 20% of the 19,741 total reports and may include duplicates. These reports a substance already controlled under the poisoning deaths. were not individually reported to determine the CSA, as defined in 21 U.S.C. 811(e). The HHS reviewed the HCPs related association between the drug and the adverse event reported and may contain concomitant use of other Conclusion adverse events that were reported to the medications. 21 The top 20 most frequently reported adverse Based on consideration of the 18 Drug poisoning deaths include unintentional event terms associated with all hydrocodone reports scientific and medical evaluation and and intentional poisoning deaths resulting from (a report may contain more than one adverse event) accompanying recommendation of the overdoses of a drug, being given the wrong drug, received from 1969 to 2012 in the FAERS, in using the drug in error, or using a drug decreasing frequency, were: Completed suicide, HHS, and based on the DEA’s inadvertently. overdose, cardio-respiratory arrest, toxicity to consideration of its own eight-factor 19 Total poisoning deaths include those resulting various agents, cardiac arrest, respiratory arrest, analysis, the DEA finds that these facts from drugs, and those associated with solid or drug ineffective, intentional overdose, nausea, and all other relevant data constitute liquid biologics, gases or vapors, or other intentional drug misuse, vomiting, death, drug substances. Poisoning deaths are from all manners, abuse, accidental overdose, pain, dizziness, substantial evidence of high potential including unintentional, suicide, homicide, and medication error, drug dependence, headache, and for abuse of HCPs. As such, the DEA undetermined intent. drug abuser. hereby proposes to transfer HCPs from

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schedule III to schedule II under the U.S.C. 825, 958(e), and be in accordance Such actions are exempt from review by CSA. with 21 CFR part 1302. the Office of Management and Budget Quotas. A quota assigned pursuant to (OMB) pursuant to Section 3(d)(1) of Proposed Determination of Appropriate 21 U.S.C. 826 and in accordance with 21 Executive Order 12866 and the Schedule CFR part 1303 would be required in principles reaffirmed in Executive Order The CSA outlines the findings order to manufacture HCPs. 13563. required to transfer a drug or other Inventory. Any person who becomes Executive Order 12988 substance between schedules (I, II, III, registered with the DEA after the IV, or V) of the CSA. 21 U.S.C. 811(a); effective date of the final rule would be This proposed regulation meets the 21 U.S.C. 812(b). After consideration of required to take an initial inventory of applicable standards set forth in the analysis and rescheduling all stocks of controlled substances sections 3(a) and 3(b)(2) of Executive recommendation of the Assistant (including HCPs) on hand on the date Order 12988 Civil Justice Reform to Secretary for Health of the HHS and the registrant first engages in the eliminate drafting errors and ambiguity, review of available data, the handling of controlled substances, minimize litigation, provide a clear legal Administrator of the DEA, pursuant to pursuant to 21 U.S.C. 827, 958, and in standard for affected conduct, and 21 U.S.C. 811(a) and 21 U.S.C. 812(b)(2), accordance with 21 CFR 1304.03, promote simplification and burden finds that: 1304.04, and 1304.11(a) and (b). reduction. 1. HCPs have a high potential for After the initial inventory, every DEA Executive Order 13132 abuse similar to that of schedule II registrant would be required to take a substances; new inventory of all stocks of controlled This proposed rulemaking does not 2. HCPs have a currently accepted substances on hand every two years, have federalism implications warranting medical use in treatment in the United pursuant to 21 U.S.C. 827, 958, and in the application of Executive Order States. According to the HHS, several accordance with 21 CFR 1304.03, 13132. The proposed rule does not have pharmaceutical products containing 1304.04, and 1304.11. substantial direct effects on the States, hydrocodone in combination with Records. Every DEA registrant would on the relationship between the national acetaminophen, aspirin, NSAIDS, and be required to maintain records with government and the States, or the homatropine are approved by FDA for respect to HCPs pursuant to 21 U.S.C. distribution of power and use as analgesics for pain relief and for 827, 958, and in accordance with 21 responsibilities among the various the symptomatic relief of cough and CFR parts 1304, 1307, and 1312. levels of government. upper respiratory symptoms associated Reports. Every DEA registrant would Executive Order 13175 with allergies and colds; and be required to submit reports regarding This proposed rule does not have 3. Abuse of HCPs may lead to severe HCPs to the Automation of Reports and Consolidated Order System (ARCOS) tribal implications warranting the psychological or physical dependence application of Executive Order 13175. It similar to that of schedule II substances. pursuant to 21 U.S.C. 827 and in accordance with 21 CFR 1304.33. does not have substantial direct effects Based on these findings, the on one or more Indian tribes, on the Administrator of the DEA concludes Orders for HCPs. Every DEA registrant who distributes HCPs would be required relationship between the Federal that HCPs warrant control in schedule II Government and Indian tribes, or on the of the CSA. 21 U.S.C. 812(b)(2). to comply with order form requirements, pursuant to 21 U.S.C. 828, distribution of power and Requirements for Handling HCPs and in accordance with 21 CFR part responsibilities between the Federal Government and Indian tribes. If this rule is finalized as proposed, 1305. persons who handle HCPs would be Prescriptions. All prescriptions for Regulatory Flexibility Act HCPs would need to comply with 21 subject to the CSA’s schedule II The Administrator, in accordance U.S.C. 829, and would be required to be regulatory controls and administrative, with the Regulatory Flexibility Act (5 issued in accordance with 21 CFR part civil, and criminal sanctions applicable U.S.C. 601–612) (RFA), has reviewed 1306, and part 1311 subpart C. to the manufacture, distribution, this proposed rule, and by approving it, Importation and Exportation. All dispensing, importing, exporting, certifies that it will not have a importation and exportation of HCPs research, and conduct of instructional significant economic impact on a would need to be in compliance with 21 activities, including the following: substantial number of small entities. U.S.C. 952, 953, 957, 958, and in Registration. Any person who handles The purpose of this proposed rule is to accordance with 21 CFR part 1312. (manufactures, distributes, dispenses, place HCPs into schedule II of the CSA. Liability. Any activity involving HCPs imports, exports, engages in research, or No less restrictive measures (i.e., non- not authorized by, or in violation of, the conducts instructional activities with) control or control in a lower schedule) CSA, would be unlawful, and may HCPs, or who desires to handle HCPs, would enable the DEA to meet its subject the person to administrative, would be required to be registered with statutory obligation under the CSA. civil, and/or criminal sanctions. the DEA to conduct such activities HCPs are widely prescribed drugs for pursuant to 21 U.S.C. 822, 823, 957, Regulatory Analyses the treatment of pain and cough 958, and in accordance with 21 CFR suppression. Handlers of HCPs Executive Orders 12866 and 13563 parts 1301 and 1312. primarily include manufacturers, Security. HCPs would be subject to In accordance with 21 U.S.C. 811(a), distributors, exporters, pharmacies, schedule II security requirements and this proposed scheduling action is practitioners, mid-level practitioners, would need to be handled and stored subject to formal rulemaking procedures and hospitals/clinics.22 It is possible pursuant to 21 U.S.C. 821, 823, 871(b) performed ‘‘on the record after and in accordance with 21 CFR opportunity for a hearing,’’ which are 22 For purposes of performing regulatory analysis, 1301.71–1301.93. conducted pursuant to the provisions of the DEA uses the definition of a ‘‘practitioner’’ as a physician, veterinarian, or other individual Labeling and Packaging. All labels 5 U.S.C. 556 and 557. The CSA sets licensed, registered, or otherwise permitted, by the and labeling for commercial containers forth the procedures and criteria for United States or the jurisdiction in which he/she of HCPs would need to comply with 21 scheduling a drug or other substance. practices, to dispense a controlled substance in the

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that other registrants, such as importers, distributors will need to build new action is required under provisions of researchers, analytical labs, teaching vaults or expand existing vaults to store the UMRA of 1995. institutions, etc., also handle HCPs. HCPs in compliance with schedule II Paperwork Reduction Act of 1995 However, based on its understanding of controlled substance physical security its registrant population, the DEA requirements. Due to the uniqueness of This action does not impose a new assumes for purposes of this analysis each business, the DEA made collection of information requirement that for all business activities other than assumptions based on research and under the Paperwork Reduction Act of manufacturers, distributors, exporters, institutional knowledge of its registrant 1995 (44 U.S.C. 3501–3521). This action pharmacies, practitioners, mid-level community to quantify the costs would not impose recordkeeping or practitioners, and hospitals/clinics, that associated with physical security reporting requirements on State or local the volume of HCPs handled is nominal, requirements for manufacturers, governments, individuals, businesses, or and therefore de minimis to the exporters and distributors. organizations. An agency may not economic impact determination of this The DEA estimates there will be conduct or sponsor, and a person is not proposed rescheduling action. significant economic impact on 1 (2.0%) required to respond to, a collection of Because HCPs are so widely of the affected 50 small business information unless it displays a prescribed, for the purposes of this manufacturers, and 54 (7.9%) of the currently valid OMB control number. analysis, the DEA conservatively affected 683 small business distributors. List of Subjects in 21 CFR Part 1308 assumes all distributors, exporters, The DEA estimates no significant pharmacies, practitioners, mid-level impact on the remaining affected 4 Administrative practice and practitioners, and hospitals/clinics small business exporters, 50,774 small procedure, Drug traffic control, currently registered with the DEA to business pharmacies, or 314,840 small Reporting and recordkeeping handle schedule III controlled business practitioners/mid-level requirements. substances are also handlers of HCPs. practitioners/hospitals/clinics. In For the reasons set out above, 21 CFR The DEA estimated the number of summary, 55 of the 366,351 (0.015%) part 1308 is proposed to be amended to manufacturers and exporters handling affected small entities are estimated to read as follows: HCPs directly from DEA records. In experience significant impact, (i.e., total, the DEA estimates that nearly 1.5 incur costs greater than 1% of annual PART 1308—SCHEDULES million controlled substance revenue) if the proposed rule were CONTROLLED SUBSTANCES registrations, representing finalized. The percentage of small approximately 376,189 entities, would ■ 1. The authority citation for 21 CFR entities with significant economic be affected by this rule. part 1308 continues to read as follows: impact is below the 30% threshold for The DEA does not collect data on all registrant business activities. The Authority: 21 U.S.C. 811, 812, 871(b) company size of its registrants. The DEA unless otherwise noted. used DEA records and multiple DEA’s assessment of economic impact subscription-based and public data by size category indicates that the § 1308.13 [Amended] sources to relate the number of proposed rule will not have a significant ■ 2. Amend § 1308.13 by removing registrations to the number of entities effect on a substantial number of these paragraphs (e)(1)(iii) and (iv) and and the number of entities that are small small entities. redesignating paragraphs (e)(1)(v) entities. The DEA estimates that of the The DEA’s assessment of economic through (viii) as (e)(1)(iii) through (v), 376,189 entities that would be affected impact by size category indicates that respectively. by this rule, 366,351 are ‘‘small entities’’ the proposed rule to reschedule HCPs as schedule II controlled substances will Dated: February 21, 2014. in accordance with the RFA and Small Michele M. Leonhart, Business Administration size standards. not have a significant economic impact 5 U.S.C. 601(6); 15 U.S.C. 632.23 on a substantial number of small Administrator. The DEA examined the registration, entities. The DEA will consider written [FR Doc. 2014–04333 Filed 2–26–14; 8:45 am] security (including storage), labeling comments regarding the DEA’s BILLING CODE 4410–09–P and packaging, quota, inventory, economic analysis of the impact of such recordkeeping and reporting, ordering, rescheduling, including this prescribing, importing, exporting, and certification, and requests that DEPARTMENT OF HOUSING AND disposal requirements for the 366,351 commenters describe the specific nature URBAN DEVELOPMENT small entities estimated to be affected by of any impact on small entities and the proposed rule. The DEA estimates provide empirical data to illustrate the 24 CFR Parts 50 and 58 that only the physical security extent of such impact. [Docket No. FR–5616–P–01] requirements will have material Unfunded Mandates Reform Act of 1995 economic impact and such impacts will RIN 2506–AC34 On the basis of information contained be limited to manufacturers, exporters, Environmental Compliance in the ‘‘Regulatory Flexibility Act’’ and distributors. Many manufacturers Recordkeeping Requirements and exporters are likely to have section above, the DEA has determined sufficient space in their existing vaults and certifies pursuant to the Unfunded AGENCY: Office of Secretary, HUD. to accommodate HCPs. However, the Mandates Reform Act (UMRA) of 1995 ACTION: Proposed rule. DEA understands that some (2 U.S.C. 1501 et seq.), that this action manufacturers, exporters, and would not result in any Federal SUMMARY: This proposed rule would mandate that may result ‘‘in the revise the regulations governing the course of professional practice, but does not include expenditure by State, local, and tribal format used for conducting the required a pharmacist, pharmacy, or hospital (or other governments, in the aggregate, or by the environmental reviews for HUD person other than an individual). private sector, of $100,000,000 or more program and policy actions. HUD’s 23 The estimated break-down is as follows: 50 manufacturers, 4 exporters, 683 distributors, 50,774 (adjusted for inflation) in any one year current regulations require that HUD pharmacies, and 314,840 practitioners/mid-level * * *.’’ Therefore, neither a Small staff document part 50 environmental practitioners/hospitals/clinics. Government Agency Plan nor any other review compliance using form HUD–

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4128. Recipients receiving HUD and submit a comment, ensures timely policies and programs. The regulations assistance and other entities responsible receipt by HUD, and enables HUD to at 24 CFR part 58, entitled for conducting part 58 environmental make them immediately available to the ‘‘Environmental Review Procedures for reviews (‘‘responsible entities’’) are public. Comments submitted Entities Assuming HUD Environmental currently allowed to use either HUD- electronically through the Responsibilities,’’ prescribe the recommended formats or develop www.regulations.gov Web site can be requirements governing environmental equivalent formats for documenting viewed by other commenters and reviews performed by recipients of HUD environmental review compliance. interested members of the public. assistance and other responsible entities The reference to a specific form Commenters should follow the that assume HUD’s environmental number in part 50 restricts HUD’s instructions provided on that site to responsibilities in applicable HUD ability to adopt alternative form submit comments electronically. programs. Both 24 CFR parts 50 and 58 designations and forms, while Note: To receive consideration as public address the formats used for preparing authorizing the use of alternate forms in comments, comments must be submitted and documenting the required part 58 makes it difficult for HUD to through one of the two methods specified environmental reviews. assess, compare, and collect data on above. Again, all submissions must refer to The part 50 regulations at § 50.20(a) responsible entities’ environmental the docket number and title of the rule. and § 50.31(a) require HUD employees to document compliance with the review records. Despite being applicable No Facsimile Comments. Facsimile environmental requirements through to different parties, environmental (fax) comments are not acceptable. use of form HUD–4128. The reference to review responsibilities under parts 50 Public Inspection of Public a single form number in part 50 restricts and 58 are substantively similar. In light Comments. All properly submitted HUD’s ability to issue a new form with of that, the proposed rule would give comments and communications a different designation or other forms. the Departmental Environmental submitted to HUD will be available for Updating the regulations to reflect new Clearance Officer (DECO) the authority public inspection and copying between to create one standardized format for forms would require the use of 8 a.m. and 5 p.m., weekdays, at the potentially lengthy notice-and-comment use in both part 50 and part 58 reviews above address. Due to security measures and authorize exceptions, thereby rulemaking procedures. Such at the HUD Headquarters building, an procedures would be redundant because eliminating unnecessary distinctions appointment to review the public between reviews completed by HUD new forms are already subject to the comments must be scheduled in notice-and-comment process of the employees and responsible entities. advance by calling the Regulations This proposed rule would also make Paperwork Reduction Act of 1995 (44 Division at 202–708–3055 (this is not a U.S.C. 3501 et seq.) (PRA). a technical amendment to part 58 by toll-free number). Individuals with making the regulations consistent with The part 58 regulations at § 58.38 and speech or hearing impairments may § 58.40 allow entities assuming HUD the ‘‘Environmental Assessment’’ access this number via TTY by calling definition provided in the Council on environmental review responsibilities to the Federal Relay Service at 800–877– use a HUD-recommended format or Environmental Quality (CEQ) 8339. Copies of all comments submitted regulations implementing the National develop an equivalent format for are available for inspection and preparing and documenting an Environmental Policy Act (42 U.S.C. downloading at www.regulations.gov. 4321 et seq.) (NEPA). environmental review. As a result, FOR FURTHER INFORMATION CONTACT: entities use a variety of formats. This DATES: Comment Due Date: April 28, Danielle Schopp, Director, Office of sometimes makes it difficult for HUD 2014. Environment and Energy, Office of and interested members of the public to ADDRESSES: Interested persons are Community Planning and Development, assess compliance and prevents HUD invited to submit comments regarding Department of Housing and Urban from collecting reliable data. this proposed rule to the Regulations Development, 451 7th Street SW., Room II. This Proposed Rule Division, Office of General Counsel, 7250, Washington, DC 20410; telephone Department of Housing and Urban number 202–402–4442 (this is not a toll- This proposed rule would address Development, 451 7th Street SW., Room free number). Persons with hearing or these concerns by revising the 10276, Washington, DC 20410–0500. speech impairments may access this regulations addressing the formats used Communications must refer to the above number through TTY by calling the toll- for environmental reviews. First, this docket number and title. There are two free Federal Relay Service at 800–877– proposed rule would amend 24 CFR methods for submitting public 8339. part 50 by removing the reference to the comments. All submissions must refer SUPPLEMENTARY INFORMATION: form HUD–4128. The revised to the above docket number and title. regulations would instead require that 1. Submission of Comments by Mail. I. Background HUD staff use a format approved by the Comments may be submitted by mail to NEPA and related authorities 1 require DECO to prepare and document the the Regulations Division, Office of the review of potential environmental required environmental reviews. General Counsel, Department of impacts of, and the preparation of Applicable environmental authorities Housing and Urban Development, 451 environmental reviews for, Federal vary from program to program. 7th Street SW., Room 10276, policy and program actions. HUD’s Accordingly, the DECO may prescribe Washington, DC 20410–0500. regulations at 24 CFR part 50 and part alternative formats as necessary to meet 2. Electronic Submission of 58 implement these environmental specific program needs. This rule is not Comments. Interested persons may requirements. HUD’s regulations at 24 proposing to change or replace form submit comments electronically through CFR part 50, entitled ‘‘Protection and HUD–4128. Such actions would more the Federal eRulemaking Portal at Enhancement of Environmental appropriately be taken through the www.regulations.gov. HUD strongly Quality,’’ govern the environmental process for approval of collections of encourages commenters to submit reviews performed by HUD for its information and recordkeeping comments electronically. Electronic requirements under the PRA. submission of comments allows the 1 See 24 CFR 50.4 and 24 CFR 58.5–6 for a listing This proposed rule would also amend commenter maximum time to prepare of these Federal laws and authorities. 24 CFR part 58 by establishing

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uniformity in the formats used by simplify and standardize the format substantial direct compliance costs on entities assuming HUD’s environmental requirements. Changes to the format state and local governments and is not review responsibilities. Specifically, the would now be made through the PRA required by statute or the rule preempts proposed rule would require these notice-and-comment process, the more state law, unless the agency meets the entities to use a format prescribed by the appropriate forum for such changes. In consultation and funding requirements DECO. As for environmental reviews addition, the proposed rule would make of section 6 of the Executive Order. This under part 50, the DECO may prescribe a technical amendment to include in rule will not have federalism alternative formats as necessary to meet HUD’s regulations the procedures a implications and would not impose specific program needs. This rule is not responsible entity must complete when substantial direct compliance costs on prescribing the format; rather, such preparing an environmental assessment state and local governments or preempt paperwork requirements will be already required under the CEQ state law within the meaning of the established through the PRA notice-and- regulations. As a result, this rule was Executive Order. comment process. determined to not be a significant This proposed rule would also make regulatory action under section 3(f) of Environmental Review a technical amendment to § 58.40 for Executive Order 12866, Regulatory This proposed rule does not direct, consistency with the CEQ regulations Planning and Review, and therefore was provide for assistance or loan and implementing NEPA’s environmental not reviewed by OMB. mortgage insurance for, or otherwise assessment requirements. The Paperwork Reduction Act govern or regulate real property regulations issued by the CEQ at 40 CFR acquisition, disposition, leasing, parts 1500–1508 establish the basic The information collection rehabilitation, alteration, demolition, or procedural requirements for compliance requirements for part 50 and part 58 new construction, or establish, revise, or with NEPA by all Federal agencies. contained in this proposed rule have provide for standards for construction or When responsible entities assume been approved by OMB under the construction materials, manufactured HUD’s environmental review Paperwork Reduction Act of 1995 (44 housing, or occupancy. Accordingly, responsibilities, they must follow the U.S.C. 3501–3520) (PRA) and assigned under 24 CFR 50.19(c)(1), this proposed CEQ environmental assessment OMB control numbers 2506–0177 and rule is categorically excluded from regulations at 40 CFR 1508.9. HUD’s 2506–0087, respectively. In accordance environmental review under the NEPA. procedures mirror the CEQ procedures with the PRA, an agency may not Unfunded Mandates Reform Act for performing an environmental conduct or sponsor, and a person is not assessment, but for clarity HUD is required to respond to, a collection of Title II of the Unfunded Mandates incorporating the CEQ’s language for information, unless the collection Reform Act of 1995 (2 U.S.C. 1531– completing the environmental displays a currently valid OMB control 1538) (UMRA) establishes requirements assessments in HUD’s regulations. number. for Federal agencies to assess the effects of their regulatory actions on state, III. Findings and Certifications Regulatory Flexibility Act local, and tribal governments, and the The Regulatory Flexibility Act (5 Regulatory Review—Executive Orders private sector. This proposed rule does U.S.C. 605(b)) generally requires an 12866 and 13563 not impose any Federal mandates on agency to conduct regulatory flexibility any state, local, or tribal government, or Under Executive Order 12866 analysis of any rule subject to notice- the private sector within the meaning of (Regulatory Planning and Review), a and-comment rulemaking requirements, UMRA. determination must be made whether a unless the agency certifies that the rule regulatory action is significant and, will not have a significant economic List of Subjects therefore, subject to review by the Office impact on a substantial number of small 24 CFR Part 50 of Management and Budget (OMB) in entities. The proposed rule would not accordance with the requirements of the have a significant economic impact on Environmental quality, order. Executive Order 13563 a substantial number of small entities. Environmental protection, (Improving Regulations and Regulatory The proposed rule would not add any Environmental review policy and Review) directs executive agencies to new substantive regulatory obligations procedures, Environmental assessment, analyze regulations that are ‘‘outmoded, on participants in HUD programs. The Environmental impact statement, ineffective, insufficient, or excessively current regulations already require that Compliance record. burdensome, and to modify, streamline, entities maintain environmental review 24 CFR Part 58 expand, or repeal them in accordance records in accordance with HUD- with what has been learned.’’ Executive recommended formats or equivalent Environmental protection, Order 13563 also directs that, where formats, and HUD is merely Community Development Block Grants, relevant, feasible, and consistent with standardizing the recording format. Environmental impact statements, Grant regulatory objectives, and to the extent Notwithstanding HUD’s determination programs—housing and community permitted by law, agencies are to that this rule will not have a significant development, Reporting and identify and consider regulatory economic impact on a substantial recordkeeping requirements. approaches that reduce burdens and number of small entities, HUD Accordingly, for the reasons stated in maintain flexibility and freedom of specifically invites comments regarding the preamble, HUD proposes to revise choice for the public. less burdensome alternatives to this rule 24 CFR parts 50 and 58, to read as As discussed above in this preamble, that will meet HUD’s objectives as follows: the proposed rule would revise the described in this preamble. regulations governing the format used PART 50—PROTECTION AND for conducting the required Executive Order 13132, Federalism ENHANCEMENT OF ENVIRONMENTAL environmental reviews for HUD Executive Order 13132 (entitled QUALITY program and policy actions. Consistent ‘‘Federalism’’) prohibits an agency from with the goals of Executive Order 13563, publishing any rule that has federalism ■ 1. The authority citation for part 50 is the proposed amendments would implications if the rule either imposes revised to read as follows:

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Authority: 42 U.S.C. 3535(d) and 4321– L. 105–276; E.O. 11514 as amended by E.O. Specifically, the Department proposes to 4335; and Executive Order 11991, 3 CFR, 11991, 3 CFR, 1977 Comp., p. 123. exempt portions of DMDC 16 DoD, 1977 Comp., p. 123. ■ 6. In § 58.38, revise the introductory entitled ‘‘Interoperability Layer Service ■ 2. In § 50.18, designate the text to read as follows: (IoLS)’’ from one or more provisions of undesignated paragraph as paragraph (b) § 58.38 Environmental review record. the Privacy Act because of criminal, and add new paragraph (a) to read as civil, and administrative enforcement The responsible entity must maintain follows: requirements. In 2008, the U.S. Congress a written record of the environmental passed legislation that obligated the § 50.18 General. review undertaken under this part for Secretary of Defense to develop access (a) The Departmental Environmental each project. This document will be Clearance Officer (DECO) shall establish designated the ‘‘Environmental Review standards for visitors applicable to all a prescribed format to be used to Record’’ (ERR) and shall be available for military installations in the U.S. The document compliance with NEPA and public review. The Departmental Department of Defense (DoD) developed the Federal laws and authorities cited in Environmental Clearance Officer a visitor system to manage multiple § 50.4 where their applicability is (DECO) shall establish a prescribed databases that are capable of identifying indicated below. The DECO may format that the responsible entity shall individuals seeking access to DoD prescribe alternative formats as use to prepare the ERR. The DECO may installations who may be criminal and/ necessary to meet specific program prescribe alternative formats as is or security threats. The purpose of the needs. necessary to meet specific program vetting system is to screen individuals * * * * * needs. wishing to enter a DoD facility, to ■ 3. Revise § 50.20(a) to read as follows: * * * * * include those who have been previously ■ 7. In § 58.40, revise the introductory given authority to access DoD § 50.20 Categorical exclusions subject to text and paragraph (e) to read as follows: installations, against the FBI National the Federal laws and authorities cited in Crime Information Center (NCIC) § 50.4. § 58.40 Preparing the environmental Wanted Person File. The NCIC has a assessment. (a) The following actions, activities, properly documented exemption rule and programs are categorically excluded The DECO shall establish a prescribed and to the extent that portions of these from the NEPA requirements for further format that the responsible entity shall exempt records may become part of review in an Environmental Assessment use to prepare the EA. The DECO may IoLS, OSD hereby claims the same or an Environmental Impact Statement prescribe alternative formats as is exemptions for the records as claimed at as set forth in this part. They are not necessary to meet specific program their source (JUSTICE/FBI–001, excluded from individual compliance needs. In preparing an EA for a requirements of other environmental particular proposed project or other National Crime Information Center statutes, Executive orders, and HUD action, the responsible entity must: (NCIC)). standards cited in § 50.4, where * * * * * DATES: Comments must be received on appropriate. Where the responsible (e) Discuss the need for the proposal, or before April 28, 2014 to be official determines that any proposed appropriate alternatives where the considered by this agency. action identified below may have an proposal involves unresolved conflicts environmental effect because of concerning alternative uses of available ADDRESSES: You may submit comments, extraordinary circumstances (40 CFR resources, the environmental impacts of identified by docket number and/or RIN 1508.4), the requirements for further the proposed action and alternatives, number and title, by any of the review under NEPA shall apply (see and a listing of agencies and persons following methods: paragraph (b) of this section). consulted. • Federal Rulemaking Portal: http:// * * * * * * * * * * www.regulations.gov. Follow the ■ 4. Revise § 50.31(a) to read as follows: Dated: January 31, 2014. instructions for submitting comments. § 50.31 The EA. Shaun Donovan, • Mail: Federal Docket Management (a) The Departmental Environmental Secretary. System Office, 4800 Mark Center Drive, Clearance Officer (DECO) shall establish [FR Doc. 2014–04206 Filed 2–26–14; 8:45 am] 2nd floor, East Tower, Suite 02G09, a prescribed format used for the BILLING CODE 4210–67–P Alexandria, VA 22350–3100. environmental analysis and Instructions: All submissions received documentation of projects and activities must include the agency name and under subpart E. The DECO may DEPARTMENT OF DEFENSE docket number or Regulatory prescribe alternative formats as is Information Number (RIN) for this necessary to meet specific program Office of the Secretary Federal Register document. The general needs. [Docket ID: DoD–2014–OS–0024] policy for comments and other * * * * * submissions from members of the public 32 CFR Part 311 PART 58—ENVIRONMENTAL REVIEW is to make these submissions available for public viewing on the Internet at PROCEDURES FOR ENTITIES Privacy Act; Implementation ASSUMING HUD ENVIRONMENTAL http://www.regulations.gov as they are RESPONSIBILITIES AGENCY: Office of the Secretary, DoD. received without change, including any ACTION: Proposed rule. personal identifiers or contact ■ 5. The authority citation for part 58 is information. revised to read as follows: SUMMARY: The Office of the Secretary of FOR FURTHER INFORMATION CONTACT: Ms. Authority: 12 U.S.C. 1707 note, 1715z– Defense (OSD) is amending its 13a(k); 25 U.S.C. 4115 and 4226; 42 U.S.C. regulations to exempt portions of a new Cindy Allard at (571) 372–0461. 1437x, 3535(d), 3547, 4321–4335, 4852, system of records from certain SUPPLEMENTARY INFORMATION: 5304(g), 12838, and 12905(h); title II of Pub. provisions of the Privacy Act.

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Executive Order 12866, ‘‘Regulatory List of Subjects in 32 CFR Part 311 the fact and nature of the investigation, Planning and Review’’ and Executive Privacy. and/or the investigative interest of Order 13563, ‘‘Improving Regulation intelligence or law enforcement and Regulatory Review’’ Accordingly, 32 CFR part 311 is agencies; compromise sensitive proposed to be amended to read as information related to national security; It has been determined that this rule follows: interfere with the overall law is not a significant rule. This rule does PART 311—[AMENDED] enforcement process by leading to the not (1) Have an annual effect on the destruction of evidence, improper economy of $100 million or more or ■ 1. The authority citation for 32 CFR influencing of witnesses, fabrication of adversely affect in a material way the part 311 continues to read as follows: testimony, and/or flight of the subject; economy; a sector of the economy; could identify a confidential source or productivity; competition; jobs; the Authority: Pub. L. 93–579, 88 Stat. 1986 disclose information which would (5 U.S.C. 522a). environment; public health or safety; or constitute an unwarranted invasion of ■ State, local, or tribal governments or 2. Section 311.8 is amended by adding another’s personal privacy; reveal a communities; (2) Create a serious paragraph (c)(21) as follows: sensitive investigative or intelligence inconsistency or otherwise interfere § 311.8 Procedures for exemptions. technique; or constitute a potential with an action taken or planned by danger to the health or safety of law * * * * * another Agency; (3) Materially alter the enforcement personnel, confidential (c) * * * budgetary impact of entitlements, informants, and witnesses. Amendment (21) System identifier and name: grants, user fees, or loan programs, or of these records would interfere with DMDC 16 DoD, Interoperability Layer the rights and obligations of recipients ongoing counterterrorism, law Service (IoLS). thereof; or (4) Raise novel legal or policy enforcement, or intelligence (i) Exemption: To the extent that issues arising out of legal mandates, the investigations and analysis activities copies of exempt records from JUSTICE/ President’s priorities, or the principles and impose an impossible FBI–001, National Crime Information set forth in these Executive orders. administrative burden by requiring Center (NCIC) are entered into the investigations, analyses, and reports to Public Law 96–354, ‘‘Regulatory Interoperability Layer Systems records, be continuously reinvestigated and Flexibility Act’’ (5 U.S.C. Chapter 6) the OSD hereby claims the same revised. exemptions, (j)(2) and (k)(3), for the It has been determined that this rule (D) From subsection (e)(1) because it records as claimed in JUSTICE/FBI–001, for does not have significant economic is not always possible to determine National Crime Information Center impact on a substantial number of small what information is relevant and (NCIC). Pursuant to 5 U.S.C. 552a entities because it is concerned only necessary to complete an identity portions of this system that fall within with the administration of Privacy Act comparison between the individual (j)(2) and (k)(3) are exempt from the systems of records within the seeking access and a known or following provisions of 5 U.S.C. 552a, Department of Defense. A Regulatory suspected terrorist. Also, because DoD section (c)(3) and (4); (d); (e)(1) through Flexibility Analysis is not required. and other agencies may not always (3); (e)(4)(G) through (I); (e)(5) and (8); know what information about an Public Law 95–511, ‘‘Paperwork (f); and (g) (as applicable) of the Act. encounter with a known or suspected Reduction Act’’ (44 U.S.C. Chapter 35) (ii) Authority: 5 U.S.C. 552a(j)(2) and terrorist will be relevant to law (k)(3). enforcement for the purpose of This rule does not contain any (iii) Reasons: (A) From subsection information collection requirements conducting an operational response. (c)(3) because making available to a (E) From subsection (e)(2) because subject to the Paperwork Reduction Act record subject the accounting of application of this provision could of 1995 (44 U.S.C. 3501 et seq.). disclosure from records concerning him present a serious impediment to Section 202, Public Law 104–4, or her would specifically reveal any counterterrorism, law enforcement, or ‘‘Unfunded Mandates Reform Act’’ investigative interest in the individual. intelligence efforts in that it would put Revealing this information could the subject of an investigation, study, or It has been determined that this rule reasonably be expected to compromise analysis on notice of that fact, thereby does not involve a Federal mandate that ongoing efforts to investigate a known or permitting the subject to engage in may result in the expenditure by State, suspected terrorist by notifying the conduct designed to frustrate or impede local and tribal governments, in the record subject that he or she is under that activity. The nature of aggregate, or by the private sector, of investigation. This information could counterterrorism, law enforcement, or $100 million or more and will not also permit the record subject to take intelligence investigations is such that significantly or uniquely affect small measures to impede the investigation, vital information about an individual governments. e.g., destroy evidence, intimidate frequently can be obtained only from Executive Order 13132, ‘‘Federalism’’ potential witnesses, or flee the area to other persons who are familiar with avoid or impede the investigation. such individual and his/her activities. Executive Order 13132 requires (B) From subsection (c)(4) because In such investigations, it is not feasible regulations be reviewed for Federalism portions of this system are exempt from to rely upon information furnished by effects on the institutional interest of the access and amendment provisions of the individual concerning his own states and local governments, and if the subsection (d). activities. effects are sufficiently substantial, (C) From subsection (d) because these (F) From subsection (e)(3) to the preparation of the Federal assessment is provisions concern individual access to extent that this subsection is interpreted required to assist senior policy makers. and amendment of certain records to require DoD to provide notice to an The amendments will not have any contained in this system, including law individual if DoD or another agency substantial direct effects on state and enforcement, counterterrorism, receives or collects information about local governments within the meaning investigatory, and intelligence records. that individual during an investigation of the EO. Therefore, no Federalism Compliance with these provisions could or from a third party. Should this assessment is required. alert the subject of an investigation of subsection be so interpreted, exemption

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from this provision is necessary to avoid subject, and record amendment Regional Office official hours of impeding counterterrorism, law procedures. business are Monday through Friday, enforcement, or intelligence efforts by (K) From subsection (g) to the extent 8:30 a.m. to 4:30 p.m., excluding putting the subject of an investigation, that the system is exempt from other Federal holidays. specific subsections of the Privacy Act. study, or analysis on notice of that fact, Please see the direct final rule which thereby permitting the subject to engage Dated: February 21, 2014. is located in the Rules section of this in conduct intended to frustrate or Aaron Siegel, Federal Register for detailed impede the activity. Alternate OSD Federal Register Liaison instructions on how to submit (G) From subsection (e)(4)(G), Officer, Department of Defense. comments. (e)(4)(H), and (e)(4)(I) (Agency [FR Doc. 2014–04273 Filed 2–26–14; 8:45 am] Requirements) because portions of this BILLING CODE 5001–06–P FOR FURTHER INFORMATION CONTACT: system are exempt from the access and Michael Leslie, Environmental amendment provisions of subsection Engineer, Control Strategies Section, Air (d). ENVIRONMENTAL PROTECTION Programs Branch (AR–18J), (H) From subsection (e)(5) because the AGENCY Environmental Protection Agency, requirement that records be maintained Region 5, 77 West Jackson Boulevard, with attention to accuracy, relevance, 40 CFR Part 52 Chicago, Illinois 60604, (312) 353–6680, timeliness, and completeness could [email protected]. unfairly hamper law enforcement [EPA–R05–OAR–2013–0645; FRL–9907–07– processes. It is the nature of law Region 5] SUPPLEMENTARY INFORMATION: In the enforcement to uncover the commission Approval and Promulgation of Air Rules section of this Federal Register, of illegal acts at diverse stages. It is often Quality Implementation Plans; EPA is approving Wisconsin’s SIP impossible to determine initially what Wisconsin; Transportation Conformity submittal as a direct final rule without information is accurate, relevant, timely, Procedures prior proposal because the Agency and least of all complete. With the views this as a noncontroversial passage of time, seemingly irrelevant or AGENCY: Environmental Protection submittal and anticipates no adverse untimely information may acquire new Agency (EPA). comments. A detailed rationale for the significance as further details are ACTION: Proposed rule. approval is set forth in the direct final brought to light. rule. If no adverse comments are SUMMARY: The Environmental Protection (I) From subsection (e)(8) because the received in response to this rule, no Agency (EPA) is proposing to approve a requirement to serve notice on an further activity is contemplated. If EPA individual when a record is disclosed revision submitted by the State of receives adverse comments, the direct under compulsory legal process could Wisconsin on August 1, 2013, for the final rule will be withdrawn and all unfairly hamper law enforcement purpose of establishing transportation public comments received will be processes. It is the nature of law conformity (conformity) criteria and enforcement that there are instances procedures related to interagency addressed in a subsequent final rule where compliance with these provisions consultation, and the enforceability of based on this proposed rule. EPA will could alert the subject of an certain transportation related control not institute a second comment period. investigation of the fact and nature of and mitigation measures. This revision Any parties interested in commenting the investigation, and/or the replaces Wisconsin’s conformity State on this action should do so at this time. investigative interest of intelligence or Implementaion Plan (SIP) that was Please note that if EPA receives adverse law enforcement agencies; compromise approved on August 27, 1996. comment on an amendment, paragraph, sensitive information related to national DATES: Comments must be received on or section of this rule and if that security; interfere with the overall law or before March 31, 2014. provision may be severed from the enforcement process by leading to the ADDRESSES: Submit your comments, remainder of the rule, EPA may adopt destruction of evidence, improper identified by Docket ID No. EPA–R05– as final those provisions of the rule that influencing of witnesses, fabrication of OAR–2013–0645, by one of the are not the subject of an adverse testimony, and/or flight of the subject; following methods: comment. For additional information, reveal a sensitive investigative or 1. www.regulations.gov: Follow the see the direct final rule which is located intelligence technique; or constitute a on-line instructions for submitting in the Rules section of this Federal potential danger to the health or safety comments. Register. of law enforcement personnel, 2. Email: [email protected]. Dated: February 10, 2014. confidential informants, and witnesses. 3. Fax: (312) 692–2450. (J) From subsection (f) because 4. Mail: Pamela Blakley, Chief, Susan Hedman, requiring the Agency to grant access to Control Strategies Section, Air Programs Regional Administrator, Region 5. records and establishing agency rules Branch (AR–18J), U.S. Environmental [FR Doc. 2014–04167 Filed 2–26–14; 8:45 am] for amendment of records would Protection Agency, 77 West Jackson BILLING CODE 6560–50–P unfairly impede the agency’s law Boulevard, Chicago, Illinois 60604. enforcement mission. To require the 5. Hand Delivery: Pamela Blakley, confirmation or denial of the existence Chief, Control Strategies Section, Air of a record pertaining to a requesting Programs Branch (AR–18J), U.S. individual may in itself provide an Environmental Protection Agency, 77 answer to that individual relating to the West Jackson Boulevard, Chicago, existence of an on-going investigation. Illinois 60604. Such deliveries are only The investigation of possible unlawful accepted during the Regional Office activities would be jeopardized by normal hours of operation, and special agency rules requiring verification of the arrangements should be made for record, disclosure of the record to the deliveries of boxed information. The

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DEPARTMENT OF TRANSPORTATION New Jersey Avenue SE., Washington, Executive Order 13563 requires agencies DC 20590–0001. If you submit to review existing rules to determine if Office of the Secretary of comments by mail and would like to they are outmoded, ineffective, Transportation know that they reached the facility, insufficient, or excessively burdensome. please enclose a stamped, self-addressed To facilitate this review, Executive 14 CFR Chapters I, II, III envelope or postcard. Order 13563 requires each agency to • Hand Delivery or Courier: West develop and submit to the Office of 23 CFR Chapters I, II, III Building, Ground Floor, Room W12– Management and Budget’s Office of 140, 1200 New Jersey Avenue SE., Information and Regulatory Affairs a 46 CFR Chapter II Washington, DC between 9 a.m. and 5 preliminary plan for retrospectively p.m. ET., Monday through Friday, analyzing existing rules. The 48 CFR Chapter 12 except Federal holidays. Department complied with this • Fax: 202–493–2251. requirement with the release of a Plan 49 CFR Chapters I, II, III, V, VI, VII, VIII, To avoid duplication, please use only for Implementation of Executive Order X, XI one of these four methods. All 13563, available on the Department’s Web site for regulations at http:// [Docket No. DOT–OST–2014–0024] comments received will be posted without change to http:// www.dot.gov/regulations. As Executive Next Phase of the Regulatory Review www.regulations.gov and will include Order 13563 reaffirms, the regulatory of Existing DOT Regulations any personal information you provide. process must be transparent and provide Docket: To read background opportunities for public participation. AGENCY: Office of the Secretary of documents or comments received, go to The Department particularly believes, Transportation (OST), DOT. http://www.regulations.gov and click on given its broad regulatory responsibility, ACTION: Notice and request for the ‘‘read comments’’ box in the upper this participation should extend to the comments. right-hand side of the screen. Then, in Department’s obligations under the the ‘‘Keyword’’ box insert ‘‘DOT–OST– Executive Order to continue the SUMMARY: In accordance with Executive 2014–0024’’ and click ‘‘Search.’’ Next, retrospective review of existing Order 13563, ‘‘Improving Regulation click the ‘‘Open Docket Folder’’ in the regulations. Continued meaningful and Regulatory Review,’’ the ‘‘Actions’’ column. Finally, in the review requires continued input from Department of Transportation ‘‘Title’’ column, click on the document those affected by the Department’s (Department, DOT, or we) is conducting you would like to review. If you do not regulations. a review of its existing regulations to have access to the Internet, you may DOT’s Regulatory Responsibility evaluate their continued validity and view the docket online by visiting the determine whether they are crafted The mission of the Department is to Docket Management Facility in Room serve the United States by ensuring a effectively to solve current problems. W12–140 on the ground floor of the On February 16, 2011, the Department safe, fast, efficient, accessible, and DOT West Building, 1200 New Jersey convenient transportation system that began a process to review existing Avenue SE., Washington, DC 20590, regulations, which included a public meets our vital national interests and between 9 a.m. and 5 p.m., Monday enhances the quality of life of the meeting and various other opportunities through Friday, except Federal holidays. to solicit public comments. That process American people, today and into the FOR FURTHER INFORMATION CONTACT: resulted in a Plan for Implementation of future. The Department carries out its Kathryn Sinniger, Assistant General Executive Order 13563 that was released mission through the Office of the Counsel for Regulation and in August 2011. Additionally, the Secretary (OST) and the following Enforcement, Department of Department has regularly updated the operating administrations (OAs): Transportation, 1200 New Jersey list of regulations that are under review Federal Aviation Administration (FAA); Avenue SE., Washington, DC 20590; or further study and provided updates Federal Highway Administration (202) 493–0908. Email: on timing of the review. The latest (FHWA); Federal Motor Carrier Safety [email protected]. update was released in January 2014 Administration (FMCSA); Federal and can be found at http:// SUPPLEMENTARY INFORMATION: Railroad Administration (FRA); Federal Transit Administration (FTA); Maritime www.reginfo.gov. (See Appendix D of Executive Order 13563 the Department’s semi-annual Administration (MARAD); National Regulatory Agenda.) In continuing this On January 18, 2011, President Highway Traffic Safety Administration effort, the Department again invites the Obama issued Executive Order 13563, (NHTSA); Pipeline and Hazardous public to comment on the next phase of which outlined a plan to improve Materials Safety Administration its retrospective regulatory review regulation and regulatory review (76 FR (PHMSA); and St. Lawrence Seaway process. 3821, Jan. 21, 2011). Executive Order Development Corporation (SLSDC). 13563 reaffirms and builds upon Although the Surface Transportation DATES: Comments should be received on governing principles of contemporary Board (STB) is a component of DOT, it or before March 31, 2014. Late-filed regulatory review, including Executive is organizationally independent and, as comments will be considered to the Order 12866, ‘‘Regulatory Planning and a result, the Department does not have extent practicable. Review’’ (58 FR 51735, Oct. 4, 1993), by responsibility for the STB’s regulatory ADDRESSES: You may submit comments requiring Federal agencies to design agenda. to Docket No. DOT–OST–2014–0024 by cost-effective, evidence-based DOT has statutory responsibility for a any of the following methods: regulations that are compatible with wide range of regulations. For example, • Federal eRulemaking Portal: Go to economic growth, job creation, and DOT regulates safety issues in the http://www.regulations.gov and follow competitiveness. The President’s plan aviation, motor carrier, railroad, motor the instructions for sending your recognizes that these principles should vehicle, commercial space, and pipeline comments electronically. guide the Federal government’s transportation areas. DOT regulates • Mail: Docket Management Facility; approach not only to new regulation, aviation consumer and economic issues, U.S. Department of Transportation, 1200 but to existing ones as well. To that end, and provides financial assistance and

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writes the necessary implementing rules with potential savings, and we of a notice and request for comment in for programs involving highways, committed to further study of public the Federal Register, before the idea is airports, mass transit, the maritime commenter recommendations further included in a DOT draft preliminary industry, railroads, and motor before deciding on the appropriate retrospective review plan with a request transportation and vehicle safety. DOT action. You can find this list of rules as for comment. We would like your writes regulations carrying out such Attachment 2 to our 2011 final plan, thoughts on whether this idea is disparate statutes as the Americans with located at http://www.dot.gov/ preferable, and if so how much time Disabilities Act and the Uniform Time regulations/retrospective-review-and- should be allowed for each stage Act. Finally, DOT has responsibility for analysis-existing-rules. (listening sessions, additional public developing policies that implement a workshops, and/or publication of a Public Participation and Request for wide range of regulations that govern notice and request for comment on the Comments programs such as acquisition and grants suggestions for retrospective review). management, access for people with DOT is an active regulatory agency Please send suggestions as to which disabilities, environmental protection, with broad regulatory responsibilities, OAs and/or cross-cutting issues could energy conservation, information thus a robust regulatory program is benefit from this more in-depth technology, occupational safety and essential to our mission. For this reason, retrospective review, including your health, property asset management, it is all the more important that we rationale. seismic safety, security, and the use of maintain a consistent culture of 5. We also seek other alternatives for aircraft and vehicles. retrospective review and analysis. We how to implement this second round of have determined that it is time to begin DOT’s Existing Process for Reviewing retrospective review and your reason for a second round of retrospective review, Rules supporting the alternative(s). even as the first round of reviews begun The Department has long recognized under Executive Order 13563 are being Regulatory Notices that there should be no more regulations completed. Privacy Act: Anyone may search the than necessary and those that are issued Unlike the first round of retrospective electronic form of comments received should be simple, comprehensible, and review under Executive Order 13563, into any of our dockets by the name of impose only as much burden as is where the Department solicited the individual submitting the comment necessary. Likewise, the Department suggestions for specific rules that (or signing the comment, if submitted understands that review and revision of should be on the list of candidate rules on behalf of an association, business, existing regulations is essential to for review, the Department is looking for labor union, etc.) You may review ensure that they continue to meet the your suggestions on how this round DOT’s complete Privacy Act Statement needs for which they originally were should be managed and your reasons for in the Federal Register published on designed and that they remain cost- your suggestions. April 11, 2000 (65 FR 19477–78), or you effective and cost justified. The 1. Should DOT simply publish a may visit http://www.gpoaccess.gov/fr/ Department regularly makes a notice in the Federal Register asking for browse.html and browse under 2000 for conscientious effort to review its rules suggestions for specific existing rules to April 11, looking under the heading in accordance with the Department’s be reviewed, as we did during the initial ‘‘Department of Transportation.’’ 1979 Regulatory Policies and round? Authority: 5 U.S.C. 610; E.O. 13563, 76 FR Procedures (44 FR 11034, Feb. 26, 2. Should DOT focus on the 56 rules 1979), Executive Order 12866, and 3821, Jan. 21, 2011; E.O. 12866, 58 FR 51735, identified in the 2011 plan as having Oct. 4, 1993. section 610 of the Regulatory Flexibility potential savings? Or are there any Act, 5 U.S.C. 610. particular rules from that list that Issued on February 19, 2014, in Washington, DC. In 2011, in response to Executive should be? Order 13563, the Department decided to 3. Should DOT publish a notice and Kathryn B. Thomson, improve its plan by adding special request for comment in the Federal Acting General Counsel. oversight processes within the Register— [FR Doc. 2014–04008 Filed 2–26–14; 8:45 am] Department; encouraging effective and a. Focusing instead on the existing BILLING CODE 4910–9X–P timely reviews, including providing regulations of one or more specific OAs? additional guidance on particular If so, which OA(s) and why? problems that warrant review; and b. Focusing instead on one or more FEDERAL COMMUNICATIONS expanding opportunities for public cross-cutting issues such as access rules COMMISSION participation. The Department merged or drug and alcohol testing? If so, which the results of the retrospective review of cross-cutting issues and why? 47 CFR Part 73 existing rules that was initially c. Focus on a combination of one or [MM Docket Nos. 01–229 and 01–231; conducted pursuant to Executive Order more specific OA(s) and specific cross- Report No. 2994] 13563 and the other special reviews that cutting issue(s)? If so, which and why? were to be conducted, into a 10-year 4. One other idea would be to hold a Petition for Reconsideration of Action review plan to provide a simpler series of listening sessions announced in Rulemaking Proceeding resource for the public and a more in the Federal Register, each one effective tool for oversight and tailored to a specific OA or cross-cutting AGENCY: Federal Communications management of the Department’s issue. Ideas developed at these sessions Commission. retrospective reviews of rules. could be developed at additional public ACTION: Petition for reconsideration. The Department’s 2011 final plan workshops (e.g., if the OA has an listed 79 existing rules for which the authorized advisory committee (such as SUMMARY: A Petition for Reconsideration Department had already undertaken or FRA’s Railroad Safety Advisory has been filed in the Commission’s proposed actions that promise Committee chartered under the Federal Rulemaking proceedings by Edward significant savings in terms of money Advisory Committee Act), at workshops Czelada. and burden hours. In addition, the under the auspices of that advisory DATES: Oppositions to the Petition must Department identified 56 other rules committee), and/or through publication be filed on or before March 14, 2014.

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Replies to an opposition must be filed Endangered and Threatened Plants. This Supervisor, Ventura Fish and Wildlife on or before March 24, 2014. action is based on a review of the best Office, 2493 Portola Road, Suite B, ADDRESSES: Federal Communications available scientific and commercial Ventura, CA 93003; telephone 805–644– Commission, 445 12th Street SW., information, which indicates that both 1766; facsimile 805–644–3958. If you Washington, DC 20554. species no longer meet the definition of use a telecommunications device for the deaf (TDD), call the Federal Information FOR FURTHER INFORMATION CONTACT: an endangered species, and further do Relay Service (FIRS) at 800–877–8339. Andrew J. Rhodes, 202–418–2700. not meet the definition of a threatened species, under the Endangered Species SUPPLEMENTARY INFORMATION: SUPPLEMENTARY INFORMATION: This is a Act of 1973, as amended (Act). This Executive Summary summary of Commission’s document, proposed rule, if made final, would Report No. 2994, released December 19, remove these plants from the List of Species addressed. Oenothera avita 2013. The full text of Report No. 2994 Endangered and Threatened Plants. This ssp. eurekensis (now accepted as is available for viewing and copying in document also constitutes our 12-month Oenothera californica subsp. Room CY–B402, 445 12th Street SW., finding on a petition to remove both eurekensis; Eureka Valley evening- Washington, DC or may be purchased species from the List of Endangered and primrose) and Swallenia alexandrae from the Commission’s copy contractor, Threatened Plants. We are seeking (Eureka dune grass) are endemic to three Best Copy and Printing, Inc. (BCPI) (1– information and comments from the dune systems in the Eureka Valley, Inyo 800–378–3160). public regarding this proposed rule. County, California. Eureka Valley falls Subject: In the Matter of Amendment DATES: We will accept comments within federally designated wilderness of Section 73.202(b), Table of received or postmarked on or before within Death Valley National Park, and Allotments, FM Broadcast Stations April 28, 2014. We must receive is managed accordingly by the National (Caseville and Pigeon, Michigan) (MM requests for public hearings, in writing, Park Service (Park Service). Docket No. 01–229). Purpose of the Regulatory Action. at the address shown in the FOR FURTHER In the Matter of Amendment of This document constitutes our 12- INFORMATION CONTACT section by April Section 73.202(b), Table of Allotments, month finding in response to a petition 14, 2014. FM Broadcast Stations (Harbor Beach to delist Eureka Valley evening- and Lexington, Michigan) (MM Docket ADDRESSES: Comment submission: You primrose and Eureka dune grass, and we No. 01–231). may submit comments by one of the are proposing to remove both plants Number of Petitions Filed: 1. following methods: from the Federal List of Endangered and (1) Electronically: Go to the Federal Federal Communications Commission. Threatened Plants. eRulemaking Portal: http:// Basis for the Regulatory Action. Marlene H. Dortch, www.regulations.gov. In the Search box, Under the Endangered Species Act of Secretary, Office of the Secretary, Office of enter Docket No. FWS–R8–ES–2013– 1973, we may be petitioned to list, Managing Director. 0131, which is the docket number for delist, or reclassify a species. Under the [FR Doc. 2014–04325 Filed 2–26–14; 8:45 am] this rulemaking. Then, in the Search Act, a species may be determined to be BILLING CODE 6712–01–P panel on the left side of the screen, an endangered species or threatened under the Document Type heading, species because of any of five factors: click on the Proposed Rules link to (A) The present or threatened DEPARTMENT OF THE INTERIOR locate this document. You may submit destruction, modification, or a comment by clicking on ‘‘Comment curtailment of its habitat or range; (B) Fish and Wildlife Service Now!’’ Overutilization for commercial, (2) By hard copy: Submit by U.S. mail recreational, scientific, or educational 50 CFR Part 17 or hand-delivery to: Public Comments purposes; (C) Disease or predation; (D) [Docket No. FWS–R8–ES–2013–0131; Processing, Attn: FWS–R8–ES–2013– The inadequacy of existing regulatory FXES11130900000–145–FF09E42000] 0131; Division of Policy and Directives mechanisms; or (E) Other natural or Management; U.S. Fish and Wildlife manmade factors affecting its continued RIN 1018–AW04 Service; 4401 N. Fairfax Drive, MS existence. We must consider the same 2042–PDM; Arlington, VA 22203. Endangered and Threatened Wildlife factors in delisting a species. We may We request that you send comments and Plants; Removing Oenothera avita delist a species if the best scientific and only by the methods described above. ssp. eurekensis and Swallenia commercial data indicate the species is We will post all comments on http:// alexandrae From the Federal List of neither threatened nor endangered for www.regulations.gov. This generally Endangered and Threatened Plants one or more of the following reasons: (1) means that we will post any personal The species is extinct, (2) The species AGENCY: Fish and Wildlife Service, information you provide us (see the has recovered and is no longer Interior. Information Requested section below for endangered or threatened, or (3) The ACTION: Proposed rule and 12-month more information). original scientific data used at the time petition finding. Document availability: You may the species was classified were in error. obtain copies of the proposed rule and The primary threat to Eureka Valley SUMMARY: We, the U.S. Fish and related documents (including a copy of evening-primrose and Eureka dune grass Wildlife Service (Service), propose to the Background Information document at the time of listing was off-highway remove Oenothera avita ssp. eurekensis (Service 2014, entire) referenced vehicle (OHV) activity at Eureka Dunes (now accepted as Oenothera californica throughout this proposed rule) at (43 FR 17910; April 26, 1978); although subsp. eurekensis, with a common name http://www.regulations.gov under not specifically stated in the final listing of Eureka Valley evening-primrose, Docket No. FWS–R8–ES–2013–0131, or rule, this also presumes a lesser degree Eureka evening-primrose, or Eureka at the Ventura Fish and Wildlife Office’s of impacts from camping that were Dunes evening-primrose) and Swallenia Web site at http://www.fws.gov/ associated with OHV activity on and alexandrae (with a common name of ventura/. around the dunes. Habitat protections Eureka dune grass or Eureka Valley FOR FURTHER INFORMATION CONTACT: and ongoing management by the Bureau dune grass) from the Federal List of Stephen P. Henry, Deputy Field of Land Management (BLM; up until

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1994) and Park Service (since 1994) may adversely affect or benefit the We will schedule public hearings on since listing have resulted in plants. this proposal, if any are requested, and amelioration of the threats identified at (6) New information or data on the announce the dates, times, and places of listing. Of the remaining potential projected and reasonably likely impacts those hearings, as well as how to obtain impacts, which consist of herbivory, to Eureka Valley evening-primrose and reasonable accommodations, in the seed predation, stochastic events, Eureka dune grass associated with Federal Register and local newspapers climate change, and (specifically for climate change. at least 15 days before the hearing. Eureka Valley evening-primrose) (7) What should be included in a post- Peer Review competition with Russian thistle, one or delisting monitoring plan for the more may be causing stress to a species, including length of monitoring In accordance with our joint policy on population (or portions of a population) period, monitoring intervals, what peer review published in the Federal of either species. However, the stress monitoring techniques are appropriate, Register on July 1, 1994 (59 FR 34270), caused by those potential impacts are triggers and thresholds for additional we will seek the expert opinions of at not of sufficient imminence, intensity, monitoring or initiating status reviews, least three appropriate and independent or magnitude to rise to the level that and so forth. specialists regarding this proposed rule. they would cause either Eureka Valley Please include sufficient information A discussion of additional information evening-primrose or Eureka dune grass with your submission (such as scientific related to this proposed rule—including to be a threatened species (i.e., likely to journal articles or other publications) to (but not limited to) information on life become an endangered species within allow us to verify any scientific or history, taxonomy, genetics, seed bank the foreseeable future). commercial information you include. ecology, survivorship and demography, Please note that submissions merely rangewide distribution, and abundance Information Requested stating support for or opposition to the surveys—is presented in the We intend any final action resulting action under consideration without Background Information document from this proposal will be based on the providing supporting information, (Service 2014) available at http:// best scientific and commercial although noted, will not be considered www.regulations.gov (Docket No. FWS– information available, and be as in making a determination, as section R8–ES–2013–0131). The purpose of peer accurate and as effective as possible. 4(b)(1)(A) of the Act directs that review is to ensure that decisions are Therefore, we request comments or determinations as to whether any based on scientifically sound data, information from other governmental species is an endangered or threatened assumptions, and analyses. The peer agencies, tribes, the scientific species must be made ‘‘solely on the reviewers will conduct assessments of community, industry, or other basis of the best scientific and the proposed rule, and the specific interested parties concerning this commercial data available.’’ assumptions and conclusions regarding proposed rule. We particularly seek You may submit your comments and the proposed delisting. These comments concerning: materials concerning this proposed rule assessments will be completed during (1) Reasons why we should or should by one of the methods listed in the the public comment period. not delist Eureka Valley evening- ADDRESSES section. We request that you We will consider all comments and primrose and Eureka dune grass under send comments only by the methods information we receive during the the Act (16 U.S.C. 1531 et seq.). described in the ADDRESSES section. If comment period on this proposed rule (2) New biological or other relevant you submit information via http:// as we prepare the final determination. data concerning any threat (or lack www.regulations.gov, your entire Accordingly, the final decision may thereof) to these plants. submission—including any personal differ from this proposal. (3) New information concerning the identifying information—will be posted Previous Federal Actions range, distribution, and population size on the Web site. If your submission is of both Eureka Valley evening-primrose made via a hardcopy that includes Consideration of Federal protection and Eureka dune grass. Additionally, we personal identifying information, you for Eureka Valley evening-primrose and are seeking information to aid in may request at the top of your document Eureka dune grass began when the determining trends for both species, that we withhold this information from Secretary of the Smithsonian Institution, particularly in light of varying public review. However, we cannot as directed by section 12 of the Act, methodologies employed since listing guarantee that we will be able to do so. prepared a report on native plants (e.g., transects, photopoints, grid We will post all hardcopy submissions considered to be endangered, systems), the need to extrapolate on http://www.regulations.gov. threatened, or extinct in the United anticipated future rangewide trends, Comments and materials we receive, States. This report (House Doc. No. and the need to utilize the best as well as supporting documentation we 94–51) was presented to Congress on methodologies possible for future used in preparing this proposed rule, January 9, 1975, and included Eureka monitoring, including post-delisting will be available for public inspection Valley evening-primrose and Eureka monitoring. on http://www.regulations.gov, or by dune grass as endangered. On July 1, (4) New information on the effects of appointment, during normal business 1975, we published a notice in the other potential threat factors, including hours, at the U.S. Fish and Wildlife Federal Register (40 FR 27823) changes in the distribution and Service, Ventura Fish and Wildlife accepting the report as a petition within abundance of populations, disease, Office (see FOR FURTHER INFORMATION the context of section 4(c)(2) (now predation by small mammals, or CONTACT). section 4(b)(3)) of the Act and of our negative effects resulting from the intention to review the status of the presence of invasive, nonnative species Public Hearings plant taxa (groups of distinct (particularly Salsola spp. (Russian Section 4(b)(5) of the Act provides for populations considered separate from thistle)). one or more public hearings on this other such groups, such as species and (5) New information and data on the proposal, if requested. Requests must be subspecies) named therein. On June 16, current or planned activities within the received no later than April 14, 2014. 1976, we published a proposed rule in ranges of Eureka Valley evening- Send your request to the address shown the Federal Register (41 FR 24523) to primrose and Eureka dune grass that in FOR FURTHER INFORMATION CONTACT. determine approximately 1,700 vascular

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plant taxa, including Eureka Valley the petition and information in our files for the Eureka Valley, and other evening-primrose and Eureka dune provided substantial information background information of Eureka grass, to be endangered species pursuant indicating that delisting may be Valley evening-primrose’s and Eureka to section 4 of the Act. On April 26, warranted, announced that we were dune grass’s life history, taxonomy, 1978, we published a final rule to list 11 initiating status reviews for these taxa, genetics, seed bank ecology, plant taxa as endangered, including and requested scientific and commercial survivorship and demography, Eureka Valley evening-primrose and data and other information regarding rangewide distribution, and abundance Eureka dune grass, and 2 plant taxa as these taxa from governmental agencies, surveys, as well as additional threatened (43 FR 17910); critical Native American Tribes, the scientific information on the threats that may be habitat was not designated. community, industry, and any other impacting both species. On July 7, 2005, we published a interested parties. We received one Eureka Valley evening-primrose and notice indicating our intent to initiate letter from the public that provided Eureka dune grass are endemic (unique 5-year status reviews for 31 species, additional information relevant to to a geographic area) to the sand dunes including Eureka Valley evening- Eureka dune grass (Bell 2011). of Eureka Valley (Figure 1), which primrose and Eureka dune grass (70 FR On March 27, 2013, the Pacific Legal occurs within Death Valley National 39327), and requested that the public Foundation filed a lawsuit challenging Park, Inyo County, California. Three provide us information within 60 days. our failure to issue the required 12- dune systems occur in Eureka Valley On November 3, 2005, we published a month findings in response to their and are located between the Last Chance notice extending the comment period to petition. Pursuant to a settlement Mountains to the east, the Saline January 3, 2006 (70 FR 66842). We did agreement approved by the court on Mountains to the south, and the Inyo not receive any information from the August 5, 2013, and revised by a court Mountains to the west and north public regarding Eureka Valley evening- order on December 19, 2013, we must (Rowlands 1982, p. 2). The Eureka primrose or Eureka dune grass during deliver 12-month findings for the Dunes parallel the Last Chance either comment period. Five-year Eureka Valley evening-primrose and Mountains (Service 1982, p. 12) and are reviews were completed for both taxa on Eureka dune grass to the Federal the largest of the three dunes, covering September 24, 2007 (Service 2007a, b). Register by February 21, 2014. a total area of about 2,003 acres (ac) (811 Based on the best available information This document constitutes our 12- hectares (ha)) (Service 2013a based on at that time, we concluded that both month finding on the petition to delist Shovik 2010). The Saline Spur and taxa no longer met the definition of an Eureka Valley evening-primrose and Marble Canyon Dunes, two smaller endangered species, and further do not Eureka dune grass, and we are dune systems, cover an area of about meet the definition of a threatened proposing to delist the two taxa, which 238 ac (96 ha) and 610 ac (247 ha), species, under the Act, and we would remove them from the List of respectively (Service 2013a based on recommended their removal from the Endangered and Threatened Plants. Shovik 2010). Saline Spur Dunes and List of Endangered and Threatened Marble Canyon Dunes, including a Plants. Background southern extension of Marble Canyon On May 18, 2010, we received a For this proposal, we conducted a Dunes known as the unnamed site, are petition dated May 13, 2010, from the scientific analysis as presented in this located approximately 4 miles (mi) (6.4 Pacific Legal Foundation requesting that document and supplemented with kilometers (km)) and 9 mi (14.4 km) the Service delist Eureka Valley additional information presented in the west of Eureka Dunes (Bagley 1986, p. evening-primrose and Eureka dune Background Information document 4). The southern extension of Marble grass. The petition was based on the (Service 2014, entire; available at http:// Canyon Dunes (the unnamed site) was analysis and recommendations www.regulations.gov, Docket No. FWS– previously treated as a separate dune contained in our 2007 5-year status R8–ES–2013–0131). The Background system, but we refer to this area and the reviews for these taxa. On January 19, Information document was prepared by rest of the dune system as the Marble 2011, we published a 90-day finding (76 Service biologists to provide additional Canyon Dunes. See additional FR 3069) in which we concluded that discussion of the environmental setting discussion in Service 2014 (pp. 4–7).

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Eureka Valley Evening-Primrose April and July. Under optimal conditions, a parent rosette may become conditions, recruits (first-year plants) ringed with smaller rosettes. In years Species Description, Taxonomy, and can bloom in the year in which they Life History with unfavorable climatic conditions, germinate (Pavlik 1979a, p. 66). In established plants may remain dormant Eureka Valley evening-primrose is a general, evening-primrose species are and persist underground by their fleshy short-lived perennial in the evening- pollinated by hawkmoths, butterflies, roots. Therefore, the number of above- primrose family (Onagraceae). It forms and bees (Gregory 1963, pp. 387, 398, ground plants observed in any year rosettes for the first 1 or 2 years, then 403, 407; Moldenke 1976, pp. 322, 346, represents only a portion of the develops decumbent or ascending stems 358). Following the blooming period, population. up to 8 decimeters (31.5 inches (in)) the elongated stems die back and are high. Plants produce clusters of white buried by shifting sands. Plants Pavlik and Barbour (1985, pp. 15, 21) fading-to-pink flowers, which continue sometimes bloom again in the fall with note that Eureka Valley evening- to be produced as long as conditions are additional summer or fall rains (Pavlik primrose is capable of abundant and favorable. 1979a, p. 53; 1979b, p. 89). Eureka precocious seed production. Eureka The taxon was listed as Oenothera Valley evening-primrose also has the Valley evening-primrose has seed avita (W.M. Klein) W.M. Klein subsp. ability to reproduce clonally (produce characteristics that provide mechanisms eurekensis (Munz and J.C. Roos) W.M. new individuals through vegetative to ensure some seeds remain near the Klein (Klein 1965, p. 116). However, growth rather than by seed), which parent plant and some seeds disperse far since that time, the accepted scientific provides a vegetative means for from the parent plant. These name (Wagner 1993, p. 803; Wagner reproduction (Pavlik 1979a, p. 68; characteristics ensure that there is a 2002, p. 395; Wagner et al. 2007, p. 180; Pavlik and Barbour 1986, p. 84; Pavlik potential source of seed to supplement Wagner 2012, p. 952; CNPS 2013) has and Barbour 1988, p. 240). existing populations or establish new been and will be treated in this Abundance and timing of rainfall populations. Under laboratory document as O. californica subsp. appear to be important not only for conditions, seeds may remain viable at eurekensis, and referred to as Eureka germination, but for successful least 8 years (Pavlik and Barbour 1986, Valley evening-primrose throughout the recruitment of individuals into the pp. 31, 36, 81). However, seed age or remainder of this document. population; sufficient rainfall for exposure to unfavorable conditions The plant spends most of the year as germination in the fall months needs to (such as heat and moisture) can reduce a small rosette of leaves (Pavlik 1979a, be followed by additional rainfall events seed viability (Pavlik and Barbour pp. 47–49, 52; 1979b, pp. 87–88). In during the winter months for (1986, p. 31). Some seeds may also be April and May, plants undergo rapid recruitment to occur. After several lost and unavailable for future stem elongation and bloom between consecutive years of favorable recruitment. This may occur if wind

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disperses seeds outside of suitable map of this species is from 1976 (BLM locations. Overall, the presence and habitat. 1976, p. 16). However, the most recent absence maps generated between 2007 Age-class distribution, survival, and distribution maps generated in 2007 and and 2013 are more precise than any mortality of Eureka Valley evening- 2008 (Park Service 2008a) and between previously generated maps because the primrose were examined by Pavlik and 2011–2013 (Park Service 2011a, 2012a, Park Service implemented a Barbour (1985, 1986). Research results 2013a) are the most detailed and standardized survey method and created indicate that despite the observed high accurate. a grid system that allowed them to note mortality of young plants, short-lived Eureka Valley evening-primrose specific changes in the distribution of cohorts (plants produced from a given occupies the stabilized, gentle dune the Eureka Valley evening-primrose. On year’s reproduction that do not survive slopes extending out onto the shallower a small scale, the usefulness of to the following year) produced large sand fields bordering the dune systems comparing recent maps with historical amounts of seed when compared to of Eureka Valley (Bagley 1986, p. 10; maps is limited because the 2007–2013 cohorts with high survivorship (plants Service 1982, p. 7). We have previously maps only reflect the above-ground produced from a given year’s described in our 5-year status review expression, which shows extreme reproduction that have a high rate of (Service 2007a, Appendix A) the spatial annual variation of the species for those survival to the following year), which distribution of Eureka Valley evening- particular years. On a large scale, produced relatively smaller amounts of primrose and the surveys that occurred however, these recent maps indicate seed (Pavlik and Barbour 1986, p. 10). following listing of the species and up that the populations are still present in Consequently, years with low plant to the late 1990s. Therefore, we are the same general locations that they survival potentially produce seed limiting our discussion in this proposed were known from at the time of listing numbers equal to or better than years rule to the new information collected and at the time of our 2007 5-year status with high survival. Coupled with the from the Park Service’s monitoring review. contribution of vegetative reproduction program from 2007 to 2013, which was (i.e., production of rosettes from not available at the time of the 5-year Abundance Surveys and Population branched rootstock), this copious seed status review. Estimates production may compensate for short Since 2007, new information on the Abundance data for Eureka Valley lifespans and high mortality observed species distribution (specifically, the evening-primrose have been collected by Pavlik and Barbour (1986, p. 14). above-ground expression of rosettes and by various parties and entities between Monitoring efforts were initiated by flowering individuals) has been 1974 and 2013. However, it is difficult the Park Service in the Eureka Valley in provided by the Park Service (Park to compare older and newer data sets 2007, but this level of monitoring is not Service 2008a, 2010a; 2011a; 2011b; due to the annual fluctuation in the expected to continue if the species is 2012a; 2013a). As part of its survey above-ground distribution of Eureka delisted (Cipra and Fuhrmann 2013). efforts, the Park Service has mapped the Valley evening-primrose, as well as Between 2010 and 2013, a combined extent of Eureka Valley evening- differences in methodology and scale. effort by the U.S. Geological Survey primrose at the southern end of Marble Consequently, estimating total (USGS) and Chow (Chow and Klinger Canyon Dunes (i.e., the unnamed site), population size is difficult at best. 2013, entire) implemented an additional which had not been fully documented Additionally, we have no information monitoring protocol for Eureka Valley previously. In summary, the above- regarding population size of Eureka evening-primrose. These monitoring ground distribution of Eureka Valley Valley evening-primrose at the time of efforts provided information on Eureka evening-primrose may vary significantly listing; abundance surveys (which could Valley evening-primrose’s population from year to year (such as comparisons be used to estimate population size) structure (life-history stages), spatial of data between 2007 and 2013, the prior to listing were limited to the north distribution, and abundance. However, latter of which captured a mass end of Eureka Dunes. Therefore, we due to differences in methods for life germination event that occurred on the cannot determine how populations may stage classification and estimating sand flats of Eureka Dunes in March have changed over time and across the spatial extent, and because neither the 2013 (Park Service 2013a, pp. 5, 8)). range of the species since listing. Park Service or USGS tracked the These variations require us to rely on Our evaluation of the Park Service’s survivorship of individual plants, we more than a single survey event (i.e., we 2011 data set (which is the only year of cannot make a direct comparison rely on a composite over time of its data collected that allows a comparison between these monitoring efforts and general habitat and distribution) to across three different survey methods) the study conducted by Pavlik and determine how much habitat the species indicates the estimated number of Barbour (1986, entire) in the 1980s. occupies. Additionally, Eureka Valley Eureka Valley evening-primrose Consequently, we cannot determine if evening-primrose’s distribution may individuals (i.e., above-ground current populations of Eureka Valley vary geographically within the same expression) is within the range of 8,409 evening-primrose exhibit similar year, as observed at the Saline Spur and to 15,357 (see ‘‘Abundance Surveys and survival rates observed by Pavlik and Marble Canyon Dunes in 2008 and 2013 Population Estimates—Eureka Valley Barbour (1986). However, assuming (Park Service 2013a, pp. 4, 5, 12, 14). evening-primrose’’ section of the Eureka Valley evening-primrose Quantifying changes in the Background Information document populations continue to experience high distribution of Eureka Valley evening- (Service 2014, pp. 26–30)). The Park mortality among recruits, recruitment primrose since listing by comparing Service also estimated the total from one year to the next is likely low. historical and current distribution maps population size in 2011 to be 8,028 is challenging due to the varying individuals (which included a slight Rangewide Distribution methods used to collect data, the level recalculation from the previous As stated above in the Background of detail that was achieved with those estimate), and in 2013 to be 21,286 section, all known, extant populations methods, and survey intensity. individuals (Park Service 2013a, p. 7), of Eureka Valley evening-primrose However, comparing historical and the latter of which documents a occur within Eureka Valley in Death current distribution maps can indicate, substantial increase in the above-ground Valley National Park (see Figure 1, over a long time period, if the expression of plants following a mass above). The first known distribution population has persisted in certain germination event observed on the sand

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flats to the east and northeast of the above-ground distribution of the species infrequently, typically in response to Eureka Dunes (Park Service 2013a, pp. for that particular year. rainfall during the summer months 4, 8; Chow and Klinger 2013, p. 4). Park (5) The Eureka Valley evening- (Pavlik and Barbour 1986, pp. 47–59). staff theorized that a localized rainstorm primrose exhibits high annual variation, The following information on Eureka may have triggered germination, so the estimated population size will dune grass seedbank ecology is available because other locations for Eureka vary depending on the data collected related to seed production, dispersal, Valley evening-primrose did not within a given year. seed fate (based on wind dispersal and respond similarly, and because (6) These population estimates seed predation), viability, and substantial rainfall was not documented include both reproductive and germination: • by weather stations surrounding Eureka nonreproductive individuals; we do not The amount of Eureka dune grass Valley (Park Service 2013a, p. 14). The know how many nonreproductive seed produced per individual increases USGS and Chow (Chow and Klinger individuals survive to flower and set with canopy size, which means that 2013, pp. 4–5) theorized that the mass seed. larger individuals may contribute more seed to the seed bank (Pavlik and germination event may be the result of Eureka Dune Grass higher soil moisture in this area because Barbour 1985, p. 14). Compared to other of soil texture or higher runoff due to Species Description, Taxonomy, and perennial grass species, Eureka dune the location’s close proximity to the Last Life History grass produces low numbers of seeds Chance mountain range. Although a per individual (Pavlik and Barbour Eureka dune grass is a perennial, 1986, p. 30); this low seed production ‘‘high’’ average density of plants was hummock-forming (development of noted in the month of March at the sand could be due to the inefficiency of wind mounds of windblown soil at the base pollination and the low density of flats, a follow-up visit in May indicated of plants on dune landscapes) grass that most of these had disappeared; of individuals across the dunes (Pavlik and comprising a monotypic genus (genus Barbour 1985, p. 17). those that survived, most had failed to containing only one single species) of • flower or set seed (Park Service 2013a, Eureka dune grass seeds with floral the grass family (Poaceae). The coarse, bracts may disperse long distances p. 15; Cipra 2013, pers. comm.). USGS stiff stems reach 20 in (50 cm) in height, whereas seeds without floral bracts may also noted that a lower proportion of and the lanceolate leaves are tipped remain near the parent plant (Pavlik and individuals were in the reproductive with a sharp point (DeDecker 1987, p. Barbour 1985, pp. 40–41). Long-distance stage at this location (Chow and Klinger 2). Flowers are clustered in spike-like seed dispersal is important in forming 2013, pp. 4, 5). This information panicles and produce seeds that are 0.16 new or supplementing existing indicates that occasional mass in (4 millimeter (mm)) long and 0.08 in populations (although wind dispersal germination events do occur, although (2 mm) wide (Bell and Smith 2012, p. could send seeds outside of suitable such events do not necessarily result in 1496). The root system becomes fibrous habitat and thus make them unavailable successful recruitment of all individuals and extensive over time and can give for future recruitment). In contrast, into the population. It also demonstrates rise to adventitious stems. Based on its seeds remaining near the parent plant how the above-ground expression of morphological characteristics and are important in supplementing existing Eureka Valley evening-primrose can taxonomic affinities, the species is populations. fluctuate substantially over a short thought to be a relictual species, which • Seed predation may occur from period of time. exists as a remnant of a formerly widely insects and rodents. The amount of Although information on abundance distributed group in an environment predation by scale insects and rodents and long-term population trends are that is now different from where it was first studied by Pavlik and Barbour limited in spatial extent, the best originated. (1985, 1986). Pavlik and Barbour’s available data indicate (as stated above) Eureka dune grass is dormant during (1985, p. 59) preliminary observations that the Eureka Valley evening-primrose the winter and begins to produce new in 1985 indicated a small percentage population is estimated to be in the shoot growth around February. Growth (less than 2 percent) of pre-dispersal thousands. However, it also is important accelerates in May, with flowering from seed predation occurred by scale to note that actual population sizes may April to June and seed dispersal insects, whereas in 1986, they (Pavlik vary greatly from the estimates between May and July (Pavlik 1979a, and Barbour 1986, p. 32; 1988, pp. 233– described above for the following pp. 47–49; Pavlik 1979b, p. 87; Service 234) found that 14 percent of Eureka reasons: 1982, pp. 4–6). Like all grass taxa, the dune grass seeds (without floral bracts) (1) The size of the area on which flowers of Eureka dune grass are wind- and 6 percent of disseminules (seeds densities were calculated is small (i.e., pollinated and therefore do not rely on with floral bracts) were removed 1-ha monitoring plots or line transects) insect pollinators. Eureka dune grass overnight by rodents. However, these in comparison to the size of the area to does not appear to propagate asexually data were only collected from the north which the densities are being (Pavlik and Barbour 1985, p. 4); end of Eureka Dunes. Therefore, we extrapolated (i.e., the dune systems). therefore, sexual reproduction is cannot determine if the level of insect (2) Because Eureka Valley evening- considered to be the dominant form of and rodent predation observed by Pavlik primrose is clonal and exhibits a reproduction for this species. and Barbour (1985, 1986) on seeds somewhat clumped distribution, it is Individuals have been observed to occurs across the range of the species or often difficult to count individuals, and continue growing for at least 12 years how it may affect the population due to in general it is difficult to estimate the with no signs of senescence (Henry n.d., the limited scope and duration of the true population size (i.e., individuals pers. comm. in Pavlik and Barbour study. However, given the species can be both underestimated and 1986, p. 11), and likely can grow for continues to occupy the same general overestimated). decades; older individuals form large distribution, it does not appear that the (3) Different survey methods will hummocks that can reach on the order level of seed predation is causing result in different estimates of of 2,500 cubic decimeters (88 cubic feet; population-level declines. abundance. extrapolated from Pavlik and Barbour • Under laboratory conditions, seeds (4) The density data used to estimate (1988, p. 229)). Germination of new may remain viable for at least 8 years the 2011 population size only reflect the individuals appears to occur (Pavlik and Barbour 1986, pp. 31–32;

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1988, p. 233). However, seed age or Using survivorship data from the Rangewide Distribution exposure to unfavorable conditions such demographic study described above, as heat and moisture can reduce seed Pavlik and Barbour (1986, p. 11) As stated above in the Background viability (Pavlik and Barbour 1986, pp. attempted to compare potential section, all known, extant populations 31–32). persistence of Eureka dune grass with of Eureka dune grass occur within Eureka Valley in Death Valley National • An important factor in the other perennial grass species and two Park (see Figure 1, above). The first persistence of Eureka dune grass may be other Eureka Valley endemic plants (i.e., known distribution map of this species the mass germination and establishment Eureka Valley evening-primrose and is from 1976 (BLM 1976, p. 16). of Eureka dune grass seedlings (Pavlik Astragalus lentiginosus var. micans However, the most recent maps and Barbour 1986, p. 55), particularly (shining milk-vetch)). Although the generated in 2007 and 2008 (Park from seeds in the seed bank. These mass comparisons were limited in scope and Service 2008a) and between 2011 and germination events are likely dependent duration, Pavlik and Barbour (1986, p. 2013 (Park Service 2011a, 2012a, 2013a) on rare, above-average rainfall during 11) estimate that the established are the most detailed and accurate. the summer months (Pavlik and Barbour population of Eureka dune grass might 1986, p. 51). For instance, the extremely persist for 88 years in the absence of Eureka dune grass occupies the gentle wet conditions in July 1984 led to the recruitment. However, based on study to relatively steep slopes of the Eureka mass germination and establishment of limitations, including use of data Dunes, and variable terrain of Saline Eureka dune grass seedlings in 1984 and collected following a rare mass Spur and Marble Canyon Dunes (Pavlik 1985; these favorable climatic germination event, this number may be 1979a, pp. 35–36; Pavlik 1979b, p. 47; conditions occurred only once in the an overestimate. Service 1982, p. 4). At the time of previous 90 years (Pavlik and Barbour Similar to Eureka Valley evening- listing, there were three known 1986, p. 54). More frequent climatic primrose (see Eureka Valley Evening- populations of Eureka dune grass within events that occur every 11 to 15 years primrose section, above), monitoring of Eureka Valley, with the majority of the may result in smaller germination and Eureka dune grass was initiated in 2007 distribution on the Eureka Dunes (43 FR establishment events, which may serve (Park Service 2008a, entire). These 17910; April 26, 1978). As mentioned to supply new individuals and replace monitoring efforts have provided above, although additional plants were those individuals that are lost through information on Eureka dune grass subsequently discovered and described senescence (Pavlik and Barbour 1986, p. population structure (life-history at the southern end of Marble Canyon 54). stages), spatial distribution, and Dunes, these are considered and A demographic study was initiated in abundance. Results indicate that the described within this document as part 1985 (Pavlik and Barbour 1985, entire; majority of the Eureka dune grass of the Marble Canyon Dunes population. 1986, entire) to better understand how population was in its reproductive stage We have previously described in our population attributes affected local (33 to 66 percent) and a very small 2007 5-year status review the spatial abundance and persistence of Eureka percent (0 to 3 percent) was in the distribution of Eureka dune grass and dune grass; the study tracked the fate of nonreproductive seedling stage (Park the surveys that occurred following seedlings established in 1984 (1984 Service 2008a, p. 13). Due to differences listing of the species and up to the cohort), as well as mature and senescent in how life stage classifications were 1990s (Service 2007b, Appendix A). individuals. However, we note two made and in spatial extent of study Therefore, we are limiting our constraints to these data: (1) The study areas, we cannot make a direct discussion in this proposed rule to the was spatially restricted to the north comparison between the study new information collected from the Park slope of the Eureka Dunes and thus is conducted by Pavlik and Barbour (1985, Service’s monitoring program from 2007 not representative of the entire range of 1986) and Bagley (1986) and the to 2013, which was not available at the the species; and (2) The study was information collected by the Park time of the 5-year status review. carried out over a 2-year period that Service (Park Service 2008a). Quantifying changes in the included a year with very high rainfall Additionally, the Park Service did not distribution of Eureka dune grass since that triggered a mass germination event track the survivorship of individual listing by comparing historical and followed by a year with very low plants; therefore, we cannot determine if current distribution maps is challenging rainfall. Thus, the conclusions current populations of Eureka dune due to the varying methods used to generated from this study may not be grass exhibit similar survival rates collect data, the level of detail that was representative of the population’s observed by Pavlik and Barbour (1986, achieved with those methods, and response over a longer period of time. pp. 9–10; 1988, p. 225) in the 1980s. survey intensity. However, comparing Given these constraints, results indicate Even so, information collected by Pavlik historical and current distribution maps that 24 percent of the 1984 cohort and Barbour (1985, 1986), Bagley (1986), can indicate, over a long time period, if survived to develop into hummocks and and the Park Service (2008a) indicate the population has declined or 92 percent of the mature and senescent that: (1) Though the age-distribution increased in certain locations. Overall, plants survived (Pavlik and Barbour within the population varies depending the presence and absence maps 1986, pp. 9–10; 1988, p. 225). The cause on the time of data collection, adult generated between 2007 and 2013 are of mortality among recruits was plants typically make up the majority of more precise than any previously attributed to uprooting and damage from the population; and (2) Recruitment generated maps because the Park windstorms (Pavlik and Barbour 1986, from year to year is likely low, but high Service implemented a standardized p. 9; 1988, p. 225). A follow-up survey recruitment each year is probably not survey method and created a grid in 1987 found more than 90 percent of necessary for the population to persist system that allowed them to note the 1984 cohort alive and growing because of the long lifespan and high specific changes in the distribution of (Pavlik and Barbour 1988, p. 225). This survivorship of the plants once they are the Eureka dune grass. Additionally, as information indicates that once young established. Ultimately, population part of its survey efforts, the Park plants become established, survival persistence will depend on the Service has mapped the extent of Eureka rates may be equal to that of mature and replacement of adult and senescent dune grass at the southern end of senescent plants. plants with new recruits. Marble Canyon Dunes (i.e., the

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unnamed site), which had not been fully (Park Service 2012a, 2013a). In 2013, the dune grass individuals is clearly documented previously. Park Service (2013a, p. 4) noted dead noticeable from a visual inspection, it is Based on the life history of Eureka and dying hummocks on the northeast difficult to quantify this reduction in dune grass (see ‘‘Eureka Dune Grass and southwest side of Eureka Dunes, terms of estimating changes in Biology’’ section of the Background which is consistent with the change in population distribution, densities, or Information document, Service 2014, distribution observed in the Park abundance. Additionally, without other pp. 13–14), there is likely minimal Service’s (2013a, p. 4) analysis at Eureka quantitative data to assist in annual variation in the distribution of Dunes. Based on the Park Service’s 2013 interpretation, it is difficult to Eureka dune grass because this species map, we calculated that 86 ac (35 ha) of distinguish whether visual changes is long-lived, and mortality of young the surface of the 2,003-ac (811-ha) represent local shifts in distribution and plants (once they become established) is Eureka Dunes (less than 4.3 percent) is density or rangewide changes in the relatively low and decreases with age. occupied by Eureka dune grass (Service population. Because our analysis is Consequently, to quantify changes in 2013b, unpublished data). While this limited to only a portion of the range of the distribution of Eureka dune grass new mapping effort will help refine the species, we cannot determine what that have occurred since listing, we existing monitoring, this information is changes in distribution and abundance compared the Park Service’s 2013 limited in use because (to date) it only have occurred over this same time distribution map to older maps (i.e., represents 2 years of data at two period across the rest of the species’ maps from the BLM (1976) and locations on one of three dunes where range within Eureka Valley. DeDecker (1979)). Again, those caveats the species occurs. If the Park Service On a small scale, the usefulness of mentioned previously (i.e., differences conducts additional mapping surveys in comparing recent maps with historical in survey methods, level of detail, the future, new data could be more maps is limited because of the higher survey intensity) make comparing useful to help determine how the precision that was possible in the 2007 distribution maps spanning a 37-year distribution of Eureka dune grass is to 2013 surveys. Overall and on a large period difficult; however, these changing over time. scale, however, the most recent maps comparisons yield information indicate that Eureka dune grass (3) We inspected photopoints taken at regarding areas where the changes in the populations are still present in the same Eureka Dunes as early 1974 to those in distribution of the population may have general locations that they were known 2013 in an attempt to observe possible occurred. Based on our evaluation of from at the time of our 2007 5-year changes in Eureka dune grass current and historical distribution maps, status review. the distribution of Eureka dune grass at abundance and distribution over time. Abundance Surveys and Population Eureka Dunes appears relatively Our visual inspection indicates a Estimates unchanged, and it continues to occupy reduction, or in some cases a loss, in the habitat across the entire dune system, visible Eureka dune grass individuals Developing population estimates for including habitat at the southern end of (especially in the number of large Eureka dune grass is challenging. We Marble Canyon Dunes (i.e., the reproductive plants) at the north and have no information regarding unnamed site), which had not been fully southwest end of Eureka Dunes, and population size at the time of listing, documented previously. portion of Marble Canyon Dunes. We and abundance surveys (which could be Because the current Eureka dune grass also calculated what proportion of the used to estimate population size) prior distribution maps may not capture what dunes were represented by the to listing were limited to the northern is occurring on a small scale (such as ‘‘viewshed’’ in the photopoints to end of Eureka Dunes. Data collected localized declines in the density of determine to what extent the observed since listing that could be used to plants) or the area occupied by the reduction represented conditions for the estimate the abundance or population species, three additional analyses were species dunewide. Results indicate that size of Eureka dune grass vary in conducted. approximately 670 ac (271 ha), or 33.4 methods, study areas, timing, and (1) Using distribution data between percent of the Eureka Dunes was visible environmental conditions. Abundance 2007 and 2013, the Park Service (2013a, in the photopoints taken from the north data have been collected by various entire) calculated changes in the and south end of the dune (Service parties and entities between 1974 and number of 1-ha grid cells occupied by 2013c, unpublished data). Repeat 2013 (e.g., Henry 1976; Bagley 1986; Eureka dune grass. Results showed a photopoints were also made at a portion Park Service 2008a, 2010a, 2011a, decrease in the number of grid cells of Marble Canyon Dunes. The 2011b, 2012a, 2013a). It is difficult to occupied at Eureka Dunes, and no photopoints captured 130 ac (53 ha) out compare these data sets primarily due to change at Marble Canyon and Saline of a total 610 ac (247 ha) of the Marble the use of different methodologies used Spur Dunes (Park Service 2013a, pp. 4, Canyon Dunes, which constituted 21 and because the earlier efforts were 5). Specifically at Eureka Dunes in 2012, percent of the dune and showed a limited in spatial extent. Therefore, we Eureka dune grass was present at 397 similar visible reduction in the Eureka cannot determine how Eureka dune cells as compared to 446 cells in in dune grass individuals over time. While grass populations may have changed 2007; in 2013, Eureka dune grass was our ‘‘viewshed’’ analysis likely over time and across the range of the present at 390 cells (Park Service 2013a, overestimates the area visible from these species since listing. Nevertheless, as p. 4). Thus, a change in Eureka dune photopoints, it represents our best discussed above for Eureka Valley grass distribution is evident at one estimate of the area covered by these evening-primrose, there is some location, but not represented across the repeat photopoints. The observation that usefulness to calculating these range of the species at this time. a portion of the population at the north estimations as they provide an (2) In 2012 and 2013, the Park Service and southwest end of Eureka Dunes and approximation of the size of each of the mapped individual clumps of Eureka part of Marble Canyon Dunes may be populations over time. dune grass on Eureka Dunes to help experiencing a decline in the abundance Park Service (2008a) data (e.g., track the fate of individual clumps over and distribution of large, reproductive resurveys of Henry (1976) and Bagley time and to further ground-truth the 1- individuals may be important if these (1986) transects) provide the most site- ha plot GPS-referenced grid system individuals are not replaced. However, specific comparison at this point in study employed between 2007 and 2013 while a reduction in visible Eureka time, identifying statistically significant

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declines in Eureka dune grass at the individuals in 2013 (Park Service 2013a, Secretary determine whether a species north end of Eureka Dunes (Park Service p. 7). Based on this information, is endangered or threatened (or not) 2008b, pp. 5–6 and 17–18), which thousands of Eureka Dune grass because of one or more of five threat indicate a reduced number of large, individuals exist, and the number was factors. Section 4(b) of the Act requires reproductive Eureka dune grass relatively stable across the 2 years that the determination be made ‘‘solely individuals in this portion of Eureka compared. on the basis of the best scientific and Dunes. Additionally, photopoint Finally, it is important to note that commercial data available.’’ Therefore, comparisons over time at the north and these population estimates are recovery criteria should help indicate southwest end of Eureka Dunes and a extrapolations; therefore, the true when we would anticipate an analysis portion of Marble Canyon Dunes also population size may vary greatly for the of the five threat factors under section indicate a loss of large, reproductive following reasons: 4(a)(1) would result in a determination individuals at these locations. Because (1) The size of the area on which that a species is no longer an large reproductive individuals abundance counts were calculated is endangered species or threatened contribute disproportionately to the small (i.e., 1-ha monitoring plots or species because of any of the five seed bank (see ‘‘Ecology—Eureka dune estimates of relative density within the statutory factors. grass’’ section of the Background grid system) in comparison to the size Thus, while recovery plans provide Information document, Service 2014), of the area to which the densities are important guidance to the Service, the loss of these individuals could affect being extrapolated (i.e., the dune States, and other partners on methods of the extent of seed bank available for systems). minimizing threats to listed species and future recruitment, at least at these (2) Because Eureka dune grass measurable objectives against which to exhibits a somewhat clumped locations where losses have been measure progress towards recovery, they distribution, it is often difficult to count indicated. Finally, between 2007 and are not regulatory documents and individuals, and in general it is difficult 2010, the Park Service also recorded the cannot substitute for the determinations to estimate the true population size (i.e., number of individuals in four life stages and promulgation of regulations individuals can be both underestimated (i.e., vegetative, reproductive, seedling, required under section 4(a)(1) of the and senescent) within monitoring plots and overestimated). (3) These population estimates Act. A decision to revise the status of or (a subset of the grid system) in an include both reproductive and remove a species from the Federal List attempt to provide a better nonreproductive individuals; we do not of Endangered and Threatened Plants understanding of population density know the abundance of reproductive (50 CFR 17.12) is ultimately based on an and detect possible changes in individuals within the population. analysis of the best scientific and population size. Because mortality is Regardless of these limitations in commercial data then available to high in Eureka dune grass individuals extrapolating population estimates for determine whether a species is no until they become established and Eureka Dune grass, the best available longer an endangered species or a reproductive individuals are necessary data indicate the species continues to threatened species, regardless of to maintain the seedbank, we are persist within Eureka Valley across its whether that information differs from interested in knowing how the number range (and as stated above, we have no the recovery plan. of reproductive individuals changes information regarding population size at In 1982, we finalized the Eureka over time. However, it is difficult to the time of listing for comparison, with Valley Dunes Recovery Plan, which determine how the number of population surveys prior to listing being included both Eureka Valley evening- individuals changes over time because it limited to the northern end of Eureka primrose and Eureka dune grass is difficult to classify and count Dunes). Currently, Eureka Dune grass is (Recovery Plan; Service 1982). individuals, there were a small number known to persist at all three dunes and Following guidance in effect at that of plots established at each dune, and is represented by thousands of time, the Recovery Plan did not include the Park Service only monitored these individuals at each of these locations criteria that specifically addressed the plots for 3 years. per the best data available from the Park point at which threats identified for Because of the limitations identified Service. each species would be removed or above, as well as the fact that previous sufficiently ameliorated. Instead, the studies documenting the abundance of Recovery and Recovery Plan Recovery Plan identified two objectives, Eureka dune grass were limited to the Implementation each with specific recovery tasks, to north end of Eureka Dunes (and thus Section 4(f) of the Act directs us to consider Eureka Valley evening- may not be representative of the species’ develop and implement recovery plans primrose and Eureka dune grass for abundance at Eureka Dunes or at the for the conservation and survival of downlisting to threatened status, and other dunes), we are only using data endangered and threatened species eventually, delisting (Service 1982, pp. from the monitoring plots established by unless we determine that such a plan 26–41). These two objectives are: the Park Service (Cipra in litt. 2011) at will not promote the conservation of the (1) Restore the Eureka dune grass and all three dunes (i.e., survey data from species. Under section 4(f)(1)(B)(ii), the Eureka Valley evening-primrose to 2011 and 2013) to provide a population recovery plans must, to the maximum threatened status by protecting extant estimate for Eureka dune grass. For the extent practicable, include: ‘‘Objective, populations from existing (i.e., in 1982) same reasons as presented above for measurable criteria which, when met, and potential human threats. Eureka Valley evening-primrose, in would result in a determination, in (2) Determine the number of order to compare survey methods across accordance with the provisions of individuals, populations, and acres of years prior to 2013, we only used 2011 [section 4 of the Act], that the species habitat necessary for each species to data (i.e., the most complete data set be removed from the list.’’ However, maintain itself without intensive prior to 2013 that included habitat-wide revisions to the list (adding, removing, management, in a vigorous, self- surveys of all three dunes in the same or reclassifying a species) must reflect sustaining manner within their natural year). The Park Service estimated the determinations made in accordance historical dune habitat (estimated 6,000 total population size to be 8,014 with sections 4(a)(1) and 4(b) of the Act. ac (2,428 ha)) and implement recovery individuals in 2011, and 8,176 Section 4(a)(1) requires that the tasks to attain these objectives.

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Objective 1: Restore the Eureka dune determine whether they could be of herbivory on Eureka Valley evening- grass and the Eureka Valley evening- considered recovered as opposed to primrose (Chow and Klinger 2013; primrose to threatened status by meeting either the definition of an Chow in litt. 2011). protecting extant populations from endangered species or the definition of (8) Monitoring photopoint stations existing (i.e., in 1982) and potential a threatened species, and more over time, starting in 1985, and retaken human threats importantly to attain the desired at various intervals (Park Service 2008c, Objective 1 is intended to remove demographic levels necessary for 2011b). existing human threats to populations of recovery. While we have not yet As a result of the considerable work Eureka Valley evening-primrose and developed precise values for all of the that has been undertaken to understand Eureka dune grass through enforcement various demographic characteristics that the population dynamics and life of existing laws and regulations, and help us determine whether the removal histories of these two species, we management of human access to Eureka of threats have the desired effect (e.g., consider the intent of Objective 2 has Valley (Service 1982, p. 26). At the time stable populations, positive growth), been partially met. Based on our review of listing, the primary threat to both both species still occupy all three dune of the Recovery Plan and the species was off-highway vehicle (OHV) systems, and the best available information obtained from the various activity, and a lesser threat was camping monitoring data indicate thousands of surveys and research activities that have on and around the dunes (43 FR 17910; plants are present at each dune system. occurred to date, we conclude that the April 26, 1978). Since listing, potential Additionally, the best available status of the habitat for Eureka Valley evening-primrose and Eureka dune grass human threats have included other information indicates that the BLM and has improved due to activities that have recreational activities such as Park Service have sufficiently been implemented by BLM and the Park sandboarding and horseback riding. minimized OHV and other recreation Various land management activities activities that were previously Service. The effects of these activities on have been implemented by the BLM impacting the populations and their the status of the two taxa are discussed (prior to Park Service acquisition of the habitat. Even though the precise values in further detail below. Eureka Valley area in 1994) and the Park of all demographic characteristics are Summary of Factors Affecting the Service (since 1994). All of the dune not known, we note that many research Species systems within Eureka Valley have also and monitoring efforts have occurred for both species since the time of listing Section 4 of the Act and its been designated as Federal wilderness implementing regulations (50 CFR part areas. A number of management (unless otherwise noted), which have provided information on the life-history 424) set forth the procedures for listing activities have been implemented to species, reclassifying species, or support the long-term protection of needs of both Eureka Valley evening- primrose and Eureka dune grass, as well removing species from listed status. Eureka Valley evening-primrose and ‘‘Species’’ is defined by the Act as Eureka dune grass within the Federal as potential impacts to both species, including (but not limited to) the including any species or subspecies of wilderness area, including (but not fish or wildlife or plants, and any limited to): making OHV activity illegal; following studies: (1) Conducting a series of studies on distinct population segment of any conducting patrols to enforce laws, species of vertebrate fish or wildlife regulations, and restrictions; closing and both species to investigate effects of pollination on seed set, seed ecology, which interbreeds when mature (16 restoring unauthorized roads; installing U.S.C. 1532(16)). A species may be interpretative signs, barriers, and species’ demography, and plant and animal interactions (herbivory, seed determined to be an endangered or wilderness boundary signs; and threatened species because of any one or delineating and maintaining campsites predation, and dispersal) (Pavlik and Barbour 1985, 1986). a combination of the five factors (Park Service 2008b, 2009, 2010b). described in section 4(a)(1) of the Act: Additionally, various education and (2) Establishing baseline conditions for monitoring trends of both species (A) The present or threatened public outreach (e.g., public awareness destruction, modification, or program, interpretive displays) has been across all three dune systems (Bagley 1986). curtailment of its habitat or range; (B) conducted to reduce overall impacts to overutilization for commercial, the species. Because all three (3) Studying the genetic diversity of all Eureka dune grass populations (Bell recreational, scientific, or educational populations occur within Federal purposes; (C) disease or predation; (D) wilderness areas that are now protected 2003). (4) Conducting partial distribution the inadequacy of existing regulatory against the threats identified as surveys of both species on portions of mechanisms; or (E) other natural or imminent at the time of listing and in various dunes (Beymer in litt. 1997a; human made factors affecting its the Recovery Plan, we conclude that Peterson in litt. 1998), as well as continued existence. A species may be this recovery objective has been met. documenting the distribution and reclassified or removed from the Federal Objective 2: Determine the number of abundance of Russian thistle, a potential List of Endangered and Threatened individuals, populations, and acres of competitor, across all three dune Plants (50 CFR 17.12) on the same basis. habitat necessary for each species to systems (Park Service 2011b). Determining whether the status of a maintain itself without intensive (5) Documenting distribution, species has improved to the point that management, in a vigorous, self- abundance, and demography of both it can be downlisted or delisted requires sustaining manner within their natural species (Park Service 2008a, 2008c, consideration of whether the species is historical dune habitat (estimated 6,000 2010a, 2011a, 2011b, 2012a, 2013a). endangered or threatened because of the ac (2,428 ha)) and implement recovery (6) Determining if vegetation same five categories of threats specified tasks to attain these objectives succession at the northern end of Eureka in section 4(a)(1) of the Act. For species Although this objective in the 1982 Dunes (Eureka dune grass habitat) is that are already listed as endangered or recovery plan is not the clearest associated with changes in subsurface threatened, this analysis of threats is an example of a measurable and objective hydrology (Park Service 2008c, p. 4). evaluation of both the threats currently criterion, the intent is to evaluate the (7) Investigating potential competition facing the species and the threats that status of both species with regards to between Russian thistle and Eureka are reasonably likely to affect the demographic characteristics to Valley evening-primrose, and the effects species in the foreseeable future

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following the delisting or downlisting determined that we did not have wilderness areas. Under the authority of and the removal or reduction of the sufficient information to conclude that the Wilderness Act of 1964 (16 U.S.C. Act’s protections. these impacts were a threat to the 1131 et seq.), use of mechanized A species is an ‘‘endangered species’’ continued existence of both species vehicles were no longer allowed for purposes of the Act if it is in danger (Service 2007a, pp. 11, 12–13; Service throughout the entire ranges of both of extinction throughout all or a 2007b, pp. 9, 10–11). species. This OHV prohibition significant portion of its range and is a For a detailed discussion of the throughout the range of both species, ‘‘threatened species’’ if it is likely to current status review initiated with our along with the benefits associated with become an endangered species within 2011 90-day finding (76 FR 3069), the prohibition of other activities in the foreseeable future throughout all or please see the Background Information Federal wilderness areas (e.g., a significant portion of its range. The document (Service 2014, pp. 38–65). development of new roads or structures, word ‘‘range’’ in the significant portion The following sections provide analyses use of motorized equipment), all of of its range phrase refers to the range in of the potential current or future which must be implemented by the Park which the species currently exists, and impacts to Eureka Valley evening- Service (per various laws, directives, the word ‘‘significant’’ refers to the primrose and Eureka Dune grass, and plans specific to the Park Service value of that portion of the range being including: OHV activity (Factors A and and Death Valley National Park), have considered to the conservation of the E); other recreational activities (i.e., essentially ameliorated the threat of species. The ‘‘foreseeable future’’ is the horseback riding, sandboarding, OHV activity and other ground period of time over which events or camping, and associated access routes) disturbance activities to both species. effects reasonably can or should be (Factors A and E); overutilization for Since 1994, the Park Service has anticipated, or trends extrapolated. For commercial, recreational, scientific, or documented occasional illegal OHV the purposes of this analysis, we first educational purposes (Factor B); activity in Federal wilderness areas and evaluate the status of the species herbivory and seed predation (Factor C); has proposed additional measures to throughout all its range, then consider inadequacy of existing regulatory further reduce this activity; however, whether the species is in danger of mechanisms (Factor D); competition the Park Service acknowledges that the extinction or likely to become so in any with Russian thistle (Factor E); climate remote location of the dunes and significant portion of its range. change (Factor E); and stochastic events limited resources make enforcing restrictions difficult (Park Service Brief History of Threats Analysis (Factor E). 2011b, p. 17). At the time of listing, the primary A. The Present or Threatened OHV activity could affect Eureka threat to Eureka Valley evening- Destruction, Modification, or Valley evening-primrose and Eureka primrose and Eureka dune grass was Curtailment of Its Habitat or Range dune grass habitat in multiple ways, as OHV activity at Eureka Dunes (43 FR OHV Activity evidenced from many studies that have 17910; April 26, 1978); although not occurred within dune ecosystems (such specifically stated in the final listing OHV activity generally includes 4- as Wilshire and Nakata 1976, Webb and rule, this also presumes a lesser degree wheel drive vehicular use of roads and Wilshire 1983). Physical impacts on of impacts from camping that were trails, predominantly on public lands, dunes can include compaction or associated with OHV activity on and for the purpose of touring, hunting, erosion of sandy substrates, acceleration around the dunes. By the time the fishing, or other public land use. Within of wind erosion (Gillette and Adams Recovery Plan was developed in 1982 the Eureka Valley, OHV activity was an 1983, pp. 97–109), and acceleration of (Service 1982, entire), threats to both authorized use until 1976, when BLM dune drift (Gilberston 1983, pp. 362– plants from these activities had been closed Eureka Dunes and some of the 365). OHV activity can also change the substantially ameliorated. Subsequently, surrounding area to OHVs following unique hydrologic conditions of dunes. we conducted a 5-year status review publication of the proposed rule to list Because dunes have the capacity to hold (which included an analysis of threats Eureka Valley evening-primrose and moisture for long periods of time, that affect the species) in 2007 (Service Eureka dune grass. Subsequently in disturbance of the surface sands 2007a, 2007b, entire). By this point in 1980, BLM designated Eureka Dunes resulting in exposure of moist sands time, the primary threat at the time of and some of the surrounding area as an underneath can increase moisture loss listing (OHV activity at Eureka Dunes) Area of Critical Environmental Concern from the dunes (Geological Society of had been addressed with closure of (ACEC) and began compliance America 1977, p. 4). Changes in Eureka Dunes by BLM, subsequent land monitoring and management (BLM physical and hydrologic properties of use designations, and management 1982, pp. 3–5). BLM’s efforts resulted in the dunes from heavy OHV activity measures undertaken by BLM and later few observed violations of the OHV could in turn affect the suitability of the by the Park Service (Service 2007a, pp. closures between 1979 and 1994 dune habitat for germination and 8–10, 11–12, 13; Service 2007b, pp. 5– (Service 1982, p. 24; DeDecker 1994, recruitment of seedlings, clonal 7, 9, 11). We also identified camping, Harris 1994, and Stormo 1994 in Noell expansion of existing individuals, and horseback riding, and sandboarding as 1994, p. 9). dispersal of seeds to favorable potential threats since the time of In general, the impacts to Eureka microsites. listing; however, we determined that Valley evening-primrose and Eureka The same potential OHV impacts that these activities no longer posed a threat dune grass associated with OHV activity affect dune habitat can also affect to the two species because of successful have essentially been ameliorated, in Eureka Valley evening-primrose and management implemented by the Park large part due to the designation of Eureka dune grass individual plants. Service (Service 2007a, pp. 10–12, 13; Federal wilderness areas throughout Normally, these types of impacts would Service 2007b, pp. 7–8, 11). Finally, we both species’ ranges. First, the be discussed under Factor E (Other identified potential threats to Eureka management of Eureka Valley was Natural or Manmade Factors Affecting Valley evening-primrose and Eureka transferred from BLM to the Park Its Continued Existence), but are dune grass in our 2007 5-year status Service in 1994. Subsequently in 1994, included here in the Factor A reviews, including: Russian thistle, all of the dune systems within Eureka discussion for ease of analysis. OHV predation, and stochastic events; we Valley were designated as Federal impacts to individual plants within

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dune systems and other desert information, that the Wilderness Area activity (Warren 1997, p. 143). There is ecosystems have been extensively designation, coupled with Park Service no information regarding the extent of studied (such as Bury and Luckenbach management of OHV activity and other the adverse effects that this activity had 1983, Gilbertson 1983, and Lathrop visitor uses, have significantly reduced on Eureka Valley evening-primrose or 1983). Within dunes systems, for these impacts to Eureka Valley evening- Eureka dune grass, but crushing (Factor instance, while OHV activity alters the primrose and Eureka dune grass and E) of individual Eureka dune grass physical structure and hydrology of the their habitat currently and into the plants was observed in 1997 (Beymer dunes (rendering the dune habitat less future. 1997h). Camping and access routes were first suitable for supporting individuals and Other Recreational Activities populations of the two species), it also identified as a concern to Eureka Valley affects individuals directly by shredding In addition to unauthorized OHV evening-primrose and Eureka dune grass plants or damaging root systems, activity that may occur currently (as habitat and plants as a result of thereby killing or injuring (e.g., reducing described above), other recreational observed OHV activity concentrating the reproduction or survival of activities have been known historically near the northwest corner of Eureka individuals) the plants. and currently occur (occasionally) Dunes (BLM 1982, p. 4; Service 1982, within the Eureka Dunes, including Although unauthorized OHV activity pp. 22–23). The Recovery Plan discusses horseback riding, sandboarding, has occasionally occurred on the Eureka camping and associated access routes as camping outside of designated areas, Dunes, it has not approached the levels facilitating unauthorized OHV activity, and creation of access routes. which in turn caused adverse effects to seen prior to listing Eureka Valley Camping and associated access routes habitat for both species (Service 1982, p. evening-primrose and Eureka dune grass were identified as a minor threat in the 24); although the plan does not specify, as endangered species. Management Recovery Plan because their proximity we assume these activities were actions initially taken by BLM prior to to Eureka Dunes facilitated identified as threats because the listing (i.e., closure to OHV recreation) unauthorized OHV activity (Service concentration of activity could result in and following listing of these species 1982, pg. 22, 23). Horseback riding and trampling of individual plants (Factor E) (e.g., vehicle route closures, control of sandboarding were potential threats to or alteration of habitat due to visitor use, visitor education, Eureka Valley evening-primrose and compaction or erosion (Factor A). enforcement of wilderness closures) Eureka dune grass identified after Since the time of listing, a number of have continued and increased under listing, and were discussed in the 5-year actions have been implemented to Park Service management, and all status reviews published in 2007 reduce and eliminate impacts associated populations of both species are now (Service 2007a, p. 10; Service 2007b, pp. with horseback riding, sandboarding, within designated wilderness area 78). All of these activities were camping, and establishment of where OHVs are prohibited. The discussed in our 5-year review under associated access points within and management of OHV activity through Factor A because, like OHV activity, around Eureka Valley evening-primrose land use designations (i.e., ACEC, they have the ability to have physical and Eureka dune grass habitat (e.g., Federal wilderness areas) has resulted impacts on the dune habitat (such as establishing designated wilderness areas in the near elimination of OHV activity destabilization and displacement of throughout the Eureka Valley, with on Eureka Dunes at the current time. We sands); however, these same activities attendant restrictions on the anticipate this will continue into the have the potential for damaging development of new roads and future because we expect Federal individual plants through crushing, structures, and not allowing the use of wilderness areas to remain in place trampling, and uprooting. Although motorized vehicles off designated indefinitely, and we expect the Park impacts to individual plants are more roads). The BLM and Park Service have Service’s current management to be appropriately discussed under Factor E, implemented recommendations from implemented over the next 20 years, as for ease of analysis we also discuss the Recovery Plan (e.g., establishment of well as modified periodically into the impacts to individual plants here. defined camping areas away from the future with adaptive management Although horseback riding was first dunes, transforming the northwest strategies (as demonstrated by the Park identified by the Park Service as a access point into a day-use-only area) Service’s natural resource management potential concern in the late 1990s, (Park Service 2000, p. 11; Park Service strategies to date and anticipated in the there is no information regarding the 2006, pp. 6–7), and horseback riding future per Park Service policies and extent of an impact to Eureka Valley and sandboarding have been prohibited regulations (see Factor D)). evening-primrose and Eureka dune grass since 2002 (Park Service 2002, p. 3; Additionally, the remote location, during this period, nor is there specific 2006, p. 10). The Park Service enforces inaccessibility, and wilderness status of evidence related to the adverse effects of the restrictions, including the the Saline Spur and Marble Canyon trampling by horses. Regardless, the wilderness area designation that Dunes appear to be providing sufficient Park Service considered potential prohibits OHV activity (and thus protection for dune habitats and plants adverse effects from horseback riding to potential unauthorized camping and at these locations both currently and in be similar to those of light to moderate access routes) on the dunes. Beginning the future. Although the Park Service OHV activity (as described by Pavlik in 2007, the Park Service also expanded has documented sporadic occurrences (1979a) as one to multiple tire passes a program to further increase visitor of unauthorized OHV activity, these over individual plants), which in turn compliance with the rules and occurrences are almost entirely could trample or crush (Factor E) Eureka regulations that outline authorized localized to areas on and adjacent to the Valley evening-primrose or Eureka dune activities in the Eureka Dunes, which northern end of Eureka Dunes (Beymer grass plants. includes: Conducting patrols; closing 1996; Beymer in litt. 1997b,d,g; Beymer Sandboarding became popular in the and restoring illegal roads; installing 1997c,e,f; Anderson 1998; Dellingers late 1990s, and this activity increased interpretative signs, barriers, and 1998a–c; Peterson in litt. 1998b,c; Rods within Eureka Valley specifically wilderness boundary signs; and 1998; Park Service circa 2000; Rods following an October 1997 article in delineating and maintaining campsites 2000; Park Service 2011b). Therefore, Esquire Magazine that identified Eureka (Park Service 2008b, 2009, 2010b). we conclude, based on the best available Dunes as a location to pursue this While the NPS has documented some

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unauthorized activity (e.g., overutilization for commercial, information is based on observations sandboarding, OHV activity in closed recreational, scientific, or educational from single season evaluations, and in areas) that may result in minor or purposes is not a short-term or long- the case of Pavlik and Barbour’s (1985) occasional impact to individual plants, term threat to the continued existence of studies, limited to a portion of one these are infrequent occurrences and Eureka Valley evening-primrose or population (i.e., north end of Eureka affect very small areas and are not Eureka dune grass. Dunes). spread throughout the range of either Seed predation and herbivory are C. Disease or Predation species (Beymer 1996; Beymer in litt. naturally occurring processes. We 1997b,d,g; Beymer 1997c,e,f; Anderson At the time of listing, disease and expect that both Eureka Valley evening- 1998; Dellingers 1998a–c; Peterson in predation were not identified as primrose and Eureka dune grass are litt. 1998b,c; Rods 1998; Park Service potential threats to Eureka Valley adapted to withstand some level of circa 2000; Rods 2000; Park Service evening-primrose or Eureka dune grass. herbivory and seed predation. Given 2011b). Therefore, the best available Since then, studies on both species that both species have persisted since information at this time indicates that imply that herbivory and seed predation listing (and since the studies in 1985 unauthorized OHV and other are potential threats for both species. and 1986), and continue to occupy the recreational activities, if they occur, are (1) Pavlik and Barbour (1985, pp. 62– same general distribution, it does not not causing population-level effects (as 63) concluded that jackrabbit pruning of appear that herbivory and seed compared to pre-listing levels) for either Eureka dune grass would seldom lead to predation by themselves are occurring at species currently, nor are they expected the death of mature plants; however, in such a level to cause population-level to do so in the future, in large part due contrast, pruning could remove declines or other adverse effects to to the extensive protections and branches of Eureka Valley evening- either species as a whole. Based on the management provided by the Park primrose or jackrabbits may cause best available information at this time Service. mortality of individual plants by (i.e., a single season of herbivory/seed uprooting them. Additionally, the predation study; the expectation that B. Overutilization for Commercial, pruning could have a negative effect on these species have evolved with some Recreational, Scientific, or Educational seed production if it occurs prior to level of herbivory/seed predation; and Purposes ripening and dispersal (Pavlik and that herbivory/seed predation is Utilization for commercial, Barbour 1985, pp. 60, 62–63. Pavlik and naturally occurring, and some level of recreational, scientific, or educational Barbour (1985, pp. 62–63) suggested herbivory/seed predation is expected for purposes was not identified as a threat that herbivory of Eureka Valley evening- both species), we conclude that the to Eureka Valley evening-primrose or primrose could result in a substantial observed impacts are not causing Eureka dune grass in the listing rule. loss of seeds entering the seed bank if population-level effects for either Both taxa have no known commercial or peak herbivory coincided with peak species currently, nor are they expected recreational value that we consider seed production in a given season, to do so in the future. consumptive (that is, based on physical though they noted that most seed use or removal of the plants). production occurred prior to the start of D. The Inadequacy of Existing Educational groups frequently visit intense herbivory. Regulatory Mechanisms Eureka Dunes, but we are unaware of (2) Chow (in litt. 2011) hypothesized Because the ranges of both Eureka any activities that would be considered that herbivory of Eureka Valley evening- Valley evening-primrose and Eureka consumptive use. Since listing, there primrose may affect the size, dune grass now occur entirely on Park have been three section 10(a)(1)(A) survivability, and fecundity of Service land, any potential for impacts permits issued for studies involving the individual plants. Chow (in litt. 2011) to the two species would be those from removal of plants, seeds, or plant parts. collected preliminary information on Park Service activities or from activities These studies usually involve collection the effects of herbivory at all three under their jurisdiction. Regulatory of seeds or leaves for laboratory dunes in 2011. This information mechanisms (as they relate to OHV and experiments or collection of voucher indicates that the level of herbivory other recreational activities) that protect specimens for herbaria; in each case we varies at each dune, ranging from either the Eureka Valley evening-primrose and analyzed potential impacts during the no evidence of herbivory to the Eureka dune grass habitat were permitting process and determined that complete loss of individuals (although discussed under Factor A above (i.e., the collection activities would not we note this information was limited to protections afforded currently and into jeopardize the continued existence of one season). the future as a result of the the species. Additionally, Eureka dune (3) USGS initiated a 3-year study in congressionally designated wilderness). grass seeds were collected in 2007, as 2013 that includes the potential effects These protections, taken together, part of a joint project between the Park of herbivory on the two species. First- would provide adequate regulatory Service and the Center for Plant year data indicate that herbivore damage mechanisms to prevent the Eureka Conservation to preserve germplasm (a had a strong impact on both species, Valley evening-primrose and Eureka collection of genetic resources) of with 50 to 89 percent of tagged Eureka dune grass from becoming endangered federally listed species (Fraga 2007). We dune grass stems consumed or nipped or threatened after they are removed do not consider this level of research off each month from March to July; and from the Federal List of Endangered and and collection to pose any potential up to 99 percent of the surface area of Threatened Plants. Additional threat of overutilization for either of the Eureka Valley evening-primrose regulatory mechanisms (not discussed species. Furthermore, the State of individuals consumed, contributing to above under Factor A) as they relate to California and Park Service have low survival rates at all dune sites Factors A, B, C, and E include the regulatory mechanisms in place to (Scoles-Sciulla and DeFalco 2013). following: control any potential utilization in the Although herbivory and seed (1) Organic Act of 1916 (16 U.S.C. 1, future (see also Factor D below). Any predation are documented to occur, as as amended). This Act promotes and collection of plants would require indicated above (Pavlik and Barbour regulates the use of National Parks to permits from the State of California and 1985; Chow in litt. 2011; Scoles-Sciulla conserve scenery, national and the Park Service. We conclude that and DeFalco 2013), the best available historical objects, and wildlife to

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provide for the enjoyment of current occur entirely on Park Service land, any Factor A for ease of analysis. We and future generations. Furthermore, potential for impacts to the two species conclude, based on the best available Park Service management policies (Park would be those from Park Service information, that the Wilderness Area Service 2006) interpret the Park activities or from activities under their designation, coupled with Park Service Service’s Organic Act in a manner that jurisdiction. All areas containing management of OHV activity and other prohibits the impairment of any populations of both species are within recreational activity, have significantly significant park resource. For example, congressionally designated wilderness reduced potential impacts to Eureka there is a legal mandate to conserve and (Park Service 2002). The Park Service Valley evening-primrose and Eureka protect significant park resources; has also prohibited other activities, such dune grass individuals currently and Eureka Dunes are recognized by the as sandboarding and horseback riding, into the future. See additional Park Service as a significant park that have potential adverse effects to discussion above under Factors A and resource. populations of these species (Croissant D. (2) General Management Plan (2002). in litt. 2005), and the Park Service Competition With Russian Thistle The Park Service manages the Eureka implements extensive public outreach, Valley under a broad general promotes research, and ensures Invasive, nonnative plants can management plan, which identified the enforcement of its laws and regulations potentially impact the long-term need for development of site-specific (either through patrols or potentially the persistence of endemic species. Salsola management for Eureka Valley (Park future use of a campground host) to spp. (Russian thistle) is the only Service 2002, p. 7); however, such a ensure impacts to both species are invasive, nonnative species that has plan has not yet been developed. minimized to the maximum extent spread onto the dunes in the Eureka Despite the lack of a site-specific practicable (Park Service 2002, 2006, Valley. Previous information (available management plan for the Eureka Valley, 2013b). at the time of our 2007 5-year reviews) the general management plan must be While most of these laws, regulations, was generally limited to personal consistent with the legal and and policies are not specifically directed observations and collections with no stewardship mandates outlined in toward protection of Eureka Valley specific information regarding the national and Park Service-wide laws evening-primrose and Eureka dune density or distribution of Russian and policies (Park Service 2002; Park grass, they mandate consideration, thistle. However, due to continuing Service 2006). management, and protection of concerns expressed by the Park Service (3) Wilderness and Backcountry resources that benefit these species. and other parties since 2007, we Stewardship Plan (2013). In 2013, the Additionally, these laws contribute to conducted a more thorough review of Park Service finalized its Wilderness and provide mechanisms for agency the life-history characteristics of and Backcountry Stewardship Plan and planning and implementation directed Russian thistle and the potential environmental assessment, which is specifically toward management of impacts it could have on both species, considered an implementation plan Eureka Valley evening-primrose and particularly the potential for Russian tiered from the 2002 General Eureka dune grass and their habitat. thistle to compete with Eureka Valley Management Plan. The Park Service Because most of these laws and evening-primrose and Eureka dune grass for resources such as water and selected a modification of one of the regulations are national in scope and are nutrients. alternatives (i.e., Alternative D) that not conditional on the listed status of would provide benefits to Eureka Valley Russian thistle is known to spread in the plants, we expect these laws and areas where soil has been disturbed, and evening-primrose and Eureka dune regulatory mechanisms to remain in grass, and their habitat, by delineating is commonly found along road margins, place after Eureka Valley evening- existing campsites and designating rail lines, feed lots, and abandoned primrose and Eureka dune grass are additional campsites at Eureka Dunes, agricultural fields, and in grain seed. delisted. Therefore, the inadequacy of prohibiting camping and sandboarding Although the source of spread is existing regulatory mechanisms is not a on Eureka Dunes, upgrading or unknown for the Eureka Valley, it was threat to Eureka Valley evening- replacing the existing vault toilet and first noted there in the 1970s; primrose and Eureka dune grass now or installing a second low maintenance agricultural activities (grazing and in the future. Additionally, although toilet on the east side of the dunes, farming) still occur in the northern some factors described in this document supporting a campground host during portion of Eureka Valley to the north of may continue to cause stress to either heavy visitor use periods, and Death Valley National Park, likely increasing visitor education on- and off- one or both species, the existing serving as a continuing seed source. site (Park Service 2013b, pp. 4, 5, 10, regulatory mechanisms are sufficient to At the time of our 2007 5-year status 16). This plan also discusses the Park manage the continued existence of reviews, we briefly discussed potential Service’s methods for managing Eureka Valley evening-primrose and competition with Russian thistle as a nonnative plant species including (but Eureka dune grass currently and in the threat to Eureka Valley evening- not limited to) Russian thistle. future. primrose and Eureka dune grass. We Removing Eureka Valley evening- E. Other Natural or Manmade Factors concluded that Russian thistle was not primrose and Eureka dune grass from Affecting Its Continued Existence a substantial threat to Eureka Valley the Federal List of Endangered or evening-primrose because the latter Threatened Plants would not OHV Activity and Other Recreational continued to occupy areas containing significantly change the protections Activities Russian thistle, and there was no afforded these species. At the time of See the ‘‘OHV Activity’’ and ‘‘Other information regarding the effects of listing, the existing regulatory Recreational Activities’’ sections, above Russian thistle on the stability of the mechanisms were a concern because we under Factor A, for a complete population (Service 2007a, p. 12). For determined they were inadequate to discussion of realized and potential Eureka dune grass, we also concluded address the threat to the habitat posed impacts since the time of listing. As that Russian thistle was not a by OHV recreation. Currently, because stated there, we included a complete substantial threat because there was no the ranges of both Eureka Valley discussion of potential impacts to both information to support a competitive evening-primrose and Eureka dune grass habitat and individual plants under relationship between it and Russian

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thistle (Service 2007b, p. 10). by other invasive, nonnative plants that The mass germination of Eureka Valley Nevertheless, there was a general occur in high abundance) (Thomson evening-primrose individuals in 2013 perception that the distribution of 2005, pp. 615–624; Barrows et al. 2009, implies different environmental factors Russian thistle had increased since the pp. 679, 683). are needed to get a similar mass 1980s. Therefore, since the time of our To better understand the overlap in germination of Russian thistle to 2007 5-year reviews, we have continued distribution of Russian thistle and potentially impact Eureka Valley to review literature pertaining to Eureka Valley evening-primrose, we evening-primrose seedlings or Russian thistle, and have obtained examined the Park Service’s best established plants. Therefore, this additional information from the Park available data layers for each species reduces the likelihood of a competitive Service regarding the distribution and (i.e., 2010 data for Russian thistle and relationship between these species relative density of Russian thistle within 2011 data for Eureka Valley evening- either in the short-term or long-term. the habitat of Eureka Valley evening- primrose, which were the years in With regard to Eureka dune grass, we primrose and Eureka dune grass which each species had the greatest have already noted above that the (Service 2014, pp. 51–58). above-ground expression). Based on our distribution of Russian thistle occurs In 2011, the distribution and density analysis, the distribution of Russian across all three dunes. However, the pattern of Russian thistle and Eureka thistle overlaps the Eureka Valley best available data indicate that the Valley evening-primrose was mapped evening-primrose distribution over all potential for Russian thistle to impact by the Park Service across all three three dunes by 84 percent (Service Eureka dune grass is unlikely because: dunes over several years (Park Service 2013a). However, the extent of overlap (1) Eureka dune grass typically occurs 2011a, pp. 18–21). In addition, the does not necessarily indicate that on the steeper, unstable slopes of the USGS noted an inverse relationship in competition is occurring. Since 2010, dunes, which appears to limit the the spatial distribution and abundance there have been years with very little to establishment of Russian thistle; and of the two species along a series of virtually no germination of Russian (2) Russian thistle roots are more transects. Both of these studies thistle (Park Service 2011a, p. 18; 2012a, shallow than those of Eureka dune suggested that there may be a p. 4; 2013a p. 4). It is unclear whether grass, which reduces the likelihood of competitive relationship for resources the conditions that stimulate potential competition between the two (for instance, water or light) between germination of Eureka Valley evening- species. Russian thistle and Eureka Valley primrose are the same conditions that Additionally, based on our analysis of evening-primrose (Chow and Klinger would stimulate the germination of the Park Service’s data on Russian 2013, p. 15). Therefore, in 2012, USGS Russian thistle. For instance, in 2013, thistle presence/absence in 1-ha grid initiated an ex situ pilot study to there was mass germination of Eureka cells, the extent of overlap between determine if there is a potential Valley evening-primrose in the sand these two species at all three dunes competitive relationship between flats to the east of Eureka Dunes, but combined is 36 percent, ranging from 19 Russian thistle and Eureka Valley there was little germination of Russian to 91 percent among the three dunes evening-primrose (Chow and Klinger thistle (Park Service 2013a, p. 4), (Service 2013b). Because the Park 2013, pp. 15–18). Preliminary indicating that different environmental Service’s data is limited to the presence information provided by Chow and factors are needed to trigger mass of both species within the same 1-ha Klinger (2013, pp. 17–18) indicates that germination events in these two species. grid, these data alone do not indicate intraspecific competition (competition It is possible that, during years when that these two species are in close between individuals of the same Russian thistle is abundant, this plant proximity to each other on a smaller species) had a greater effect on Eureka may compete with Eureka Valley spatial scale (which could indicate they Valley evening-primrose than evening-primrose for resources such as are competing for the same resources). interspecific competition (competition water and nutrients. However, the best However, because the abundance of between individuals of different available information does not indicate Eureka dune grass is sparse (i.e., covers species) with Russian thistle. However, that Russian thistle may outcompete 4.3 percent of the entire dune habitat on we note that the results of this study are Eureka Valley evening-primrose for Eureka Dunes), and Russian thistle is preliminary and limited to a short time these resources either currently or in the unable to colonize the steeper, unstable period (i.e., 10 weeks). Based on past future. slopes where Eureka dune grass occurs, and current Park Service management At this time, competition with it is unlikely that there is much overlap practices, we reasonably anticipate that Russian thistle does not appear to be between these two species at a small the Park Service would incorporate new impacting the Eureka Valley evening- spatial scale, even when they both are information received from future primrose at a level that would cause present in the same 1-ha grid cell. management and research studies into population-level or species-level effects. Therefore, based on the best available their future management plans for We have reached this conclusion for the information, we conclude that Eureka Valley. following reasons: competition with Russian thistle does Limited information is available on (1) Russian thistle abundance, like not pose a threat to Eureka dune grass the effects of Russian thistle to native that of Eureka Valley evening-primrose, at this time, nor is it expected to become plant species and ecosystems, likely varies annually; therefore, the degree to a threat in the future. because Russian thistle tends to invade which these species overlap will vary disturbed areas; thus, almost all annually. Climate Change available literature is based on its effects (2) The best available information Our analyses under the Act include to agricultural crops and grazing lands. does not indicate that the same consideration of ongoing and projected Regardless, general impacts to native conditions that stimulate the changes in climate. The terms ‘‘climate’’ flora, including Eureka Valley evening- germination of Eureka Valley evening- and ‘‘climate change’’ are defined by the primrose or Eureka dune grass, from primrose also stimulate germination of Intergovernmental Panel on Climate Russian thistle could include increased Russian thistle, which in turn reduces Change (IPCC). ‘‘Climate’’ refers to the competition when water is limited the likelihood of a competitive mean and variability of different types (Allen 1982, p. 739), or potentially relationship between these species of weather conditions over time, with 30 reduced recruitment (such as exhibited either in the short term or long term. years being a typical period for such

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measurements, although shorter or starting (and will likely continue) to For instance, established plants may longer periods also may be used (IPCC change in response to climate change. remain dormant and persist 2007, p. 78). The term ‘‘climate change’’ Long-term data on average rainfall in underground by their fleshy roots. In thus refers to a change in the mean or Eureka Valley are not available due to contrast, the long-term trend may not variability of one or more measures of the lack of a weather station at this favor the germination of Eureka dune climate (e.g., temperature or location, and trying to estimate annual grass; however, Eureka dune grass precipitation) that persists for an rainfall or establish trends for this utilizes a C4 carbon fixation pathway, extended period, typically decades or specific area is difficult because data which means this species uses water longer, whether the change is due to used from surrounding weather stations more efficiently during carbon fixation natural variability, human activity, or may not accurately portray rainfall in than plants that use the more common both (IPCC 2007, p. 78). Various types Eureka Valley (e.g., localized storms). C3 pathway—an adaptation found more of changes in climate can have direct or Pavlik (1979a, pp. 14–18; 1979b, pp. 15– frequently in species that occur in hot, indirect effects on species. These effects 20) estimated average annual rainfall in dry environments (Peterson and Soreng may be positive, neutral, or negative, Eureka Valley was 5 in (115 mm). 2007, p. 8). This indicates that Eureka and they may change over time, However, the timing of rainfall may be dune grass is already well-adapted to a depending on the species and other as important as the total amount of hot, dry environment, and we expect relevant considerations, such as the rainfall within a given year. For these adaptations will help it persist. effects of interactions of climate with example, for recruitment of Eureka Potential impacts from climate change other variables (e.g., habitat Valley evening-primrose to occur, may include a variety of potential fragmentation) (IPCC 2007, pp. 8–14, germination during the fall months changes, such as the following: 18–19). In our analyses, we use our needs to be followed by additional (1) A decrease in the level of soil expert judgment to weigh relevant rainfall events during the winter months moisture that could increase information, including uncertainty, in (Pavlik and Barbour 1986, p. 10). evaporation and transpiration rates and our consideration of various aspects of Conversely, Eureka dune grass thus impact the growth or performance climate change. germination is dependent on above- of individual plants (Weltzin et al. 2003, The final listing rule, recovery plan, average rainfall during the late summer p. 943). (2) Altered timing and amount of and 2007 5-year status reviews did not months (Pavlik and Barbour 1986, pp. rainfall could influence germination and identify climate change as potentially 47–59). The Park Service (2012b) possibly establishment of Eureka dune impacting Eureka Valley evening- recently examined the timing and grass (Pavlik and Barbour 1986, p. 47). primrose and Eureka dune grass. For amount of rainfall (based on a dataset from the closest weather station) (3) The timing of phenological phases, this evaluation we used regional such as flowering, leafing out, and seed projections modeled until 2050, which between 1987 and 2012, examining the two periods of rainfall that would release in both Eureka Valley evening- results in an expected transition to a primrose and Eureka dune grass, could drier climate (Seager et al. 2007, pp. stimulate germination of Eureka Valley evening primrose (i.e., September change, which has been noted in many 1181–1184). However, other regional through February) and Eureka dune other plant species (Bertin 2008, p. 130– modeling efforts indicate that rainfall grass (i.e., April through September). 131). Additionally, pollinator will increase throughout the Southwest While annual rainfall during these two availability could become limited (Weltzen et al. 2003). Of note is that that periods is highly variable, between 1987 (Hegland et al. 2009) during the time there is a substantial level of uncertainty and 2012, there appears to be a slight Eureka Valley evening-primrose is associated with such projections for increasing trend in the amount of flowering, which in turn could affect topographically complex regions, such annual rainfall for the first period pollination effectiveness, and as the western United States (Weltzen et (September through February) and a consequently the amount of seed it al. 2003). decreasing trend for the second period produces. Local projections into the future for (April through September) (Park Service (4) Lower rainfall could affect survival Eureka Valley were conducted using 2012b). This highlights the complexity of individual plants (e.g., reproductive ClimateWizard (2011), which evaluates in predicting future impacts of climate adults, seedlings) and result in less past trends in temperature or rainfall to change on Eureka Valley evening- frequent germination events, both of project future climate conditions: primrose and Eureka dune grass because which could affect recruitment. (1) For temperature, Eureka Valley has the timing of the rainfall may be as Alternatively, increased rainfall could increased an average of 0.04 degrees important as the total amount of annual increase germination and survival, but ° ° Fahrenheit ( F) to 0.05 F per year, rainfall. While the amount of rainfall could also increase competition with resulting in a total increase of average will determine how deeply water invasive, nonnative plants or increase ° ° temperature of 2.0 F to 2.5 F over the infiltrates into the dune system, the the population size of herbivores. With last 50 years. Additionally, the timing will affect how much of this respect to herbivores, a subsequent temperature is projected to rise an water is lost to evaporation and decrease in rainfall could result in ° additional 4 F by the 2050s. transpiration (Weltzin et al. 2003, p. increased herbivory of certain plants (2) For rainfall, historical trends from 943). These factors (i.e., timing and due to a decreased availability in the 1951 to 2006 in the Eureka Valley amount of rainfall) compound the variety of vegetation. indicate that rainfall has increased from problem of trying to predict how climate Although reproduction and survival 0 to 1 percent. The rainfall is change will affect these two species now could be affected by changes in climate anticipated to be an average of 4 in (102 and into the future. conditions as outlined in the potential mm) per year by the 2050s. The analysis conducted by the Park impacts, both Eureka Valley evening- What the above projections indicate is Service (2012b) indicates that the long- primrose and Eureka dune grass have that while there has been annual term trend in timing of rainfall may be evolved in and are adapted to a dry variation in climatic variables (e.g., the beneficial for the germination of Eureka environment with considerable amount and timing of rainfall, seasonal Valley evening-primrose. Additionally, variation in temperature and rainfall low and high temperatures), the norms Eureka Valley evening-primrose has (seed banks, rootstock, C4 carbon (or averages) of these variables are adapted strategies to cope with drought. fixation, etc.). The species have evolved

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mechanisms to persist through drought mortality from uprooting, damaging, or the three populations of Eureka dune and variable conditions. While there is burying plants, or dispersing seed into grass, there is no past information considerable uncertainty in local unsuitable habitat such that it is available regarding the level of genetic climate projections, we expect both unavailable for future recruitment), it is diversity within and among the three species are adapted to withstand drier unlikely that these events have populations of Eureka dune grass, climate conditions. population-level effects because these which would allow us to determine if In summary, impacts from climate species have developed adaptations genetic diversity has changed over time. change on Eureka Valley evening- (e.g., ability to reproduce vegetatively Additionally, the best available primrose and Eureka Dune grass may (Pavlik 1979a, p. 68; Pavlik and Barbour information does not indicate any low occur in the future, although we cannot 1986, p. 84; Pavlik and Barbour 1988, p. genetic diversity within and among the predict what the effects will be. 240), ability to ensure seeds remain near Eureka Valley evening-primrose Regardless, climate change will be parent plant and disperse into populations. Consequently, we affecting the climatic norms that these uncolonized habitat (Pavlik 1979a, p. conclude that genetic stochasticity does two species have previously persisted 59; 1979b, p. 71; Pavlik and Barbour not pose a threat to Eureka dune grass with, and it is probable that this shift 1985, pp. 27, 34, 40, 41) to counter the or Eureka Valley evening-primrose could cause stress to both species. Even effects of occupying the dynamic habitat currently or in the future. so, the best available information on or around the sand dune (as Combination of Factors currently indicates these species are discussed in the ‘‘Species Description, physiologically adapted to the specific Taxonomy, and Life History’’ sections, A species may be affected by more hydrologic and soil conditions on the above, for each species). than one threat in combination (Brook et dunes, and the stress imposed by Timing and amount of rainfall (along al. 2008). Within the preceding review projected climate change currently and with other factors that stimulate seed of the potential impacts to Eureka in the future is not likely to rise to the germination) are likely important factors Valley evening-primrose and Eureka level that the long-term viability of in the germination and establishment of dune grass, we identified multiple Eureka Valley evening-primrose and Eureka Valley evening-primrose or potential impacts that may have Eureka dune grass would be impacted. Eureka dune grass (Pavlik and Barbour interrelated impacts that stress one or Given the potential for continued 1986, pp 10, 47–59). In the short term, both species. For example, during years climate change in the region, this unfavorable climatic conditions (such as with favorable climatic conditions (such potential stressor should be evaluated low rainfall) may result in fewer plants, as increased rainfall), food sources (such into the future. plants producing fewer seeds, and (due as plant parts and seeds) become more to stressful conditions) an increase in abundant and may lead to an increase Stochastic Events mortality of seedlings. This could limit in small mammal populations Stochastic events (environmental and recruitment during this period; (Hoffmann 1958, pp. 79109; Johnson genetic stochasticity) could affect however, established individuals would and Peek 1984, pp. 8–9; Anderson and populations of Eureka Valley evening- likely survive these conditions and Shumar 1986, p. 154; Krebs 1996, pp. primrose and Eureka dune grass. The continue to reproduce or go dormant. 824). However, environmental small number of populations and The seed banks of Eureka Valley stochasticity (such as short-term restricted geographic range of the evening-primrose and Eureka dune grass drought) could lead to a decrease in populations of Eureka Valley evening- would provide some buffer to ensure the food sources, and the small mammal primrose and Eureka dune grass to persistence of the species when activity may increase in those areas with Eureka Valley makes them especially conditions are less favorable. However, remaining vegetation. Further, the stress vulnerable to stochastic events. we note that over the long term, the from increased seed predation, Environmental stochasticity refers to increasing time between the favorable herbivory, or climate change, either variation in recruitment and mortality climatic conditions that favor the singularly or in combination, may rates in response to weather, disease, replenishment of the seed bank could reduce the reproductive vigor of Eureka competition, predation, or other factors potentially affect the amount of the seed Valley evening-primrose and Eureka external to the population. In our 2007 bank that is available for future dune grass (for example, Dangremond et 5-year status reviews, we provided a recruitment efforts. al. 2010, pp. 2261–2270). The species’ brief discussion regarding stochastic Overall, it is possible that productivity may be reduced because of events, which included windstorms, environmental stochasticity (in the form these stressors, either singularly or in extended drought (below-average of extreme weather events) could cause combination. However, without further rainfall over a time period greater than stress to Eureka Valley evening- study, it is difficult to determine (nor is the historical range of variability), or a primrose and Eureka dune grass. it necessarily determinable) whether a combination of these events with other However, the best available information particular impact is having the greatest unidentified catastrophic events and at this time does not indicate the current effect on the viability of the species, or their potential effects, on Eureka Valley and projected future impacts associated whether it is exacerbated by or working evening-primrose and Eureka dune grass with stochastic events would rise to the in combination with other impacts to (Service 2007a, p. 13; Service 2007b, p. level that the long-term persistence of have cumulative or synergistic effects 10). We concluded that neither Eureka Valley evening-primrose and on the species. While the combination windstorms nor a variation in rainfall Eureka dune grass would be impacted. of factors could potentially impact represent a substantial threat to Eureka With regard to genetic stochasticity, Eureka Valley evening-primrose and Valley evening-primrose or Eureka dune low genetic diversity may affect the Eureka dune grass, the best available grass. Our discussion below elaborates ability of plant species to adjust to novel information does not indicate that the on the potential effects associated with or fluctuating environments, survive magnitude or extent of cumulative or these types of events. stochastic events, or maintain high synergistic effects is impacting either While windstorms may adversely levels of reproductive performance species to the point that they are affect individuals of the Eureka Valley (Huenneke 1991, p. 40). Although Bell affecting the viability of the species at evening-primrose or Eureka dune grass (2003, p. 6) concluded that there was this time or into the future (although the populations (by causing individual low genetic diversity within and among available information indicates some

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uncertainty about how synergistic protective management consistent with range. We came to this conclusion based effects could impact both species in the the needs of both species well into the on our evaluation of the following future). future and beyond the existing 20-year potential impacts: The present or stewardship plan timeframe described threatened destruction, modification, or Finding above. We expect future revisions to be curtailment of its habitat or range (i.e., An assessment of the need for a consistent with laws, regulations, and unauthorized OHV activity, other species’ protection under the Act is policies governing Federal land unauthorized recreational activities based on whether a species is in danger management planning; however, we (specifically, horseback riding, of extinction or likely to become so cannot predict the exact contents of sandboarding, campgrounds, and access because of any of five factors: (A) The future plans. For additional information routes)) (Factor A); overutilization for present or threatened destruction, used to determine foreseeable future for commercial, recreational, scientific, or modification, or curtailment of its these species, see the discussion of the educational purposes (Factor B); disease habitat or range; (B) Overutilization for Park Service’s responsibilities and a or predation (specifically, herbivory and commercial, recreational, scientific, or description of Death Valley National seed predation) (Factor C); the educational purposes; (C) Disease or Park’s Wilderness and Backcountry inadequacy of existing regulatory predation; (D) The inadequacy of Stewardship Plan in the ‘‘Recovery’’ and mechanisms (Factor D); and other existing regulatory mechanisms; or (E) ‘‘Factor D’’ sections of the Background natural or human-made factors affecting Other natural or manmade factors Information document (Service 2014, its continued existence (specifically, affecting its continued existence. As pp. 32–38, 48–51). other unauthorized recreational required by section 4(a)(1) of the Act, In considering what factors might activities (i.e., horseback riding, we conducted a review of the status of constitute threats, we must look beyond sandboarding, camping, and access these plants and assessed the five the mere exposure of the species to the routes), competition with Russian factors to evaluate whether Eureka factor to determine whether the thistle, climate change, and stochastic Valley evening-primrose and Eureka exposure causes actual impacts to the events) (Factor E). dune grass are endangered or threatened species. If there is exposure to a factor, Of the factors identified above, throughout all of their ranges. We but no response, or only a positive herbivory, seed predation, stochastic examined the best scientific and response, that factor is not a threat. If events, climate change, and (specifically commercial information available there is exposure and the species for Eureka Valley evening-primrose) regarding the past, present, and future responds negatively, the factor may be competition with Russian thistle during threats faced by the species. We a threat and we then attempt to years the thistle is abundant have the reviewed information presented in the determine how significant the threat is. potential to impact Eureka Valley 2010 petition, information available in If the threat is significant, it may drive, evening-primrose and Eureka dune grass our files and gathered through the status or contribute to, the risk of extinction of currently or into the foreseeable future. review initiated with our 90-day finding the species such that the species However, we found that the best in response to this petition, additional warrants listing as endangered or available information does not indicate information that became available since threatened as those terms are defined by that these stressors are impacting the time our 2007 5-year status reviews the Act. This does not necessarily individual populations or each species were completed, and other available require empirical proof of a threat. The as a whole across their ranges to the published and unpublished combination of exposure and some information. We also consulted with corroborating evidence of how the extent that they are of sufficient species experts and land management species is likely impacted could suffice. imminence, intensity, or magnitude to staff with Death Valley National Park The mere identification of factors that rise to the level of a threatened species who are actively managing for the could impact a species negatively is not (i.e., likely to become an endangered conservation of Eureka Valley evening- sufficient to compel a finding that species within the foreseeable future). primrose and Eureka dune grass. listing is appropriate; we require We came to this conclusion primarily For the purposes of this discussion, evidence that these factors are operative due to the best available information we note that the implementation threats that act on the species to the indicating a negligible impact or lack of timeline of Death Valley National Park’s point that the species meets the impact to the species across their Wilderness and Backcountry definition of endangered or threatened ranges, although some may be causing Stewardship Plan (Park Service 2013b) under the Act. stress to portions of populations within is 20 years. We think this is an Significant impacts to Eureka Valley the range of one or both species (e.g., appropriate timeframe over which evening-primrose and Eureka dune grass documented herbivory and seed events or effects reasonably can or populations at the time of listing (i.e., predation at the north end of the Eureka should be anticipated, or trends OHV activity, and to a lesser extent Dunes). Although some of these impacts extrapolated, because it is the length of camping and unauthorized OHV may continue to cause stress to either or time that the Park has planned for activity) that could have resulted in the both species, the existing regulatory managing the habitat of these species, extirpation of all or parts of populations mechanisms are sufficient to manage the and during which time the Park will be have been eliminated or reduced to the continued existence of Eureka Valley monitoring the status of the extent that they are considered evening-primrose and Eureka dune grass populations. Although we expect threats negligible currently, and are expected to currently and into the foreseeable to be managed for at least the length of continue to be negligible into the future. future. this timeframe, we expect management We also conclude that the previously Finally, it is important to of the Eureka Dunes to continue well recognized potential impacts and those acknowledge the significant into the future beyond 20 years. Based identified in this document for both commitment made initially by BLM and on the Park Service’s track record for species either have been ameliorated, subsequently by the Park Service in natural resource management and are negligible, or do not rise to a level their efforts to provide permanent revisions to management plans, we can of significance, either individually or in protection to Eureka Valley evening- reasonably expect revisions of combination, such that either species is primrose and Eureka dune grass and management plans to incorporate in danger of extinction throughout its their habitat, as well as ongoing

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management, research, and public only those portions that warrant further been present since the beginning of the outreach opportunities. consideration, we determine whether Holocene era when pluvial lakes In conclusion, we have carefully there is substantial information retreated during a warming phase, assessed the best scientific and indicating that: (1) The portions may be leaving behind the dune systems in commercial information available ‘‘significant’’ and (2) The species may Eureka Valley. Historical distribution of regarding the past, present, and future be in danger of extinction there or likely Eureka Valley evening-primrose and threats faced by Eureka Valley evening- to become so within the foreseeable Eureka dune grass beyond the three primrose and Eureka dune grass. After future. Depending on the biology of the currently recognized populations of review and analysis of the information species, its range, and the threats it each species is unknown. In other regarding threats as related to the five faces, it might be more efficient for us words, the current distribution of both statutory factors, we find that the to address the significance question first species is the only known distribution, ongoing threats are not of sufficient or the status question first. Thus, if we which has remained generally the same imminence, intensity, or magnitude to determine that a portion of the range is since their distributions were first indicate that these species are presently not ‘‘significant,’’ we do not need to recorded in 1976. in danger of extinction throughout all of determine whether the species is their ranges. Additionally, no threats We considered whether the factors endangered or threatened there; if we that could cause stress to Eureka Valley exist currently nor are any potential determine that the species is not stressors described herein expected to evening-primrose and Eureka dune grass endangered or threatened in a portion of individuals or to the populations as a rise to the level that would likely cause its range, we do not need to determine either species to become endangered in whole might be different at any one of if that portion is ‘‘significant.’’ In the populations relative to each other. the foreseeable future throughout all of practice, a key part of the determination their ranges. The factors we identified that could still that a species is in danger of extinction cause stress to both species include: Significant Portion of the Range in a significant portion of its range is Herbivory, seed predation, stochastic Having examined the status of Eureka whether the threats are geographically events, climate change, and (specifically Valley evening-primrose and Eureka concentrated in some way. If the level for Eureka Valley evening-primrose) dune grass throughout all of their of threats to the species is essentially competition with Russian thistle during ranges, we next examine whether either uniform throughout its range, no portion years the thistle is abundant. There are species could be in danger of extinction, is likely to warrant further two characteristics of the habitat for or likely to become so within the consideration. these species that could influence the foreseeable future, in a significant We consider the ‘‘range’’ of Eureka extent to which these factors cause portion of their ranges. The range of a Valley evening-primrose and Eureka stress to either species: (1) The type of species can theoretically be divided into dune grass to include three populations dune system that supports each of the portions in an infinite number of ways. each, all encompassed within the three populations, and (2) The extent of the However, there is no purpose in dune systems (Marble Canyon Dunes, sandy dune habitat that supports each of analyzing portions of the range that Saline Spur Dunes, and the Eureka the populations (please see the have no reasonable potential to be Dunes) that span a distance of 9 mi (14.4 ‘‘Environmental Setting’’ section of the significant or in analyzing portions of km) from west to east within Eureka Background Information document the range in which there is no Valley in Death Valley National Park, (Service 2014, pp. 4–7) for more reasonable potential for the species to be Inyo County, California. The three information). We compare the three endangered or threatened. To identify populations of each species have likely dunes to each other as follows.

TABLE 1—COMPARISON OF DUNE HABITAT CHARACTERISTICS AT THREE DUNE SYSTEMS IN EUREKA VALLEY

Extent of dune habitat Dune system Type of dune system (acres (ac) (hectares (ha))

1. Marble Canyon Dunes ...... Obstacle dune ...... 610 ac (247 ha). 2. Saline Spur Dunes ...... Obstacle dune ...... 238 ac (96 ha). 3. Eureka Dunes ...... Sand mountain/Transverse ...... 2,003 ac (811 ha).

The type of dune system is important Although the mechanisms are complex moisture for germination and growth of because of the way each of them and not entirely understood, it is likely Eureka Valley evening-primrose and intercepts, stores, and delivers moisture that obstacle dunes have little capacity Eureka dune grass. (from precipitation) to a plant at critical to store water, and thus intercept and The extent of dune habitat is times in its life cycle, specifically deliver moisture over a shorter period of important because, if rainfall were during seed germination (needs time. In comparison, the sand mountain abundant and equal at all three dune moisture closer to the surface where the type of dune system has a greater systems, the greater extent of dune seeds are), and during growth (needs capacity to store water, and to deliver habitat would provide more space for moisture deeper below the surface moisture to plants over a longer period Eureka Valley evening-primrose and where the roots are). As Park Service of time. Therefore, if rainfall were Eureka dune grass to germinate and monitoring over the last 5 years abundant and equal at all three dune grow than at Marble Canyon Dunes and indicates, a ‘‘good’’ year for Eureka systems, the Eureka Dunes would Saline Spur Dunes. While not every Valley evening-primrose or Eureka dune provide an inherent advantage relative hectare of each dune provides suitable grass at one dune system is not to Marble Canyon Dunes and Saline conditions for germination and growth necessarily a ‘‘good’’ year for either Spur Dunes, with respect to the ability of Eureka Valley evening-primrose and species at another dune system. of the dune system to provide sustained Eureka dune grass, a comparison of the

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extent of dune habitat is still a useful the best available data at this time do Accordingly, we find that the relative measure of potentially suitable not indicate a higher level of stress at petitioned action is warranted, that habitat: Eureka Dunes is over three any of the populations/dunes as Eureka Valley evening-primrose and times as large as Marble Canyon Dunes, compared to other populations/dunes. Eureka dune grass no longer meet the and eight times as large as Saline Spur In addition, we think that the three Act’s definition of an endangered Dunes. Thus, if rainfall were abundant dune systems are close enough in species and further do not meet the and equal at all three dune systems, proximity to each other that: Act’s definition of a threatened species, Eureka Dunes provides an inherent (1) For Eureka Valley evening- and we propose to remove both species advantage to Eureka Valley evening- primrose, given its abundant seed from the Federal List of Endangered and primrose and Eureka dune grass relative production in favorable years, migration Threatened Plants. to Marble Canyon Dunes and Saline of propagules from areas of higher Effects of This Rule Spur Dunes, both with respect to type concentration to areas of lower of dune system and extent of dune concentration likely mitigates for the If finalized, the proposed action habitat, and would theoretically support increased vulnerability of the would remove Eureka Valley evening- the largest population of each species. populations at Marble Canyon Dunes primrose and Eureka dune grass from The factors we identified that could and Saline Spur Dunes as compared to the List of Endangered and Threatened cause stress to Eureka Valley evening- Eureka Dunes (Pavlik and Barbour 1985, Plants. The Act and its implementing primrose and Eureka dune grass pp. 24–53; and see discussion on seed regulations set forth a series of general currently or in the future are herbivory, dispersal and metapopulations in Cain prohibitions and exceptions that apply seed predation, stochastic events, et al. 2000, p. 1,220). to all endangered plants. The prohibitions under section 9(a)(2) of the climate change, and (specifically for (2) For Eureka dune grass, given its Act make it illegal for any person Eureka Valley evening-primrose) modest seed production in favorable subject to the jurisdiction of the United competition with Russian thistle during years and longevity of established States to import or export any such years the thistle is abundant. All of individuals, migration of Eureka dune species; transport any such species in these factors are known to cause stress grass propagules from areas of higher interstate or foreign commerce in the in plant species; the extent to which concentration to areas of lower course of a commercial activity; sell or they cause stress to Eureka Valley concentration over time likely mitigates evening-primrose or Eureka dune grass offer for sale any such species in for the increased vulnerability of the interstate or foreign commerce; remove has not been studied in detail. Stress in populations at Marble Canyon Dunes plant populations can manifest in many and reduce to possession or maliciously and Saline Spur Dunes as compared to forms, ranging from death of individuals damage or destroy any such species Eureka Dunes (Pavlik and Barbour 1985, to reduced vigor and growth of from areas under Federal jurisdiction; or pp. 24–53; and see discussion on seed individuals to reduced reproductive remove, cut, dig up, or damage or dispersal and metapopulations in Cain success. In general, small plant destroy any such species on any other et al. 2000, p. 1,220). populations are more vulnerable than area in knowing violation of any State large plant populations to factors that Therefore, it is our conclusion, based law or regulation or in the course of any cause stress because there are fewer on our evaluation of the factors that violation of a State criminal trespass numbers of individuals to act as a cause stress to Eureka Valley evening- law. Section 7 of the Act requires that ‘‘reserve’’ from which the species can primrose and Eureka dune grass at the Federal agencies consult with us to recover. Moreover, once populations three populations where each occurs, ensure that any action authorized, become small because of stress caused that the factors that cause stress are funded, or carried out by them is not by one factor, they are more vulnerable neither sufficiently concentrated nor of likely to jeopardize the continued to stress caused by other factors, hence sufficient magnitude to indicate that the existence of a listed species. If Eureka the ‘‘combination of factors’’ species is in danger of extinction, or Valley evening-primrose and Eureka phenomenon as discussed under the likely to become so within the dune grass are removed from the List of Summary of Factors Affecting the foreseeable future, at any of the areas Endangered and Threatened Plants, Species section. The best available that support populations of either these prohibitions would no longer information indicates that the factors species. apply. Delisting Eureka Valley evening- that cause stress could be equally In conclusion, we have carefully primrose and Eureka dune grass is present at all three dunes. assessed the best scientific and expected to have no or positive effects Because Marble Canyon Dunes and commercial information available in terms of management flexibility to Saline Spur Dunes are obstacle dunes regarding the past, present, and future the State and Federal governments. We with less water-holding capacity than threats faced by Eureka Valley evening- fully expect that the Park Service would Eureka Dunes and comprise a smaller primrose and Eureka dune grass. After continue to implement its management extent of dune habitat than Eureka review and analysis of the information plans consistent with existing laws, Dunes, they likely will, over time (under regarding threats as related to the five regulations, and policies to conserve conditions of abundant and equal statutory factors, we find that the Eureka Valley evening-primrose and rainfall), support smaller populations of ongoing threats are not of sufficient Eureka dune grass and their habitat. Eureka Valley evening-primrose and imminence, intensity, or magnitude to However, we note that funding to carry Eureka dune grass than Eureka Dunes. indicate that these species are presently out monitoring to track these species Furthermore, these smaller populations in danger of extinction throughout all or could be curtailed dependent on Federal could be more vulnerable to factors that a significant portion of their ranges. budget constraints (Cipra and Fuhrmann cause stress than the population at Additionally, no threats exist currently 2013). Eureka Dunes; therefore, the level of nor are any potential stressors described stress to which populations at Marble herein expected to rise to the level that Future Conservation Measures Canyon Dunes and Saline Spur Dunes would likely cause either species to Section 4(g)(1) of the Act requires us, are subjected could be higher than the become endangered in the foreseeable in cooperation with the States, to level of stress to which the populations future throughout all or a significant implement a system to monitor at Eureka Dunes are subjected. However, portion of their ranges. effectively for not less than 5 years the

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status of all species that have been Stewardship Plan (Park Service 2013b), National Environmental Policy Act of recovered and delisted. The purpose of and well into the future. In addition to 1969 (42 U.S.C. 4321 et seq.), in this requirement is to develop a program post-delisting monitoring activities that connection with regulations adopted that detects the failure of any delisted would occur if this proposed rule pursuant to section 4(a) of the Act. We species to sustain itself without the becomes final, the Park Service published a notice outlining our reasons protective measures provided by the anticipates continuing to manage the for this determination in the Federal Act. If at any time during the monitoring Eureka Valley dunes, including such Register on October 25, 1983 (48 FR period, data indicate that protective tasks as conducting ranger patrols, 49244). status under the Act should be maintaining educational signs, and References Cited reinstated, we can initiate listing making contact with visitors within the procedures, including, if appropriate, range of the species (Cipra in litt. 2013). A complete list of all references cited emergency listing. The management Additional monitoring or research in this proposed rule is available on the practices of, and commitments by, the (beyond post-delisting monitoring Internet at http://www.regulations.gov Park Service under existing laws, requirements) may occur in the future under Docket No. FWS–R8–ES–2013– regulations, and policies should afford for these and other rare endemics within 0131 or upon request from the Deputy adequate protection to Eureka Valley the Park based on congressional funding Field Supervisor, Ventura Fish and evening-primrose and Eureka dune grass and resource levels (Cipra in litt. 2013). Wildlife Office (see FOR FURTHER into the foreseeable future upon We will work closely with the Park INFORMATION CONTACT). delisting, as the entire known ranges of Service to ensure post-delisting these species occur within Death Valley monitoring is conducted if these species Author National Park. are delisted and to ensure future The primary author of this proposed We will work cooperatively with the management strategies are implemented rule is the Pacific Southwest Regional National Park and other interested (as warranted) to benefit Eureka Valley Office in Sacramento, California, in parties (prior to delisting should it evening-primrose and Eureka dune coordination with the Ventura Fish and occur) to develop a strategy to grass. Wildlife Office in Ventura, California implement appropriate monitoring (see FOR FURTHER INFORMATION CONTACT). activities for Eureka Valley evening- Required Determinations primrose and Eureka dune grass for not Clarity of the Rule Lists of Subjects in 50 CFR Part 17 less than 5 years. The results of such We are required by Executive Orders Endangered and threatened species, monitoring, if not consistent with a Exports, Imports, Reporting and recovered status for one or both species, 12866 and 12988 and by the Presidential Memorandum of June 1, recordkeeping requirements, could trigger additional management Transportation. actions, trigger additional or extended 1998, to write all rulemaking documents monitoring, or trigger status reviews or in plain language. This means that each Proposed Regulation Promulgation listing actions. We anticipate rulemaking we publish must: (a) Be logically organized; Accordingly, we propose to amend coordinating with the Park Service, (b) Use the active voice to address part 17, subchapter B of chapter I, title USGS, local universities, and other readers directly; 50 of the Code of Federal Regulations, sources that may be able to contribute (c) Use clear language rather than as set forth below: funding or resources to assist us in our jargon; efforts to monitor these species, thereby (d) Be divided into short sections and PART 17—ENDANGERED AND providing the information necessary to sentences; and THREATENED WILDLIFE AND PLANTS determine whether protections under (e) Use lists and tables wherever the Act should be reinstated. We possible. ■ 1. The authority citation for part 17 currently appreciate any information on If you feel that we have not met these continues to read as follows: what should be included in a post- requirements, send us comments by one Authority: 16 U.S.C. 1361–1407; 1531– delisting monitoring strategy for these of the methods listed in the ADDRESSES 1544; 4201–4245, unless otherwise noted. species (see Information Requested section. To better help us revise the section, above). proposed rule, your comments should § 17.12 [Amended] Given the mission of the Park Service be as specific as possible. For example, ■ 2. Amend § 17.12(h) by removing the and its past and current stewardship you should tell us the names of the entries for Oenothera avita ssp. efforts, it is important to note that sections or paragraphs that are unclearly eurekensis and Swallenia alexandrae management for both Eureka Valley written, which sections or sentences are under FLOWERING PLANTS from the evening-primrose and Eureka dune grass too long, the sections where you feel List of Endangered and Threatened has been effective to date, and it is lists or tables would be useful, etc. Plants. reasonable to expect that management will continue to be effective for both National Environmental Policy Act Dated: February 19, 2014. species and their habitat beyond a post- We determined we do not need to Stephen Guertin, delisting monitoring period, the 20-year prepare an environmental assessment or Acting Director, Fish and Wildlife Service. timeframe associated with the an environmental impact statement, as [FR Doc. 2014–04232 Filed 2–26–14; 8:45 am] Wilderness and Backcountry defined under the authority of the BILLING CODE 4310–55–P

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Notices Federal Register Vol. 79, No. 39

Thursday, February 27, 2014

This section of the FEDERAL REGISTER DEPARTMENT OF AGRICULTURE Attn: Plan Revision, 208 Cruz Alta contains documents other than rules or Road, Taos, New Mexico, 87571. proposed rules that are applicable to the Forest Service Comments may also be sent via email to public. Notices of hearings and investigations, [email protected]. committee meetings, agency decisions and Assessment Report of Ecological/ FOR FURTHER INFORMATION CONTACT: rulings, delegations of authority, filing of Social/Economic Sustainability, Kevin Naranjo, Forest Planner, 575– petitions and applications and agency Conditions, and Trends for the Carson 758–6221. Individuals who use statements of organization and functions are National Forest examples of documents appearing in this telecommunication devices for the deaf section. AGENCY: Forest Service, USDA. (TDD) may call the Federal Information ACTION: Notice of initiating the Relay Service (FIRS) at 1–800–877–8339 assessment phase of the forest plan between 8:00 a.m. and 8:00 p.m., AGENCY FOR INTERNATIONAL revision for the Carson National Forest. Eastern Standard Time, Monday DEVELOPMENT through Friday. SUMMARY: The Carson National Forest, More information on the planning Notice of March 5 Advisory Committee located in northern New Mexico, is process can also be found on the Carson on Voluntary Foreign Aid Meeting initiating the forest plan revision National Forest Web site at process pursuant to the 2012 National AGENCY: www.fs.usda.gov/goto/carsonforestplan. United States Agency for Forest System Land Management International Development. SUPPLEMENTARY INFORMATION: The Planning Rule (36 CFR Part 219). This National Forest Management Act ACTION: Notice of meeting. process results in a revised forest land (NFMA) of 1976 requires every National management plan (forest plan), which SUMMARY: Pursuant to the Federal Forest System (NFS) unit to develop a describes the strategic direction for forest plan. On April 9, 2012, the Forest Advisory Committee Act, notice is management of forest resources on the hereby given of a meeting of the Service finalized its land management Carson National Forest over the next ten planning rule (2012 Planning Rule), Advisory Committee on Voluntary to fifteen years. The first phase of the Foreign Aid (ACVFA). which describes requirements for the process, the assessment phase, is just planning process and the content of DATES: Wednesday, March 5, 2013. beginning. The public is invited to forest plans. Forest plans describe the Time: 2:00 p.m.–4:00 p.m. contribute information that can be used strategic direction for managing forest Location: Horizon Room, Ronald in the development of the assessment resources over ten to fifteen years, and Reagan Building. (36 CFR § 219.6). To gather relevant are adaptive and amendable as information about conditions and trends Agenda conditions change over time. in and around the Carson National Under the 2012 Planning Rule, the USAID Administrator Rajiv Shah will Forest, the Forest Service will be assessment of ecological, social, and make opening remarks, followed by hosting a series of public forums in late economic trends and conditions is the panel discussions among ACVFA spring/early summer of 2014. first phase of the planning framework or members and USAID leadership on our Information about public engagement process. The second phase is guided, in vision and core values. The full meeting opportunities during the assessment part, by the National Environment agenda is available on the ACVFA Web phase and the entire plan revision Policy Act (NEPA). It includes the site at http://www.usaid.gov/who-we- process will be posted on the Carson preparation of a draft environmental are/organization/advisory-committee. National Forest’s Web site, which will impact statement and revised forest plan be continuously updated as the Stakeholders for public review and comment, planning process progresses. followed by a final environmental The meeting is free and open to the DATES: A draft of the assessment report impact statement and revised forest public. Persons wishing to attend for the revision of the Carson National plan. The third phase of the process is should register online at http://www. Forest’s forest plan is anticipated to be monitoring and feedback, which is usaid.gov/who-we-are/organization/ posted on the following Web site at ongoing over the life of the revised advisory-committee/get-involved. www.fs.usda.gov/goto/carsonforestplan forest plan. SUPPLEMENTARY INFORMATION: Due to in the fall/early winter 2014. The final This notice announces the start of the logistical difficulties associated with the assessment is projected to be completed first phase of the planning process, meeting, this notice is provided less in late winter 2014/2015. which is an assessment to rapidly than 15 calendar days prior to the Public forums and meetings evaluate existing information about meeting (see 41 CFR 102–3.150(b)). associated with the development of the relevant ecological, economic, cultural, assessment will be announced on the and social conditions, trends, and FOR FURTHER INFORMATION CONTACT: Web site cited above. Jayne Thomisee, 202–712–5506. sustainability and their relationship to It is expected the notice of intent to the Carson National Forest’s current Dated: February 20, 2014. initiate the forest plan revision for the forest plan, within the context of the Jayne Thomisee, Carson National Forest will be broader landscape. Executive Director (A), Advisory Committee published in the Federal Register in With this notice, the agency invites on Voluntary Foreign Aid (ACVFA), U.S. spring 2015. other governments, non-governmental Agency for International Development. ADDRESSES: Written comments or parties, and the public to contribute to [FR Doc. 2014–04316 Filed 2–26–14; 8:45 am] questions concerning this notice should the development of the assessment. The BILLING CODE P be addressed to Carson National Forest, intent of public participation in the

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assessment phase is to gather as much All RAC meetings are subject to section titled FOR FURTHER INFORMATION relevant information as possible to cancellation. For status of meeting prior CONTACT. All reasonable inform the plan revision process. Public to attendance, please contact the person accommodation requests are managed involvement during this point in the listed under FOR FURTHER INFORMATION on a case by case basis. process can also provide opportunities CONTACT. Dated: February 12, 2014. for people to share their concerns about ADDRESSES: The meeting will be held at Matthew D. Anderson, existing conditions and trends and the Craig Ranger District, 504 9th Street, District Ranger. perceptions of risks to social, economic, Craig, Alaska. If you wish to attend via and ecological systems related to the [FR Doc. 2014–04261 Filed 2–26–14; 8:45 am] teleconference, please call 907–826– BILLING CODE 3411–15–P forest. 3271 for instructions. As public meetings, forums, and other Written comments may be submitted opportunities for public engagement are as described under SUPPLEMENTARY DEPARTMENT OF COMMERCE scheduled, public notifications will be INFORMATION. All comments, including made and posted on the forest’s Web names and addresses when provided, International Trade Administration site at www.fs.usda.gov/goto/ are placed in the record and are carsonforestplan and information will available for public inspection and [A–570–916] be sent out to the forest’s mailing list. copying. The public may inspect Laminated Woven Sacks From the If anyone is interested in being on the comments received at the Craig Ranger People’s Republic of China: forest’s mailing list to receive these District. Please call ahead to facilitate Preliminary Results of Antidumping notifications, please contact Kevin entry into the building. Naranjo, Forest Planner, at the mailing Duty Administrative Review; 2012– FOR FURTHER INFORMATION CONTACT: 2013 address identified above, by sending an Rebecca Sakraida, RAC Coordinator, by email to [email protected], or by phone at 907–826–1601 or via email at AGENCY: Enforcement and Compliance, telephone 575–758–6221. [email protected]. formerly Import Administration, Responsible Official Individuals who use International Trade Administration, telecommunication devices for the deaf Department of Commerce. The responsible official for revision of (TDD) may call the Federal Information SUMMARY: the Carson National Forest’s land In response to a request from Relay Service (FIRS) at 1–800–877–8339 the Laminated Woven Sacks Committee management plan is Forest Supervisor between 8:00 a.m. and 8:00 p.m., Juan (Buck) Sanchez, Carson National (‘‘Petitioner’’), the Department of Eastern Standard Time, Monday Commerce (‘‘the Department’’) initiated Forest, 208 Cruz Alta Road, Taos, New through Friday. Please make requests in Mexico, 87571. an administrative review of the advance for sign language interpreting, antidumping duty Order on laminated Dated: February 21, 2014. assistive listening devices or other woven sacks from the People’s Republic Juan E. (Buck) Sanchez, reasonable accomodation for access to of China (‘‘PRC’’).12 The administrative Forest Supervisor. the facility or procedings by contacting review covers nine 3 PRC companies for [FR Doc. 2014–04270 Filed 2–26–14; 8:45 am] the person listed above. the period of review (‘‘POR’’) August 1, BILLING CODE 3410–11–P SUPPLEMENTARY INFORMATION: 2012, through July 31, 2013. No other Additional RAC information, including party requested review of these nine the meeting agenda and the meeting companies. We invite interested parties DEPARTMENT OF AGRICULTURE summary/minutes can be found at the to comment on these preliminary following Web site: https://fsplaces.fs. results. Forest Service fed.us/fsfiles/unit/wo/secure_rural_ DATES: Effective Date: February 27, schools.nsf/RAC/B41C09B8D0F857FE Prince of Wales Island Resource 2014. 8825759F004E6742?OpenDocument. Advisory Committee FOR FURTHER INFORMATION CONTACT: The agenda will include time for people Irene Gorelik, AD/CVD Operations, AGENCY: to make oral statements of three minutes Forest Service, USDA. Office V, Enforcement and Compliance, or less. Individuals wishing to make an ACTION: Notice of meeting. International Trade Administration, oral statement should request in writing U.S. Department of Commerce, 14th SUMMARY: The Prince of Wales Island by March 15, 2014 to be scheduled on Street and Constitution Avenue NW., Resource Advisory Committee (RAC) the agenda. Anyone who would like to Washington, DC 20230; telephone: (202) will meet in Craig, Alaska. The bring related matters to the attention of 482–6905. committee is authorized under the the committee may file written SUPPLEMENTARY INFORMATION: Secure Rural Schools and Community statements with the committee staff On Self-Determination Act (Pub. L. 110– before or after the meeting. Written October 2, 2013, the Department 343) (the Act) and operates in comments and requests for time for oral initiated an administrative review of the compliance with the Federal Advisory comments must be sent to Matthew Committee Act. The purpose of the 1 See Initiation of Antidumping and Anderson, Designated Federal Official, Countervailing Duty Administrative Reviews and committee is to improve collaborative P.O. Box 500, Craig, Alaska 99921; or by Request for Revocation, in Part, 78 FR 60834 relationships and to provide advice and email to [email protected], or via (October 2, 2013) (‘‘Initiation Notice’’). recommendations to the Forest Service facsimile to 907–826–2972. 2 See Notice of Antidumping Duty Order: concerning projects and funding Meeting Accommodations: If you are Laminated Woven Sacks From the People’s consistent with the title II of the Act. Republic of China, 73 FR 45941 (August 7, 2008) a person requiring reasonable (‘‘Order’’). The meeting is open to the public. The accommodation, please make requests 3 The nine companies are: Cangnan Color Make purpose of the meeting is to review and in advance for sign language the Bag; Han Shing Corporation Limited; Jiangsu recommend projects authorized under interpreting, assistive listening devices Hotsun Plastics; Ningbo Yong Feng Packaging Co., Title II of the Act. Ltd.; Polywell Industrial Co.; Shandong Qilu Plastic or other reasonable accommodation for Fabric Group, Ltd.; Shandong Shouguang DATES: The meeting will be held April access to the facility or proceedings by Jianyuanchun Co.; Shandong Youlian Subian Co. 1, 2014 at 10:00 a.m. contacting the person listed in the Ltd.; and Zibo Aifudi Plastic Packaging Co., Ltd.

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Order on laminated woven sacks from Compliance’s Antidumping and margin exists for the period August 1, the PRC covering nine PRC firms for the Countervailing Duty Centralized 2012, through July 31, 2013: POR.4 As explained in the Electronic Service System (IA ACCESS). memorandum from the Assistant IA ACCESS is available to registered Exporter Margin Secretary for Enforcement and users at http://iaaccess.trade.gov and in (percent) Compliance, the Department has the Central Records Unit, room 7046 of 12 13 exercised its discretion to toll deadlines the main Department of Commerce PRC-Wide Entity ...... 47.64 for the duration of the closure of the building. In addition, a complete Federal Government from October 1, version of the Preliminary Decision Public Comment through October 16, 2013.5 Therefore, Memorandum can be accessed directly Interested parties are invited to all deadlines in this review have been on the Internet at http:// comment on these preliminary results extended by 16 days. iaaccess.trade.gov. The signed and submit written arguments or case The merchandise covered by the Preliminary Decision Memorandum and Order 6 is laminated woven sacks.7 the electronic versions of the briefs within 30 days after the date of Laminated woven sacks are bags or Preliminary Decision Memorandum are publication of this notice, unless sacks consisting of one or more plies of identical in content. otherwise notified by the Department fabric consisting of woven (see 19 CFR 351.309(c)(ii)). Parties are polypropylene strip and/or woven Background reminded that they should not submit polyethylene strip, regardless of the The Initiation Notice states that ‘‘{i}f new factual information in written width of the strip; with or without an a producer or exporter named in this arguments or case briefs. Rebuttal briefs, extrusion coating of polypropylene and/ notice of initiation had no exports, limited to issues raised in the case or polyethylene on one or both sides of sales, or entries during the period of briefs, will be due five days later (see 19 the fabric; laminated by any method review . . . it must notify the CFR 351.309(d)). Parties who submit either to an exterior ply of plastic film Department within 60 days of case or rebuttal briefs are requested to such as biaxially-oriented publication of this notice in the Federal submit with each argument: (1) A polypropylene (‘‘BOPP’’) or to an Register.’’ 9 None of the nine companies statement of the issue; and (2) a brief exterior ply of paper that is suitable for initiated for review filed ‘‘no shipment’’ summary of the argument. Parties are high quality print graphics. Effective certifications. The Initiation Notice also requested to provide a summary of the July 1, 2007, laminated woven sacks are notifies the firms initiated for review arguments not to exceed five pages and classifiable under Harmonized Tariff that they ‘‘must complete, as a table of statutes, regulations, and cases Schedule of the United States appropriate, either a separate rate cited.14 (‘‘HTSUS’’) subheadings 6305.33.0050 application or certification’’ if they want and 6305.33.0080. Laminated woven Interested parties who wish to request to qualify for a separate rate in this a hearing, or to participate if one is sacks were previously classifiable under administrative review.10 None of the HTSUS subheading 6305.33.0020.8 The requested, must submit a written nine companies initiated for review request to the Assistant Secretary for HTSUS subheadings are provided for filed separate rate certifications or convenience and customs purposes Enforcement and Compliance, U.S. applications. Thus, because none of the Department of Commerce, filed only; the written product description of nine companies initiated for review the scope of the order is dispositive. electronically using IA ACCESS (see 19 have provided the Department with CFR 351.310(c)). An electronically filed Methodology either a ‘‘no shipment’’ certification or document must be received successfully The Department has conducted this separate rate eligibility documentation, in its entirety by the Department’s we preliminarily find that these nine review in accordance with section electronic records system, IA ACCESS, companies should be treated as part of 751(a)(2) of the Tariff Act of 1930, as by 5 p.m. Eastern Time within 30 days the PRC-wide entity.11 amended (‘‘the Act’’). For a full after the date of publication of this description of the methodology Preliminary Results of Review notice. Requests should contain the underlying our conclusions, see the party’s name, address, and telephone The Department preliminarily Preliminary Decision Memorandum, number, the number of participants, and determines that the following dumping which is hereby adopted by this notice. a list of the issues to be discussed. If a The Preliminary Decision Memorandum request for a hearing is made, the 9 is a public document and is on file See Initiation Notice, 78 FR 60834–60835. Department will inform parties of the electronically via Enforcement and 10 See id., at 60835. 11 See the Preliminary Decision Memorandum. scheduled date for the hearing which 12 The companies for which a review was will be held at the U.S. Department of 4 See Initiation Notice. requested and which we preliminarily determine Commerce, 14th Street and Constitution 5 See ‘‘Memorandum for the Record from Paul are part of the PRC-wide entity include: Cangnan Avenue NW., Washington, DC 20230, at Piquado, Assistant Secretary for Enforcement and Color Make the Bag; Han Shing Corporation Compliance, ‘Deadlines Affected by the Shutdown Limited; Jiangsu Hotsun Plastics; Ningbo Yong Feng a time and location to be determined. of the Federal Government,’ ’’ dated October 18, Packaging Co., Ltd.; Polywell Industrial Co.; Parties should confirm by telephone the 2013. Shandong Qilu Plastic Fabric Group, Ltd.; date, time, and location of the hearing. 6 See Order. Shandong Shouguang Jianyuanchun Co.; Shandong 7 See ‘‘Decision Memorandum for the Preliminary Youlian Subian Co. Ltd.; and Zibo Aifudi Plastic The Department intends to issue the Results of the 2012–2013 Administrative Review: Packaging Co., Ltd. final results of this administrative Laminated Woven Sacks from the People’s Republic 13 The PRC-wide entity rate was re-calculated review, including the results of our of China,’’ from Gary Taverman, Senior Advisor for from 91.73 percent to 47.64 percent pursuant to Antidumping and Countervailing Duty Operations, Implementation of Determinations Under Section analysis of issues raised in the written to Paul Piquado, Assistant Secretary for Import 129 of the Uruguay Round Agreements Act: Certain comments, within 120 days of Administration, (‘‘Preliminary Decision New Pneumatic Off-the-Road Tires; Circular publication of these preliminary results Memorandum’’), dated concurrently with these Welded Carbon Quality Steel Pipe; Laminated in the Federal Register. results for a complete description of the Scope of Woven Sacks; and Light-Walled Rectangular Pipe the Order. and Tube From the People’s Republic of China, 77 8 Additional HTSUS considerations apply. See FR 52683 (August 30, 2012), effective August 21, 14 See, generally, 19 CFR 351.303 for filing Preliminary Decision Memorandum. 2012. requirements.

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Assessment Rates of the relevant entries during this Consolidated Industries, Inc., and Nucor Upon issuance of the final results, the review period. Failure to comply with Corporation (collectively, ‘‘the 1 Department will determine, and U.S. this requirement could result in the petitioners’’). The petitioners are Customs and Border Protection (‘‘CBP’’) Secretary’s presumption that domestic producers of steel wire rod. shall assess, antidumping duties on all reimbursement of antidumping duties The AD Petition was accompanied by a appropriate entries. The Department occurred and the subsequent assessment countervailing duty (CVD) petition intends to issue assessment instructions of double antidumping duties. concerning imports of steel wire rod to CBP 15 days after the date of This notice is published in from the PRC. On February 4, 2014, the publication of the final results of accordance with sections 751(a)(1) and Department requested additional review. The Department announced a 777(i)(1) of the Act, 19 CFR information and clarification of certain refinement to its assessment practice in 351.221(b)(4). areas of the Petition, and on February 7 non-market economy (‘‘NME’’) cases.15 Dated: February 20, 2014. and 10, 2014, the petitioners filed a 2 Pursuant to this refinement in practice, Paul Piquado, response to each request, respectively. for entries that were not reported by Assistant Secretary for Enforcement and In accordance with section 732(b) of companies examined during this Compliance. the Tariff Act of 1930, as amended (the ‘‘Act’’), the petitioners allege that review, the Department will instruct Appendix CBP to liquidate such entries at the imports of steel wire rod from the PRC NME-wide rate. In addition, if the List of Topics Discussed in the Preliminary are being, or are likely to be, sold in the Department determines that an exporter Decision Memorandum United States at less than fair value within the meaning of section 731 of the under review had no shipments of the 1. Background subject merchandise, any suspended Act, and that such imports are 2. Scope of the Order materially injuring, or threatening entries that entered under that 3. PRC Wide Entity exporter’s case number (i.e., at that 4. PRC Wide Entity Rate material injury to, an industry in the exporter’s rate) will be liquidated at the 5. Recommendation United States. Also, consistent with section 732(b)(1) of the Act, the Petition NME-wide rate.16 [FR Doc. 2014–04353 Filed 2–26–14; 8:45 am] is accompanied by information Cash Deposit Requirements BILLING CODE 3510–DS–P reasonably available to the petitioners in The following cash deposit support of their allegations. requirements will be effective upon DEPARTMENT OF COMMERCE The Department finds that the publication of the final results of this petitioners filed this Petition on behalf administrative review for shipments of International Trade Administration of the domestic industry because the petitioners are interested parties as the subject merchandise from the PRC [A–570–012] entered, or withdrawn from warehouse, defined in section 771(9)(C) of the Act. for consumption on or after the Carbon and Certain Alloy Steel Wire The Department also finds that the publication date, as provided by Rod From the People’s Republic of petitioners demonstrated sufficient sections 751(a)(2)(C) of the Act: (1) For China: Initiation of Antidumping Duty industry support with respect to the previously investigated or reviewed PRC Investigation initiation of the AD investigation that and non-PRC exporters that received a the petitioners are requesting.3 AGENCY: Enforcement and Compliance, separate rate in a prior segment of this Period of Investigation proceeding, the cash deposit rate will formerly Import Administration, continue to be the existing exporter- International Trade Administration, The period of investigation (POI) is specific rate; (2) for all PRC exporters of Department of Commerce. July 1, 2013, through December 31, subject merchandise that have not been DATES: Effective Date: February 27, 2013, in accordance with 19 CFR found to be entitled to a separate rate 2014. 351.204(b)(1). (i.e., the firms listed in footnote 14), the FOR FURTHER INFORMATION CONTACT: Scope of the Investigation cash deposit rate will be that for the Brian Smith and Terre Keaton The product covered by this PRC-wide entity; and (3) for all non-PRC Stefanova, Office II, AD/CVD investigation is steel wire rod from the exporters of subject merchandise which Operations, Enforcement and PRC. For a full description of the scope have not received their own rate, the Compliance, International Trade of the investigation, please see the cash deposit rate will be the rate Administration, U.S. Department of ‘‘Scope of the Investigation’’ in the applicable to the PRC exporter that Commerce, 14th Street and Constitution appendix to this notice. supplied that non-PRC exporter. These Avenue NW., Washington, DC 20230; deposit requirements, when imposed, telephone: (202) 482–1766 and (202) 1 See ‘‘Petition for the Imposition of Antidumping shall remain in effect until further 482–1280, respectively. and Countervailing Duties on Carbon and Certain notice. SUPPLEMENTARY INFORMATION: Alloy Steel Wire Rod from the People’s Republic of China,’’ dated January 31, 2014 (hereafter referred Notification to Importers The Petition to as the ‘‘Petition’’); and the petitioners’ February This notice serves as a preliminary 10, 2014, filing titled, ‘‘Petitioners’ Response to On January 31, 2014, the Department Commerce Department Antidumping Supplemental reminder to the importers of their of Commerce (Department) received an Questionnaire—Carbon and Certain Alloy Steel responsibility under 19 CFR antidumping duty (AD) petition Wire Rod from the People’s Republic of China’’ 351.402(f)(2) to file a certificate concerning imports of carbon and (PRC AD Supplement), at 1. regarding the reimbursement of 2 See the petitioners’ February 7, 2014, filing certain alloy steel wire rod (steel wire titled, ‘‘Petition for the Imposition of Antidumping antidumping duties prior to liquidation rod) from the People’s Republic of Duties on Imports of Carbon and Certain Alloy Steel China (PRC), officially filed in proper Wire Rod from the People’s Republic of China: 15 For a full discussion of this practice, see Non- form on behalf of ArcelorMittal USA Response to General Supplemental Questions’’ Market Economy Antidumping Proceedings: (General Issues Supplement); see also PRC AD Assessment of Antidumping Duties, 76 FR 65694 LLC, Charter Steel, Evraz Pueblo Supplement. (October 24, 2011) (‘‘NME Assessment 2011’’). (formerly Evraz Rocky Mountain Steel), 3 See ‘‘Determination of Industry Support for the 16 See NME Assessment 2011, 76 FR 65694. Gerdau Ameristeel US Inc., Keystone Petition’’ section, below.

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Comments on the Scope of the In order to consider the suggestions of requisite industry support, the statute Investigation interested parties in developing and directs the Department to look to During our review of the Petition, we issuing the AD questionnaire, we must producers and workers who produce the solicited information from the receive comments on product domestic like product. The U.S. petitioners to ensure that the proposed characteristics no later than March 12, International Trade Commission (ITC), 2014. Rebuttal comments must be which is responsible for determining scope language is an accurate reflection received no later than March 19, 2014. whether ‘‘the domestic industry’’ has of the product for which the domestic been injured, must also determine what industry is seeking relief. Moreover, as Filing Requirements constitutes a domestic like product in discussed in the preamble to the All comments and submissions to the order to define the industry. While both Department’s regulations,4 we are Department must be filed electronically the Department and the ITC must apply setting aside a period for interested using Enforcement and Compliance’s the same statutory definition regarding parties to raise issues regarding product Antidumping and Countervailing Duty the domestic like product,6 they do so coverage. The Department encourages Centralized Electronic Service System for different purposes and pursuant to a all interested parties to submit such (IA ACCESS). An electronically filed separate and distinct statutory authority. comments by March 12, 2014, which is document must be received successfully In addition, the Department’s 20 calendar days from the signature date in its entirety by IA ACCESS by 5 p.m. determination is subject to limitations of of this notice. All comments must be on the due date. Documents excepted time and information. Although this filed on the record of the AD from the electronic submission may result in different definitions of the investigation, as well as the concurrent requirements must be filed manually like product, such differences do not CVD investigation. (i.e., in paper form) with Enforcement render the decision of either agency Comments on the Product and Compliance’s APO/Dockets Unit, contrary to law.7 Characteristics for the AD Room 1870, U.S. Department of Section 771(10) of the Act defines the Questionnaire Commerce, 14th Street and Constitution domestic like product as ‘‘a product Avenue NW., Washington, DC 20230, which is like, or in the absence of like, The Department requests comments and stamped with the date and time of most similar in characteristics and uses from interested parties regarding the receipt by the deadline established by with, the article subject to an appropriate physical characteristics of the Department.5 investigation under this title.’’ Thus, the steel wire rod to be reported in response reference point from which the to the Department’s AD questionnaire. Determination of Industry Support for the Petition domestic like product analysis begins is This information will be used to ‘‘the article subject to an investigation’’ identify the key physical characteristics Section 732(b)(1) of the Act requires (i.e., the class or kind of merchandise to of the merchandise under consideration that a petition be filed on behalf of the be investigated, which normally will be in order to report the relevant factors domestic industry. Section 732(c)(4)(A) the scope as defined in the petition). and costs of production accurately, as of the Act provides that a petition meets With regard to the domestic like well as to develop appropriate product- this requirement if the domestic product, the petitioners do not offer a comparison criteria. Interested parties producers or workers who support the definition of domestic like product may provide any information or petition account for: (i) At least 25 distinct from the scope of the comments that they believe are relevant percent of the total production of the investigation. Based on our analysis of to the development of an accurate list of domestic like product; and (ii) more the information submitted on the physical characteristics. Specifically, than 50 percent of the production of the record, we determined that steel wire interested parties may provide domestic like product produced by that rod, as defined in the scope of the comments as to which characteristics portion of the industry expressing investigation, constitutes a single are appropriate to use as: (1) General support for, or opposition to, the domestic like product and we analyzed product characteristics and (2) product- petition. Moreover, section 732(c)(4)(D) industry support in terms of that comparison criteria. We note that it is of the Act provides that, if the petition domestic like product.8 not always appropriate to use all does not establish support of domestic In determining whether the product characteristics as product- producers or workers accounting for petitioners have standing under section comparison criteria. We base product- more than 50 percent of the total comparison criteria on meaningful production of the domestic like product, 6 See section 771(10) of the Act. commercial differences among products. the Department shall: (i) Poll the 7 See USEC, Inc. v. United States, 132 F. Supp. In other words, while there may be industry or rely on other information in 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. v. United States, 688 F. Supp. 639, 644 (CIT 1988), some physical product characteristics order to determine if there is support for aff’d 865 F.2d 240 (Fed. Cir. 1989)); see also utilized by manufacturers to describe the petition, as required by Algoma Steel, 688. F. Supp. at 644 (‘‘This division steel wire rod, it may be that only a subparagraph (A); or (ii) if there is a of labor has been upheld even where it has resulted large number of producers in the in decisions which are difficult to reconcile, as select few product characteristics take when the class of merchandise found by ITA to be into account commercially meaningful industry, the Department may sold at LTFV affects several industries, not all of physical characteristics. In addition, determine industry support using a which are found by ITC to be materially injured.’’) interested parties may comment on the statistically valid sampling method to (internal citation omitted). poll the industry. 8 See Antidumping Duty Investigation Initiation order in which the physical Checklist: Carbon and Certain Alloy Steel Wire Rod characteristics should be used in Section 771(4)(A) of the Act defines from the People’s Republic of China (AD Initiation matching products. Generally, the the ‘‘industry’’ as the producers as a Checklist), at Attachment II, Analysis of Industry Department attempts to list the most whole of a domestic like product. Thus, Support for the Antidumping and Countervailing to determine whether a petition has the Duty Petitions Covering Carbon and Certain Alloy important physical characteristics first Steel Wire Rod from the People’s Republic of China and the least important characteristics (Attachment II). This checklist is dated last. 5 19 CFR 351.303(b)(1). For assistance with IA concurrently with this notice and on file ACCESS, please visit https://iaaccess.trade.gov/ electronically via IA ACCESS. Access to documents help.aspx. The IA Access handbook can be found filed via IA ACCESS is also available in the Central 4 See Antidumping Duties; Countervailing Duties; at https://iaaccess.trade.gov/help/Handbook%20on Records Unit, Room 7046 of the main Department Final Rule, 62 FR 27296, 27323 (May 19, 1997). %20Electronic%20Filing%20Procedures.pdf. of Commerce building.

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732(c)(4)(A) of the Act, we considered illustrated by reduced market share; rates). The petitioners also estimated the industry support data contained in underselling and price depression or U.S. brokerage and handling expenses the Petition with reference to the suppression; lost sales and revenues; based on industry knowledge supported domestic like product as defined in the reduced production and shipments; by a declaration. The petitioners ‘‘Scope of Investigation’’ section above. anemic capacity utilization; decline in calculated international freight To establish industry support, the employment variables; and decline in (inclusive of insurance) based on data petitioners provided the production of financial performance.16 We assessed obtained from publicly available U.S. the domestic like product in 2013 of all the allegations and supporting evidence import statistics for the average unit supporters of the Petition, and regarding material injury, threat of value of insurance and freight for compared this to the total production of material injury, and causation, and we imports of steel wire rod from the PRC the domestic like product for the entire determined that these allegations are during the POI. The petitioners domestic industry.9 We relied upon data properly supported by adequate calculated U.S. port fees (inclusive of the petitioners provided for purposes of evidence and meet the statutory harbor maintenance and merchandise measuring industry support.10 requirements for initiation.17 processing fees) by applying the port fee Based on information provided in the percentage to the U.S. price (net of all Petition, supplemental submission, and Allegation of Sales at Less Than Fair Value freight and insurance charges). The other information readily available to petitioners calculated foreign brokerage the Department, we find that the The following is a description of the and handling and foreign inland freight domestic producers who support the allegation of sales at less than fair value using average charges (inclusive of Petition account for at least 25 percent upon which the Department based its document fees, terminal handling and of the total production of the domestic decision to initiate an investigation of port charges, and customs clearance like product, in accordance with section imports of steel wire rod from the PRC. charges) for exports from the surrogate 732(c)(4)(A)(i) of the Act.11 We further The sources of data for the deductions country Indonesia,20 as published in find that the domestic producers who and adjustments relating to U.S. price Doing Business 2014: Indonesia by the support the Petition account for more and normal value are discussed in World Bank. than 50 percent of the production of the greater detail in the AD Initiation domestic like product produced by that Checklist. Normal Value portion of the industry expressing Export Price The petitioners state that the support for, or opposition to, the Department has treated the PRC as a Petition, in accordance with section The petitioners based export price non-market economy (NME) country in 12 (EP) on three U.S. price quotes for steel 732(c)(4)(A)(ii) of the Act. every proceeding in which the PRC has wire rod produced in the PRC and Accordingly, the Department been involved.21 The presumption of offered for sale to U.S. customers during determines that the Petition was filed on NME status for the PRC has not been the POI. To derive the ex-factory price, behalf of the domestic industry within revoked by the Department and, the petitioners made deductions to U.S. the meaning of section 732(b)(1) of the therefore, in accordance with section 13 price, where applicable, for U.S. inland Act. 771(18)(C)(i) of the Act, remains in freight and insurance, U.S. brokerage The Department finds that the effect for purposes of the initiation of and handling expenses, U.S. customs petitioners filed the Petition on behalf of this investigation. Accordingly, the NV duties, international freight and the domestic industry because they are of the product for the investigation is insurance, foreign brokerage and interested parties as defined in section appropriately based on factors of 771(9)(C) of the Act and they handling, and foreign inland freight.18 The petitioners also made an adjustment production valued in a surrogate demonstrated sufficient industry market-economy country in accordance support with respect to the AD to U.S. price for the unrebated portion of the value-added tax charged on steel with section 773(c) of the Act. In the investigation that they are requesting course of this investigation, all parties the Department initiate.14 wire rod in the PRC, consistent with the Department’s methodological change will have the opportunity to provide Allegations and Evidence of Material concerning treatment of VAT in non- relevant information related to the Injury and Causation market economy proceedings.19 The issues of the PRC’s NME status and granting of separate rates to individual The petitioners allege that the U.S. petitioners made no other adjustments. exporters. industry producing the domestic like The petitioners estimated U.S. inland freight (inclusive of insurance) based on The petitioners contend that product is being materially injured, or is Indonesia is the appropriate surrogate threatened with material injury, by industry knowledge supported by a declaration (i.e., barge rates) and/or country for the PRC because: (1) It is at reason of the imports of the subject a level of economic development merchandise sold at less than normal information obtained from www.freightrateindex.com (i.e., truck comparable to that of the PRC; and (2) value (NV). In addition, the petitioners it is a significant producer of allege that subject imports exceed the 22 16 comparable merchandise. Based on negligibility threshold provided for See Volume I of the Petition, at 9–20 and 15 Exhibits GEN–6, and INJ–1 through INJ–5; see also the information provided by the under section 771(24)(A) of the Act. General Issues Supplement, at 6 and Exhibit INJ– petitioners, we conclude that it is The petitioners contend that the 6. appropriate to use Indonesia as a industry’s injured condition is 17 See AD Initiation Checklist, at Attachment III, Analysis of Allegations and Evidence of Material surrogate country for initiation Injury and Causation for the Antidumping and purposes.23 After initiation of this 9 See Volume I of the Petition, at 4–5 and Exhibit Countervailing Duty Petitions Covering Carbon and GEN–1. investigation, interested parties will Certain Alloy Steel Wire Rod from the People’s 10 have the opportunity to submit See AD Initiation Checklist, at Attachment II. Republic of China. 11 Id. 18 See AD Initiation Checklist. 12 20 Id. 19 Id.; see also Methodological Change for See ‘‘Normal Value’’ section below for further 13 Id. Implementation of Section 772(c)(2)(B) of the Tariff discussion of the selection of the surrogate country. 14 Id. Act of 1930, as Amended, In Certain Non-Market 21 See Volume II of the Petition, at 1. 15 See Volume I of the Petition, at 13 and Exhibit Economy Antidumping Proceedings, 77 FR 36481 22 Id. at 1–2 and Exhibit PRC–2. INJ–1; see also General Issues Supplement, at 6. (June 19, 2012). 23 See AD Initiation Checklist.

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comments regarding surrogate country Indonesia published by the preliminary determination no later than selection and, pursuant to 19 CFR International Monetary Fund (IMF).31 140 days after the publication date of 351.301(c)(3)(i), will be provided an The petitioners valued electricity this initiation. For a discussion of opportunity to submit publicly available using a 2011 Indonesian industry evidence supporting our initiation information to value factors of electricity rate from the 2012 Handbook determination, see the AD Initiation production (FOPs) within 30 days of Energy & Economic Statistics of Checklist which accompanies this before the scheduled date of the Indonesia, and adjusted the rate for notice. preliminary determination.24 inflation using the wholesale price Respondent Selection and Quantity and The petitioners calculated NV using index (WPI) data for Indonesia Value Questionnaire the Department’s NME methodology as published by the IMF.32 required by 19 CFR 351.202(b)(7)(i)(C) The petitioners valued natural gas In accordance with our standard and 19 CFR 351.408. The petitioners using a 2012 value from LNG World practice for respondent selection in AD based NV on the production experience News and used data from investigations involving NME countries, of a major U.S. producer, adjusted for www.chemlink.com to convert the value we intend to issue quantity and value known differences, during the time and adjusted the value to the POI using questionnaires to each potential period July–December 2013.25 The CPI data from the IMF.33 respondent named in the Petition,37 and petitioners assert that, to the best of The petitioners did not include water will base respondent selection on the their knowledge, their consumption in their cost calculations because they responses received. In addition, the rates are similar to the consumption of were unable to determine the quantity Department will post the quantity and PRC producers.26 usage amount.34 value questionnaire along with the filing The petitioners valued the factors of The petitioners calculated financial instructions on the Enforcement and production using reasonably available, ratios (i.e., factory overhead expenses, Compliance Web site (http://trade.gov/ public surrogate country data, selling, general, and administrative enforcement/news.asp). Exporters and specifically, Indonesian import data expenses, and profit) based on the producers of steel wire rod from the from the Global Trade Atlas (GTA) for financial statements of Betonjaya PRC that do not receive quantity and the period April 2013 through Manunggal Tbk. (Betonjaya), an value questionnaires via mail may still September 2013, the most recent six Indonesian manufacturer of steel round submit a quantity and value response, months of data available for Indonesia at and can obtain a copy from the 27 bar (a product that the petitioners claim the time of filing the Petition. The is comparable to steel wire rod), for the Enforcement and Compliance Web site. petitioners excluded from these GTA year ending December 31, 2012.35 The quantity and value questionnaire import statistics imports from NME must be submitted by all PRC exporters/ countries, countries that maintain Fair Value Comparisons producers no later than March 13, 2014. broadly available export subsidies, and Based on the data provided by the All quantity and value questionnaires any imports from ‘‘unspecified’’ petitioners, there is reason to believe must be filed electronically using IA 28 countries. The petitioners added to the that imports of steel wire rod from the ACCESS. Indonesian import values an average PRC are being, or are likely to be, sold Separate Rates inland freight charge reported for in the United States at less than fair importing goods into Indonesia, as value. Based on comparisons of EP to In order to obtain separate rate status reported in Doing Business 2014: NV in accordance with section 773(c) of in an NME AD investigation, exporters Indonesia published by the World Bank. the Act, the petitioners calculated the and producers must submit a separate The Department determines that the estimated dumping margins to be 99.32 rate application.38 The specific surrogate values used by the petitioners to 110.25 percent with respect to requirements for submitting the separate are reasonably available and, thus, are imports of steel wire rod from the rate application in the PRC investigation acceptable for purposes of initiation. PRC.36 are outlined in detail in the application The petitioners determined direct and itself, which will be available on the packing materials costs from Indonesian Initiation of AD Investigation Department’s Web site at http:// import data from the GTA.29 The Based on our examination of the trade.gov/enforcement/news.asp on the petitioners applied certain conversion Petition on steel wire rod from the PRC, date of publication of this initiation factors to align the units of measure the Department finds that the Petition notice in the Federal Register. The with its own FOPs.30 separate rate application will be due 60 The petitioners calculated labor using meets the requirements of section 732 of days after the publication of this a 2008 Indonesian wage rate from the Act. Therefore, we are initiating an initiation notice. For exporters and LABORSTA, a labor database compiled AD investigation to determine whether producers who submit a separate rate by the International Labor Organization, imports of steel wire rod from the PRC status application and have been and adjusted this rate for inflation using are being, or likely to be, sold in the selected as mandatory respondents, the consumer price index (CPI) data for United States at less than fair value. In accordance with section 733(b)(1)(A) of these exporters and producers will no 24 See 19 CFR 351.301(c)(3)(i). Note that this is the Act and 19 CFR 351.205(b)(1), longer be eligible for consideration for the revised regulation published on April 10, 2013. unless postponed, we will issue our separate rate status unless they respond See http://enforcement.trade.gov/frn/2013/1304frn/ to all parts of the Department’s AD 2013-08227.txt. 31 See Volume II of the Petition, at 8 and Exhibit questionnaire as mandatory 25 See Volume II of the Petition, at 6 and Exhibit PRC–13. PRC–8, and PRC AD Supplement, at Exhibit PRC– 32 See PRC AD Supplement, at 10 and Exhibit 37 See General Issues Supplement, at Exhibit S8. PRC–16. GEN–S5. 26 See AD Initiation Checklist. 33 Id. at 10 and Exhibit PRC–17. 38 See Policy Bulletin 05.1: Separate—Rates 27 See Volume II of the Petition, at Exhibit PRC– 34 Id. at 9. Practice and Application of Combination Rates in 12, and PRC AD Supplement, at Exhibit PRC–S12. 35 See Volume II of the Petition, at 8–9 and Antidumping Investigation involving Non-Market 28 See PRC AD Supplement, at Exhibit PRC–S12. Exhibit PRC–14, and PRC AD Supplement, at Economy Countries (April 5, 2005) (Separate Rates 29 Id. at 6–7 and Exhibit PRC–12. Exhibit PRC–S14. and Combination Rates Bulletin), available on the 30 Id. at Exhibit PRC–12, and PRC AD 36 See PRC AD Supplement, at Exhibit PRC–S15A Department’s Web site at http:// Supplement, at Exhibit PRC–S12. through S15E. enforcement.trade.gov/policy/).

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respondents. The Department requires investigation being terminated.41 or as otherwise specified by the that the PRC respondents submit a Otherwise, this investigation will Secretary. In general, an extension response to the separate rate application proceed according to statutory and request will be considered untimely if it by the deadline referenced above in regulatory time limits. is filed after the time limit established order to receive consideration for under Part 351 expires. For submissions Submission of Factual Information separate rate status. which are due from multiple parties On April 10, 2013, the Department simultaneously, an extension request Use of Combination Rates published Definition of Factual will be considered untimely if it is filed The Department will calculate Information and Time Limits for after 10:00 a.m. on the due date. combination rates for certain Submission of Factual Information: Examples include, but are not limited respondents that are eligible for a Final Rule, 78 FR 21246 (April 10, to: (1) Case and rebuttal briefs, filed separate rate in an NME investigation. 2013), which modified two regulations pursuant to 19 CFR 351.309; (2) factual The Separate Rates and Combination related to AD and CVD proceedings: (1) information to value factors under Rates Bulletin states: The definition of factual information (19 section 19 CFR 351.408(c), or to {w}hile continuing the practice of assigning CFR 351.102(b)(21)), and (2) the time measure the adequacy of remuneration separate rates only to exporters, all separate limits for the submission of factual under section 19 CFR 351.511(a)(2), rates that the Department will now assign in information (19 CFR 351.301). The final filed pursuant to 19 CFR 351.301(c)(3) its NME investigations will be specific to rule identifies five categories of factual and rebuttal, clarification and correction those producers that supplied the exporter information in 19 CFR 351.102(b)(21), filed pursuant to 19 CFR during the period of investigation. Note, which are summarized as follows: (i) 351.301(c)(3)(iv); (3) comments however, that one rate is calculated for the Evidence submitted in response to concerning the selection of a surrogate exporter and all of the producers which questionnaires; (ii) evidence submitted country and surrogate values and supplied subject merchandise to it during the in support of allegations; (iii) publicly period of investigation. This practice applies rebuttal; (4) comments concerning U.S. both to mandatory respondents receiving an available information to value factors Customs & Border Protection (CBP) data; individually calculated separate rate as well under 19 CFR 351.408(c) or to measure and (5) quantity and value as the pool of non-investigated firms the adequacy of remuneration under 19 questionnaires. Under certain receiving the weighted-average of the CFR 351.511(a)(2); (iv) evidence placed circumstances, the Department may individually calculated rates. This practice is on the record by the Department; and (v) elect to specify a different time limit by referred to as the application of ‘‘combination evidence other than factual information which extension requests will be rates’’ because such rates apply to specific described in (i)–(iv). The final rule considered untimely for submissions combinations of exporters and one or more requires any party, when submitting which are due from multiple parties producers. The cash-deposit rate assigned to factual information, to specify under an exporter will apply only to merchandise simultaneously. In such a case, the both exported by the firm in question and which subsection of 19 CFR Department will inform parties in the produced by a firm that supplied the exporter 351.102(b)(21) the information is being letter or memorandum setting forth the during the period of investigation.39 submitted and, if the information is deadline (including a specified time) by submitted to rebut, clarify, or correct which extension requests must be filed Distribution of Copies of the Petition factual information already on the to be considered timely. This In accordance with section record, to provide an explanation modification also requires that an 732(b)(3)(A) of the Act, and 19 CFR identifying the information already on extension request must be made in a 351.202(f), copies of the public version the record that the factual information separate, stand-alone submission, and of the Petition have been provided to seeks to rebut, clarify, or correct. The clarifies the circumstances under which the Government of the PRC. Because of final rule also modified 19 CFR 351.301 the Department will grant untimely- the particularly large number of so that, rather than providing general filed requests for the extension of time producers/exporters identified in the time limits, there are specific time limits limits. These modifications are effective Petition, the Department considers the based on the type of factual information for all segments initiated on or after service of the public version of the being submitted. These modifications October 21, 2013. Please review Petition to the foreign producers/ are effective for all proceeding segments Extension of Time Limits; Final Rule, exporters to be satisfied by the provision initiated on or after May 10, 2013, and available at http://www.gpo.gov/fdsys/ of the public version of the Petition to thus are applicable to this investigation. pkg/FR-2013-09-20/html/2013- the Government of the PRC, consistent Please review the final rule, available at 22853.htm, prior to submitting factual with 19 CFR 351.203(c)(2). http://enforcement.trade.gov/frn/2013/ information in this segment. 1304frn/2013-08227.txt, prior to ITC Notification submitting factual information for this Certification Requirements We notified the ITC of our initiation, investigation. Any party submitting factual as required by section 732(d) of the Act. Revised Extension of Time Limits information in an AD or CVD Preliminary Determination by the ITC Regulation proceeding must certify to the accuracy and completeness of that information.43 The ITC will preliminarily determine, On September 20, 2013, the Parties are hereby reminded that revised within 45 days after the date on which Department modified its regulation certification requirements are in effect the Petition was filed, whether there is concerning the extension of time limits for company/government officials as a reasonable indication that imports of for submissions in AD and CVD well as their representatives in all AD or steel wire rod from the PRC materially proceedings.42 The modification CVD investigations or proceedings injure, or threaten material injury to, a clarifies that parties may request an initiated on or after August 16, 2013, U.S. industry.40 A negative ITC extension of time limits before a time including this investigation.44 The determination will result in the limit established under Part 351 expires, 43 See section 782(b) of the Act. 39 See Separate Rates and Combination Rates 41 Id. 44 See Certifications of Factual Information To Bulletin at 6 (emphasis added). 42 See Extension of Time Limits, Final Rule, 78 FR Import Administration During Antidumping and 40 See section 733(a) of the Act. 57790 (September 20, 2013). Continued

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formats for the revised certifications are DEPARTMENT OF COMMERCE The Petitioners noted in their request provided at the end of the Final Rule. that this extension will provide The Department intends to reject factual International Trade Administration additional time for the Department to submissions if the submitting party does [A–570–994, A–851–803, A–428–842, A–588– continue to gather additional not comply with the revised 871, A–580–871, A–455–804, A–821–821] information from respondents and certification requirements. perform required analysis. Grain-Oriented Electrical Steel From The Department has found no Notification to Interested Parties the People’s Republic of China, the compelling reason to deny the request Interested parties must submit Czech Republic, Germany, Japan, the and, therefore, in accordance with applications for disclosure under APO Republic of Korea, Poland, and the section 733(c)(1)(A) of the Act and 19 in accordance with 19 CFR 351.305(b). Russian Federation: Postponement of CFR 351.205(e), the Department is Instructions for filing such applications Preliminary Determinations in the postponing the deadline for the may be found on the Department’s Web Antidumping Duty Investigations preliminary determinations to no later than the 190th day after the date on site at http://enforcement.trade.gov/ AGENCY: Enforcement and Compliance, apo/index.html. which the investigations were initiated, formerly Import Administration, or May 2, 2014. In accordance with This notice is issued and published International Trade Administration, section 735(a)(1) of the Act, the deadline pursuant to section 777(i) of the Act. Department of Commerce. for the final determinations of these Dated: February 20, 2014. FOR FURTHER INFORMATION CONTACT: investigations will continue to be 75 Paul Piquado, Steve Bezirganian or Robert James at days after the date of the preliminary (202) 482–1131 or (202) 482–0649, Assistant Secretary for Enforcement and determinations, unless postponed at a Compliance. respectively, AD/CVD Operations, later date. Office VI, Enforcement and Compliance, This notice is issued and published Appendix I International Trade Administration, pursuant to section 733(c)(2) of the Act Scope of the Investigation U.S. Department of Commerce, 14th and 19 CFR 351.205(f)(1). Street and Constitution Avenue NW., Dated: February 21, 2014. The merchandise covered by this Washington, DC 20230. investigation is certain hot-rolled products of Paul Piquado, SUPPLEMENTARY INFORMATION: carbon steel and alloy steel, in coils, of Assistant Secretary for Enforcement and approximately circular cross section, less Background Compliance. than 19.00 mm in actual solid cross-sectional On October 24, 2013, the Department [FR Doc. 2014–04351 Filed 2–26–14; 8:45 am] diameter. Specifically excluded are steel BILLING CODE 3510–DS–P products possessing the above-noted physical of Commerce (the Department) initiated characteristics and meeting the Harmonized the antidumping investigations on Tariff Schedule of the United States (HTSUS) grain-oriented electrical steel from the DEPARTMENT OF COMMERCE definitions for (a) stainless steel; (b) tool People’s Republic of China, the Czech steel; (c) high nickel steel; (d) ball bearing Republic, Germany, Japan, the Republic International Trade Administration steel; or (e) concrete reinforcing bars and of Korea, Poland, and the Russian rods. Also excluded are free cutting steel Federation.1 The notice of initiation [A–570–890] (also known as free machining steel) stated that, unless postponed, the products (i.e., products that contain by Wooden Bedroom Furniture From the Department would issue its preliminary People’s Republic of China: Initiation weight one or more of the following determinations for these investigations elements: 0.1 percent or more of lead, 0.05 of Antidumping Duty New Shipper no later than 140 days after the date of Review percent or more of bismuth, 0.08 percent or the initiation in accordance with section more of sulfur, more than 0.04 percent of 773(b)(1)(A) of the Tariff Act of 1930, as AGENCY: Enforcement and Compliance, phosphorus, more than 0.05 percent of formerly Import Administration, selenium, or more than 0.01 percent of amended (the Act), and 19 CFR tellurium). All products meeting the physical 351.205(b)(1). The preliminary International Trade Administration, description of subject merchandise that are determinations currently are due no Department of Commerce. not specifically excluded are included in this later than March 13, 2014. DATES: Effective Date: February 27, scope. Postponement of the Preliminary 2014. The products under investigation are Determinations SUMMARY: The Department of Commerce currently classifiable under subheadings (‘‘Department’’) determined that the 7213.91.3011, 7213.91.3015, 7213.91.3020, On February 10, 2014, more than 25 request described below for a new 7213.91.3093; 7213.91.4500, 7213.91.6000, days before the scheduled preliminary shipper review of the antidumping duty 7213.99.0030, 7227.20.0030, 7227.20.0080, determinations, AK Steel Corporation, order on wooden bedroom furniture 7227.90.6010, 7227.90.6020, 7227.90.6030, Allegheny Ludlum, LLC, and the United (‘‘WBF’’) from the People’s Republic of and 7227.90.6035 of the HTSUS. Products Steelworkers (the Petitioners), pursuant China (‘‘PRC’’) meets the statutory and entered under subheadings 7213.99.0090 and to section 733(c)(1)(A) of the Act and 19 7227.90.6090 of the HTSUS also may be regulatory requirements for initiation. CFR 351.205(b)(2) and (e), made a The period of review (‘‘POR’’) for the included in this scope if they meet the timely request for a 50-day physical description of subject merchandise new shipper review is January 1, 2013 postponement of the preliminary through December 31, 2013. above. Although the HTSUS subheadings are determinations in these investigations.2 provided for convenience and customs FOR FURTHER INFORMATION CONTACT: purposes, the written description of the Jonathan Hill, AD/CVD Operations, 1 See Grain-Oriented Electrical Steel From the scope of this proceeding is dispositive. People’s Republic of China, the Czech Republic, Office IV, Enforcement and Compliance, [FR Doc. 2014–04345 Filed 2–26–14; 8:45 am] Germany, Japan, the Republic of Korea, Poland, and the Russian Federation: Initiation of Antidumping BILLING CODE 3510–DS–P Oriented Electrical Steel (‘‘GOES’’) from China, Duty Investigations, 78 FR 65283 (October 31, Czech Republic, Germany, Japan, South Korea, 2013). Poland, and Russia: Petitioners’ Request for Countervailing Duty Proceedings, 78 FR 42678 (July 2 See Letter from Petitioners to Secretary of Extension of Preliminary Determination,’’ dated 17, 2013) (Final Rule). Commerce, ‘‘Antidumping Investigations of Grain- February 10, 2014.

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International Trade Administration, In addition to the certifications indication that the exporter is not U.S. Department of Commerce, 14th described above, pursuant to 19 CFR subject to either de jure or de facto Street and Constitution Avenue NW., 351.214(b)(2)(iv), Wuxi Yushea government control with respect to its Washington, DC 20230; telephone: (202) submitted documentation establishing exports of wooden bedroom furniture. 482–3518. the following: (1) The date on which it We will instruct CBP to allow, at the SUPPLEMENTARY INFORMATION: first shipped wooden bedroom furniture option of the importer, the posting, until for export to the United States; (2) the the completion of the review, of a bond Background volume of its first shipment; and (3) the or security in lieu of a cash deposit for The antidumping duty order on date of its first sale to an unaffiliated certain entries of the subject wooden bedroom furniture from the customer in the United States.5 merchandise from Wuxi Yushea in PRC was published on January 4, 2005.1 The Department conducted a CBP accordance with section 751(a)(2)(B)(iii) On January 30, 2014, pursuant to database query and confirmed by of the Act and 19 CFR 351.214(e). section 751(a)(2)(B)(i) of the Tariff Act examining the results of the CBP data Because Wuxi Yushea exports and of 1930, as amended (the ‘‘Act’’), and 19 query that Wuxi Yushea’s subject produces the subject merchandise, the CFR 351.214(c), the Department merchandise entered the United States sales of which form the basis of its new received a timely request for a new during the POR specified by the shipper review request, we will instruct shipper review from Wuxi Yushea Department’s regulations.6 CBP to permit the use of a bond only for 2 entries of subject merchandise which Furniture Co., Ltd. (‘‘Wuxi Yushea’’). Initiation of New Shipper Review On February 7, 2014, the Department the respondent exported and produced. received entry data from U.S. Customs Pursuant to section 751(a)(2)(B) of the Interested parties requiring access to and Border Protection (‘‘CBP’’).3 We Act, 19 CFR 351.214(b), and based on proprietary information in this new also requested entry documents from the information on the record, the shipper review should submit CBP in order to confirm certain Department finds that Wuxi Yushea applications for disclosure under information reported by Wuxi Yushea. meets the threshold requirements for administrative protective order in The continuation of the new shipper initiation of a new shipper review of its accordance with 19 CFR 351.305 and shipment(s) of wooden bedroom 351.306. review will be contingent upon 7 confirmation of the information furniture from the PRC. However, if the This initiation and notice are reported in the initiation request. information supplied by Wuxi Yushea is published in accordance with section later found to be incorrect or Wuxi Yushea stated that it is the 751(a)(2)(B) of the Act and 19 CFR insufficient during the course of this producer and exporter of the subject 351.214 and 351.221(c)(1)(i). proceeding, the Department may rescind merchandise upon which its request for Dated: February 21, 2014. the review or apply adverse facts a new shipper review is based. Pursuant Christian Marsh, available pursuant to section 776 of the to section 751(a)(2)(B)(i)(I) of the Act Deputy Assistant Secretary for Antidumping Act, depending upon the facts on the and 19 CFR 351.214(b)(2)(i), Wuxi and Countervailing Duty Operations. record. The POR for the new shipper Yushea certified that it did not export [FR Doc. 2014–04335 Filed 2–26–14; 8:45 am] review of Wuxi Yushea is January 1, wooden bedroom furniture to the BILLING CODE 3510–DS–P 2013, through December 31, 2013.8 United States during the period of Pursuant to 19 CFR 351.221(c)(1)(i), the investigation (‘‘POI’’). In addition, Department will publish the notice of pursuant to section 751(a)(2)(B)(i)(II) of DEPARTMENT OF COMMERCE initiation of a new shipper review no the Act and 19 CFR 351.214(b)(2)(iii)(A), later than the last day of the month Wuxi Yushea certified that, since the International Trade Administration following the anniversary or semiannual initiation of the investigation, it has anniversary month of the order. The [A–570–985] never been affiliated with any PRC Department intends to issue the exporter or producer who exported Xanthan Gum From the People’s preliminary results of this review no wooden bedroom furniture to the Republic of China: Initiation of later than 180 days from the date of United States during the POI, including Antidumping Duty New Shipper initiation, and the final results of this those not individually examined during Review review no later than 90 days after the the investigation. As required by 19 CFR date the preliminary results are issued.9 AGENCY: Enforcement and Compliance, 351.214(b)(2)(iii)(B), Wuxi Yushea also It is the Department’s usual practice, formerly Import Administration, certified that its export activities were in cases involving non-market International Trade Administration, not controlled by the central economies (‘‘NME’’), to require that a Department of Commerce. government of the PRC.4 company seeking to establish eligibility DATES: Effective Date: February 27, for an antidumping duty rate separate 2014. 1 See Notice of Amended Final Determination of from the NME-wide entity to provide Sales at Less Than Fair Value and Antidumping SUMMARY: The Department of Commerce Duty Order: Wooden Bedroom Furniture From the evidence of de jure and de facto absence (‘‘Department’’) determined that the People’s Republic of China, 70 FR 329 (January 4, of government control over the request described below for a new 2005). company’s export activities. shipper review of the antidumping duty 2 See Letter from Yushea to the Secretary of Accordingly, we will issue a Commerce ‘‘Wooden Bedroom Furniture from the order on xanthan gum from the People’s People’s Republic of China: New Shipper Review questionnaire to Wuxi Yushea which Republic of China (‘‘PRC’’) meets the Request for Wuxi Yushea Furniture Co., Ltd.,’’ will include a separate rate section. The statutory and regulatory requirements dated January 30, 2014. review of the exporter will proceed if for initiation. The period of review 3 See Memorandum to the File through Abdelali the response provides sufficient (‘‘POR’’) for the new shipper review is Elouaradia, Director, AD/CVD Operations, Office IV ‘‘Initiation of Antidumping New Shipper Review of July 19, 2013, through December 31, 5 Wooden Bedroom Furniture from the People’s Id. 2013. Republic of China: Wuxi Yushea Furniture Co., Ltd. 6 See 19 CFR 351.214(g)(1)(i)(A). Initiation Checklist,’’ dated concurrently with this 7 See, generally, Initiation Checklist. FOR FURTHER INFORMATION CONTACT: notice (‘‘Initiation Checklist’’), at items 14–17. 8 See 19 CFR 351.214(g)(1)(i)(A). Brandon Farlander, AD/CVD 4 See, generally, Initiation Checklist. 9 See section 751(a)(2)(B)(iv) of the Act. Operations, Office IV, Enforcement and

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Compliance, International Trade request for a new shipper review is Initiation of New Shipper Review Administration, U.S. Department of based.6 However, Meihua requests that Pursuant to section 751(a)(2)(B) of the Commerce, 14th Street and Constitution the Department review the affiliation of Act, 19 CFR 351.214(b), and based on Avenue NW., Washington, DC 20230; the three companies named above, find the information on the record, the telephone: (202) 482–0182. them to be a single entity, and initiate Department finds that Meihua Hong SUPPLEMENTARY INFORMATION: a new shipper review of the collapsed Kong meets the threshold requirements Background entity. Because it is not the for initiation of a new shipper review of Department’s practice to consider its shipment of xanthan gum from the The Department published the collapsing producers or treating two or PRC.12 However, if the information antidumping duty order on xanthan more parties as a single entity at the supplied by Meihua Hong Kong is later 1 gum from the PRC on July 19, 2013. On initiation stage of a new shipper review, found to be incorrect or insufficient January 10, 2014, pursuant to section we have not treated the three companies during the course of this proceeding, the 751(a)(2)(B)(i) of the Tariff Act of 1930, as a single entity for purposes of this Department may rescind the review or as amended (the ‘‘Act’’), and 19 CFR initiation. Affiliation and collapsing apply facts available pursuant to section 351.214(c), the Department received a issues can be raised and considered 776 of the Act, depending upon the facts timely request for a new shipper review during the course of the new shipper on the record. The POR for the new from Meihua Group International review. shipper review of Meihua Hong Kong is Trading (Hong Kong) Limited (‘‘Meihua July 19, 2013, through December 31, Hong Kong’’), Langfang Meihua Bio- Pursuant to section 751(a)(2)(B)(i)(I) of 2013.13 Pursuant to 19 CFR Technology Co., Ltd. (‘‘Meihua Bio- the Act and 19 CFR 351.214(b)(2)(i), 351.221(c)(1)(i), the Department will Technology’’) and Xinjiang Meihua Meihua Hong Kong and Meihua Amino publish the notice of initiation of a new Amino Acid Co., Ltd. (‘‘Meihua Amino Acid certified that they did not export shipper review no later than the last day Acid’’) (collectively ‘‘Meihua’’).2 On xanthan gum to the United States during of the month following the anniversary January 23, 2014, the Department the period of investigation (‘‘POI’’).7 In month or semiannual anniversary received entry data from U.S Customs addition, pursuant to section month of the order. The Department and Border Protection (‘‘CBP’’) relating 751(a)(2)(B)(i)(II) of the Act and 19 CFR intends to issue the preliminary results to this request for a new shipper 351.214(b)(2)(iii)(A), Meihua Hong Kong of this review no later than 180 days review.3 In addition, the Department and Meihua Amino Acid certified that, from the date of initiation, and the final requested that CBP provide entry since the initiation of the investigation, results of this review no later than 90 documents pertaining to the entry that they have never been affiliated with an days after the date the preliminary is subject to this new shipper review in exporter or producer that exported results are issued.14 order to confirm certain information xanthan gum to the United States during It is the Department’s usual practice, reported in the Initiation Request.4 The the POI, including those not in cases involving non-market continuation of the new shipper review individually examined during the economies (‘‘NME’’), to require that a will be contingent upon confirmation of investigation.8 As required by 19 CFR company seeking to establish eligibility the information reported in the 351.214(b)(2)(iii)(B), Meihua Hong Kong for an antidumping duty rate separate Initiation Request. and Meihua Amino Acid also certified from the NME-wide entity to provide Meihua reported that the sale of that their export activities were not evidence of the absence of de jure and subject merchandise upon which the controlled by the government of the de facto government control over the request for the new shipper review is PRC.9 company’s export activities. based, was made through Meihua Hong Accordingly, the Department will issue Kong and the subject merchandise was In addition to the certifications a questionnaire to Meihua Hong Kong produced by Meihua Amino Acid.5 described above, pursuant to 19 CFR which will include a section requesting Meihua did not state that Meihua Bio- 351.214(b)(2)(iv), Meihua Hong Kong information with regard to its export Technology either sold or produced the submitted documentation establishing activities for the purpose of establishing subject merchandise on which the the following: (1) The date on which it Meihua Hong Kong’s eligibility for a first shipped xanthan gum for export to separate rate. The review of Meihua 1 See Xanthan Gum From the People’s Republic the United States and the date on which Hong Kong will proceed if the response of China: Amended Final Determination of Sales at the xanthan gum was first entered, or Less Than Fair Value and Antidumping Duty Order, provides sufficient indication that 78 FR 43143 (July 19, 2013) (‘‘Order’’). withdrawn from warehouse, for Meihua Hong Kong is not subject to 2 See Letter to the Secretary of Commerce ‘‘Re: consumption; (2) the volume of its first either de jure or de facto government Xanthan Gum from the People’s Republic of China shipment; and (3) the date of its first control with respect to its exports of Entry of Appearance and Request for New Shipper sale to an unaffiliated customer in the Review,’’ dated January 10, 2014 (‘‘Initiation subject merchandise. 10 Request’’). United States. The Department will instruct CBP to 3 See Memorandum to the File from Howard The Department conducted a CBP allow, at the option of the importer, the Smith, Program Manager, AD/CVD Operations, posting, until the completion of the Office IV regarding ‘‘U.S. Customs and Border database query and confirmed by examining the results of the CBP data review, of a bond or security in lieu of Protection Data; Customs Query Results for Meihua a cash deposit for entries of subject Group International Trading (Hong Kong) Limited, query that Meihua Amino Acid’s subject Langfang Meihua Bio-Technology Co., Ltd., and merchandise entered the United States Xinjiang Meihua Amino Acid Co., Ltd.,’’ dated 12 See, generally, Memorandum to the File concurrently with this notice. during the POR specified by the through Abdelali Elouaradia, Director, AD/CVD 4 See Memorandum to Michael Walsh, Director, Department’s regulations.11 Operations, Office IV ‘‘Initiation of Antidumping AD/CVD/Revenue Policy & Programs, Office of New Shipper Review of Xanthan Gum from the International Trade, U.S. Customs and Border People’s Republic of China: Meihua Group 6 Id. Protection, from Abdelali Elouaradia, Director International Trading (Hong Kong) Limited 7 Office IV, AD/CVD Operations, Enforcement and Id. at 3. Initiation Checklist,’’ dated concurrently with this Compliance, ‘‘Request for U.S. Entry Documents— 8 Id. at 3. notice. Xanthan Gum from the People’s Republic of China 9 Id. at 3. 13 See 19 CFR 351.214(g)(1)(ii)(B). (A–570–985),’’ dated January 31, 2014. 10 Id. at Exhibit 2. 14 See section 751(a)(2)(B)(iv) of the Act; 19 CFR 5 See Initiation Request at 2. 11 See 19 CFR 351.214(g)(1)(i)(A). 351.214(i).

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merchandise from Meihua Hong Kong Evraz Rocky Mountain Steel), Gerdau received responses from, the petitioners in accordance with section Ameristeel US Inc., Keystone pertaining to the proposed scope in 751(a)(2)(B)(iii) of the Act and 19 CFR Consolidated Industries, Inc., and Nucor order to ensure that the scope language 351.214(e). Because Meihua Hong Kong Corporation (collectively, the in the petition would be an accurate certified that it exported the subject petitioners).1 The CVD petition was reflection of the products for which the merchandise that was produced by accompanied by an antidumping duty domestic industry is seeking relief. As Meihua Amino Acid and that such (AD) petition with respect to the PRC.2 discussed in the Preamble to the merchandise is the subject of this new The petitioners are domestic producers regulations,6 we are setting aside a shipper review, the Department will of steel wire rod. On February 5, 2014, period for interested parties to raise apply the bonding privilege only for the Department requested information issues regarding product coverage. The subject merchandise produced by and clarification for certain portions of Department encourages interested Meihua Amino Acid and exported by the petition.3 The petitioners filed their parties to submit such comments by Meihua Hong Kong. response to this request on February 11, 5:00 p.m. EST on March 12, 2014. All Interested parties requiring access to 2014.4 comments must be filed on the records proprietary information in this new In accordance with section 702(b)(1) of the PRC CVD investigation, as well as shipper review should submit of the Tariff Act of 1930, as amended the concurrent PRC AD investigation. applications for disclosure under (the Act), the petitioners allege that the Filing Requirements administrative protective order in Government of the PRC (GOC) is accordance with 19 CFR 351.305 and providing countervailable subsidies All submissions to the Department 351.306. (within the meaning of sections 701 and must be filed electronically using This initiation and notice are 771(5) of the Act) with respect to Enforcement and Compliance’s published in accordance with section imports of steel wire rod from the PRC, Antidumping and Countervailing Duty 751(a)(2)(B) of the Act and 19 CFR and that imports of steel wire rod from Centralized Electronic Service System 351.214 and 351.221(c)(1)(i). the PRC are materially injuring, and (IA ACCESS). An electronically filed document must be received successfully Dated: February 21, 2014. threaten material injury to, the domestic industry producing steel wire rod in the in its entirety by the time and date Christian Marsh, United States. The Department finds noted above. Documents excepted from Deputy Assistant Secretary for Antidumping that the petitioners filed the petition on the electronic submission requirements and Countervailing Duty Operations. behalf of the domestic industry because must be filed manually (i.e., in paper [FR Doc. 2014–04340 Filed 2–26–14; 8:45 am] the petitioners are interested parties as form) with Enforcement and BILLING CODE 3510–DS–P defined in sections 771(9)(C) and (D) of Compliance’s APO/Dockets Unit, Room the Act, and that the petitioners 1870, Department of Commerce, 14th demonstrated sufficient industry Street and Constitution Avenue NW., DEPARTMENT OF COMMERCE support with respect to the initiation of Washington, DC 20230, and stamped International Trade Administration the investigation the petitioners are with the date and time of receipt by the requesting.5 deadline noted above.7 [C–570–013] Period of Investigation Consultations Carbon and Certain Alloy Steel Wire The period of investigation (POI) is Pursuant to section 702(b)(4)(A)(ii) of Rod From the People’s Republic of January 1, 2013, through December 31, the Act, the Department invited China: Initiation of Countervailing Duty 2013. representatives of the GOC for Investigation consultations with respect to the Scope of Investigation 8 AGENCY: Enforcement and Compliance, petition. Consultations were held with The product covered by this 9 formerly Import Administration, the GOC on February 18, 2014. investigation is steel wire rod from the International Trade Administration, PRC. For a full description of the scope Determination of Industry Support for Department of Commerce. of this investigation, see ‘‘Scope of the Petition DATES: Effective Date: February 27, Investigation’’ at Appendix I of this Section 702(b)(1) of the Act requires 2014. notice. that a petition be filed on behalf of the FOR FURTHER INFORMATION CONTACT: Comments on Scope of Investigation domestic industry. Section 702(c)(4)(A) Rebecca Trainor at (202) 482–4007 or of the Act provides that a petition meets Irene Darzenta Tzafolias at (202) 482– During our review of the petition, the this requirement if the domestic 0922, AD/CVD Operations, Enforcement Department issued questions to, and producers or workers who support the and Compliance, International Trade petition account for: (i) At least 25 1 See Petition for the Imposition of Countervailing Administration, Department of Duties on Imports of Carbon and Certain Alloy Steel Commerce, 14th Street and Constitution Wire Rod from the People’s Republic of China, 6 See Antidumping Duties; Countervailing Duties, Avenue NW., Washington, DC 20230. dated January 31, 2013 (CVD petition or petition). 62 FR 27296, 27323 (May 19, 1997). 2 See Petition for the Imposition of Antidumping 7 See 19 CFR 351.303(b). Information regarding IA SUPPLEMENTARY INFORMATION : Duties on Imports of Carbon and Certain Alloy Steel ACCESS assistance can be found at https://iaaccess. The Petition Wire Rod from the People’s Republic of China, trade.gov/help.aspx and a handbook can be found dated January 31, 2013 (AD petition). at https://iaaccess.trade.gov/help/Handbook%20on On January 31, 2013, the Department 3 See Petition for the Imposition of Countervailing %20Electronic%20Filing%20Procedures.pdf. of Commerce (the Department) received Duties on Carbon and Certain Alloy Steel Wire Rod 8 See Letter of Invitation Regarding from the People’s Republic of China: Supplemental Countervailing Duty Petition on Carbon and Alloy a countervailing duty (CVD) petition Questions, dated February 5, 2014. Steel Wire Rod from the People’s Republic of China, concerning imports of carbon and 4 See Petitioners’ Response to Commerce dated January 31, 2014. certain alloy steel wire rod (steel wire Department Request for Petition Clarifications— 9 See Memorandum to the File, ‘‘Consultations rod) from the People’s Republic of Carbon and Certain Steel Wire Rod from the with Official from the Government of the People’s People’s Republic of China, dated February 11, Republic of China on the Countervailing Duty China (PRC), filed in proper form, on 2014. Petition Regarding Carbon and Alloy Steel Wire behalf of ArcelorMittal USA LLC, 5 See ‘‘Determination of Industry Support for the Rod from the People’s Republic of China,’’ dated Charter Steel, Evraz Pueblo (formerly Petition’’ below. February 19, 2014.

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percent of the total production of the distinct from the scope of the The Department finds that the domestic like product; and (ii) more investigation. Based on our analysis of petitioners filed the petition on behalf of than 50 percent of the production of the the information submitted on the the domestic industry because they are domestic like product produced by that record, we determined that steel wire interested parties as defined in section portion of the industry expressing rod, as defined in the scope of the 771(9)(C) of the Act and they have support for, or opposition to, the investigation, constitutes a single demonstrated sufficient industry petition. Moreover, section 702(c)(4)(D) domestic like product and we analyzed support with respect to the of the Act provides that, if the petition industry support in terms of that countervailing duty investigation that does not establish support of domestic domestic like product.12 they are requesting the Department producers or workers accounting for In determining whether the initiate.17 petitioners have standing under section more than 50 percent of the total Injury Test production of the domestic like product, 702(c)(4)(A) of the Act, we considered the Department shall: (i) Poll the the industry support data contained in Because the PRC is a ‘‘Subsidies industry or rely on other information in the petition with reference to the Agreement Country’’ within the order to determine if there is support for domestic like product as defined in the meaning of section 701(b) of the Act, the petition, as required by ‘‘Scope of Investigation’’ section above. section 701(a)(2) of the Act applies to subparagraph (A); or (ii) if there is a To establish industry support, the this investigation. Accordingly, the ITC large number of producers in the petitioners provided the production of must determine whether imports of the industry, the Department may the domestic like product in 2013 of all subject merchandise from the PRC determine industry support using a supporters of the petition, and materially injure, or threaten material statistically valid sampling method to compared this to the total production of injury to, a U.S. industry. poll the industry. the domestic like product for the entire 13 Allegations and Evidence of Material Section 771(4)(A) of the Act defines domestic industry. We relied upon Injury and Causation data the petitioners provided for the ‘‘industry’’ as the producers as a The petitioners allege that imports of whole of a domestic like product. Thus, purposes of measuring industry 14 the subject merchandise are benefitting to determine whether a petition has the support. Based on information provided in the from countervailable subsidies and that requisite industry support, the statute such imports are causing, or threaten to directs the Department to look to petition, supplemental submission, and other information readily available to cause, material injury to the U.S. producers and workers who produce the industry producing the domestic like domestic like product. The U.S. the Department, we determine that the petitioners have met the statutory product. The petitioners allege that International Trade Commission (ITC), subject imports exceed the negligibility which is responsible for determining criteria for industry support under section 702(c)(4)(A)(i) of the Act threshold provided for under section whether ‘‘the domestic industry’’ has because the domestic producers (or 771(24)(A) of the Act.18 been injured, must also determine what workers) who support the petition The petitioners contend that the constitutes a domestic like product in account for at least 25 percent of the industry’s injured condition is order to define the industry. While both total production of the domestic like illustrated by reduced market share; the Department and the ITC must apply product.15 Based on information underselling and price depression or the same statutory definition regarding provided in the petition, the domestic suppression; lost sales and revenues; the domestic like product,10 they do so producers (or workers) have met the reduced production and shipments; for different purposes and pursuant to a statutory criteria for industry support anemic capacity utilization; decline in separate and distinct authority. In under section 702(c)(4)(A)(ii) of the Act employment variables; and decline in addition, the Department’s because the domestic producers (or financial performance.19 We assessed determination is subject to limitations of workers) who support the petition the allegations and supporting evidence time and information. Although this account for more than 50 percent of the regarding material injury, threat of may result in different definitions of the production of the domestic like product material injury, and causation, and we like product, such differences do not produced by that portion of the industry determined that these allegations are render the decision of either agency expressing support for, or opposition to, properly supported by adequate 11 contrary to law. the petition. Accordingly, the evidence and meet the statutory Section 771(10) of the Act defines the Department determines that the petition requirements for initiation.20 domestic like product as ‘‘a product was filed on behalf of the domestic which is like, or in the absence of like, Initiation of Countervailing Duty industry within the meaning of section Investigation most similar in characteristics and uses 702(b)(1) of the Act.16 with, the article subject to an Section 702(b)(1) of the Act requires the Department to initiate a CVD investigation under this title.’’ Thus, the 12 See Countervailing Duty Investigation reference point from which the Initiation Checklist: Carbon and Certain Alloy Steel investigation whenever an interested domestic like product analysis begins is Wire Rod from the People’s Republic of China (CVD ‘‘the article subject to an investigation’’ Initiation Checklist), at Attachment II, Analysis of 17 Id. Industry Support for the Antidumping and (i.e., the class or kind of merchandise to 18 See Volume I of the Petition, at 13 and Exhibit Countervailing Duty Petitions Covering Carbon and INJ–1; see also General Issues Supplement to the be investigated, which normally will be Certain Alloy Steel Wire Rod from the People’s Petition, dated February 7, 2014 (General Issues the scope as defined in the petition). Republic of China (Attachment II). This checklist is Supplement), at 6. dated concurrently with this notice and on file 19 See Volume I of the Petition, at 9–20 and With regard to the domestic like electronically via IA ACCESS. Access to documents product, the petitioners do not offer a Exhibits GEN–6, and INJ–1 through INJ–5; see also filed via IA ACCESS is also available in the Central General Issues Supplement, at 6 and Exhibit INJ– definition of domestic like product Records Unit, Room 7046 of the main Department 6. of Commerce building. 20 13 See CVD Initiation Checklist, at Attachment III, 10 See section 771(10) of the Act. See Volume I of the Petition, at 4–5 and Exhibit Analysis of Allegations and Evidence of Material 11 See USEC, Inc. v. United States, 132 F. Supp. GEN–1. Injury and Causation for the Antidumping and 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. 14 See CVD Initiation Checklist, at Attachment II. Countervailing Duty Petitions Covering Carbon and v. United States, 688 F. Supp. 639, 644 (CIT 1988), 15 Id. Certain Alloy Steel Wire Rod from the People’s aff’d 865 F.2d 240 (Fed. Cir. 1989)). 16 Id. Republic of China.

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party files a CVD petition on behalf of publication of this notice. Comments factual information, to specify under an industry that: (1) Alleges the must be filed in accordance with the which subsection of 19 CFR elements necessary for an imposition of filing requirements stated above. If 351.102(b)(21) the information is being a duty under section 701(a) of the Act; respondent selection is necessary, we submitted and, if the information is and (2) is accompanied by information intend to base our decision regarding submitted to rebut, clarify, or correct reasonably available to the petitioner respondent selection upon comments factual information already on the supporting the allegations. In the received from interested parties and our record, to provide an explanation petition, the petitioners allege that analysis of the record information identifying the information already on producers/exporters of steel wire rod in within 20 days of publication of this the record that the factual information the PRC benefited from countervailable notice. seeks to rebut, clarify, or correct. The subsidies bestowed by the government. final rule also modified 19 CFR 351.301 Distribution of Copies of the Petition The Department has examined the so that, rather than providing general petition and finds that it complies with In accordance with section time limits, there are specific time limits the requirements of section 702(b)(1) of 702(b)(4)(A)(i) of the Act and 19 CFR based on the type of factual information the Act. Therefore, in accordance with 351.202(f), copies of the public version being submitted. These modifications section 702(b)(1) of the Act, we are of the petitions have been provided to are effective for all segments initiated on initiating a CVD investigation to the GOC via IA ACCESS. To the extent or after May 10, 2013, and thus are determine whether manufacturers, practicable, we will attempt to provide applicable to this investigation. Please producers, or exporters of steel wire rod a copy of the public version of the review the final rule, available at from the PRC receive countervailable petition to each known exporter (as http://enforcement.trade.gov/frn/2013/ subsidies from the government. named in the petition), as provided in 1304frn/2013-08227.txt, prior to Based on our review of the petition, 19 CFR 351.203(c)(2). submitting factual information in this we find that there is sufficient investigation. information to initiate a CVD ITC Notification investigation on certain alleged We notified the ITC of our initiation, Certification Requirements programs. For a full discussion of the as required by section 702(d) of the Act. Any party submitting factual basis for our decision to initiate or not Preliminary Determination by the ITC information in an AD or CVD initiate on each program, see PRC CVD proceeding must certify to the accuracy Initiation Checklist. The ITC will preliminarily determine, and completeness of that information.23 A public version of the initiation within 45 days after the date on which Parties are hereby reminded that the checklist is available on IA ACCESS and the petition was filed, whether there is Department issued a final rule with at http://trade.gov/enforcement/ a reasonable indication that imports of respect to certification requirements, news.asp. steel wire rod from the PRC are effective August 16, 2013. Parties are materially injuring, or threatening hereby reminded that revised Respondent Selection 22 material injury to, a U.S. industry. A certification requirements are in effect For this investigation, the Department negative ITC determination will result for company/government officials as intends to select respondents based on in the investigation being terminated; well as their representatives. All U.S. Customs and Border Protection otherwise, this investigation will segments of any AD or CVD proceedings (CBP) data for U.S. imports of subject proceed according to statutory and initiated on or after August 16, 2013, merchandise during the POI under the regulatory time limits. should use the formats for the revised following Harmonized Tariff Schedule certifications provided at the end of the of the United States (HTS) numbers: Submission of Factual Information Final Rule.24 The Department intends to 7213.91.3011, 7213.91.3015, On April 10, 2013, the Department reject factual submissions if the 7213.91.3020, 7213.91.3093; published Definition of Factual submitting party does not comply with 7213.91.4500, 7213.91.6000, Information and Time Limits for the applicable revised certification 7213.99.0030, 7227.20.0030, Submission of Factual Information: requirements. 7227.20.0080, 7227.90.6010, Final Rule, 78 FR 21246 (April 10, 7227.90.6020, 7227.90.6030, 2013), which modified two regulations Extension of Time Limits 21 7227.90.6035, and 7227.90.6085. We related to AD and CVD proceedings: The On September 20, 2013, the intend to release the CBP data under definition of factual information (19 Department published Extension of Administrative Protective Order (APO) CFR 351.102(b)(21)), and the time limits Time Limits, Final Rule, 78 FR 57790 to all parties with access to information for the submission of factual (September 20, 2013), which modified protected by APO shortly after the information (19 CFR 351.301). The final one regulation related to AD and CVD announcement of this case initiation. rule identifies five categories of factual proceedings regarding the extension of Interested parties must submit information in 19 CFR 351.102(b)(21), time limits for submissions in such applications for disclosure under APO which are summarized as follows: (i) proceedings (19 CFR 351.302(c)). These in accordance with 19 CFR 351.305(b). Evidence submitted in response to modifications are effective for all Instructions for filing such applications questionnaires; (ii) evidence submitted segments initiated on or after October may be found at http:// in support of allegations; (iii) publicly 21, 2013, and thus are applicable to this enforcement.trade.gov/apo/. available information to value factors investigation. Please review the final Interested parties may submit under 19 CFR 351.408(c) or to measure rule, available at http://www.gpo.gov/ comments regarding the CBP data and the adequacy of remuneration under 19 respondent selection by 5:00 p.m. EST CFR 351.511(a)(2); (iv) evidence placed 23 See section 782(b) of the Act. on the seventh calendar day after on the record by the Department; and (v) 24 See Certification of Factual Information To evidence other than factual information Import Administration During Antidumping and 21 While HTS number 7227.90.6085 is not described in (i)–(iv). The final rule Countervailing Duty Proceedings, 78 FR 42678 (July included in the scope, information in the petition 17, 2013) (Final Rule); see also the frequently asked indicates that certain subject merchandise was requires any party, when submitting questions regarding the Final Rule, available at the classified under this number during the POI. See following: http://enforcement.trade.gov/tlei/ Volume I of the Petition, at 8. 22 See section 703(a) of the Act. notices/factual_info_final_rule_FAQ_07172013.pdf.

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fdsys/pkg/FR-2013-09-20/html/2013- CONSUMER PRODUCT SAFETY Written Submissions 22853.htm prior to requesting an COMMISSION Submit written submissions in the extension. following way: Notification to Interested Parties [CPSC Docket No. CPSC–2011–0081] Mail/Hand delivery/Courier, preferably in five copies, to: Office of the Interested parties must submit CPSC Workshop on Potential Ways To Secretary, Consumer Product Safety applications for disclosure under APO Reduce Third Party Testing Costs Commission, Room 820, 4330 East West in accordance with 19 CFR 351.305. On Through Determinations Consistent Highway, Bethesda, MD 20814; January 22, 2008, the Department With Assuring Compliance telephone (301) 504–7923. published Antidumping and AGENCY: Consumer Product Safety Instructions: All submissions received Countervailing Duty Proceedings: Commission. must include the agency name and Documents Submission Procedures; docket number for this notice. All APO Procedures, 73 FR 3634 (January ACTION: Announcement of meeting and comments received may be posted 22, 2008). Parties wishing to participate request for comments. without change, including any personal in this investigation should ensure that SUMMARY: The Consumer Product Safety identifiers, contact information, or other they meet the requirements of these Commission (CPSC, Commission, or we) personal information provided, to: procedures (e.g., the filing of letters of staff is holding a workshop on potential http://www.regulations.gov. Do not appearance as discussed at 19 CFR ways to reduce third party testing costs submit confidential business 351.103(d)). through determinations consistent with information, trade secret information, or This notice is issued and published assuring compliance. We invite other sensitive or protected information pursuant to section 777(i) of the Act. interested parties to participate in or electronically. Such information should be submitted in writing. Dated: February 20, 2014. attend the workshop and to submit written comments. Docket: For access to the docket to Paul Piquado, read background documents or Assistant Secretary for Enforcement and DATES: The workshop will be held from comments received, go to: http:// Compliance. 9 a.m. to 4 p.m. on April 3, 2014. www.regulations.gov, and insert the Individuals interested in serving on Appendix I Docket No. CPSC–2011–0081, into the panels or presenting information at the ‘‘Search’’ box, and follow the prompts. Scope of the Investigation workshop should register by March 13, 2014; all other individuals who wish to FOR FURTHER INFORMATION CONTACT: Ms. The merchandise covered by this Jacqueline Campbell, Directorate for investigation is certain hot-rolled products of attend the workshop should register by carbon steel and alloy steel, in coils, of March 27, 2014. The workshop will also Engineering Sciences, 5 Research Place, approximately circular cross section, less be available through a webcast, but Rockville, MD 20850; telephone 301– than 19.00 mm in actual solid cross-sectional viewers will not be able to interact with 987–2024; email: [email protected]. diameter. Specifically excluded are steel the panels and presenters. Written SUPPLEMENTARY INFORMATION: products possessing the above-noted physical comments must be received by April 17, I. Background characteristics and meeting the Harmonized 2014. Tariff Schedule of the United States (HTSUS) A. What does the law require? definitions for (a) stainless steel; (b) tool ADDRESSES: The workshop will be held steel; (c) high nickel steel; (d) ball bearing at the CPSC’s National Product Testing The Consumer Product Safety steel; or (e) concrete reinforcing bars and and Evaluation Center, 5 Research Improvement Act of 2008 (CPSIA) rods. Also excluded are free cutting steel Place, Rockville, MD 20850. There is no established limits for the maximum lead (also known as free machining steel) charge to attend the workshop. Persons content in substrate for accessible products (i.e., products that contain by interested in serving on a panel, component parts of children’s products weight one or more of the following presenting information, or attending the and for the maximum content limit of elements: 0.1 percent or more of lead, 0.05 workshop should register online at: six phthalates for children’s toys and percent or more of bismuth, 0.08 percent or http://www.cpsc.gov/meetingsignup, child care articles. Currently, the more of sulfur, more than 0.04 percent of and click on the link titled, ‘‘Potential maximum lead content limit for phosphorus, more than 0.05 percent of selenium, or more than 0.01 percent of Ways to Reduce Third Party Testing accessible component parts of children’s tellurium). All products meeting the physical Costs through Determinations products is 100 parts per million (ppm), description of subject merchandise that are Consistent with Assuring Compliance and the maximum phthalate content not specifically excluded are included in this Workshop.’’ limit is 0.1 percent (1000 ppm). scope. You may submit comments, identified Additionally, the CPSIA made ASTM The products under investigation are by Docket No. CPSC–2011–0081, by any F963–07, Standard Consumer Safety currently classifiable under subheadings of the following methods: Specification for Toy Safety, or any 7213.91.3011, 7213.91.3015, 7213.91.3020, successor version of the standard that Electronic Submissions 7213.91.3093; 7213.91.4500, 7213.91.6000, the Commission does not reject, a 7213.99.0030, 7227.20.0030, 7227.20.0080, Submit electronic comments in the mandatory consumer product safety 7227.90.6010, 7227.90.6020, 7227.90.6030, following way: and 7227.90.6035 of the HTSUS. Products standard. Currently, ASTM F963–11 entered under subheadings 7213.99.0090 and Federal eRulemaking Portal: http:// (Toy Standard) is the mandatory version 7227.90.6090 of the HTSUS also may be www.regulations.gov. Follow the of the standard. Table 1 of section 4.3.5 included in this scope if they meet the instructions for submitting comments. of ASTM F963–11 lists the limits for the physical description of subject merchandise The Commission does not accept soluble amounts of eight elements above. Although the HTSUS subheadings are comments submitted by electronic mail (antimony, arsenic, barium, cadmium, provided for convenience and customs (email), except through: http:// chromium, lead, mercury, and purposes, the written description of the www.regulations.gov. The Commission selenium) allowable in toy substrates. scope of this proceeding is dispositive. encourages you to submit electronic The CPSIA generally requires that [FR Doc. 2014–04343 Filed 2–26–14; 8:45 am] comments by using the Federal children’s products that are subject to a BILLING CODE 3510–DS–P eRulemaking Portal, as described above. CPSC children’s product safety rule

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must be tested by a third party CPSC- amounts above 100 ppm be expanded to entrants), an attestation by a current accepted laboratory for compliance with include synthetic food additives? manufacturer is likely to be of limited applicable CPSC rules. 15 U.S.C. The RFI was published in the Federal utility in supporting a staff 2063(a)(2).1 Public Law 112–28 (August Register on April 16, 2013.4 The recommendation of a determination that 12, 2011) (Pub. L. 112–28) directed the comment period for the RFI closed on must apply to all current and future CPSC to seek comment on June 17, 2013. The Commission manufacturers. ‘‘opportunities to reduce the cost of received eight comments. The CPSC staff is interested in obtaining third party testing requirements Commission’s FY 14 Operating Plan information on the following topics: directed staff to ‘‘. . . undertake consistent with assuring compliance A. Phthalates Content with any applicable consumer product additional necessary research and/or safety rule, ban, standard, or necessary testing with priority given to Should staff consider a determination regulation.’’ those materials most likely to provide recommendation regarding the six the widest scope of relief.’’ To obtain prohibited phthalates, such a B. What actions has the Commission information and evidence to further determination would identify materials taken? explore the possibilities for reducing the that do not, and will not, contain the In response to Public Law 112–28, the costs of third party testing through prohibited phthalates in concentrations Commission published in the Federal rulemaking, CPSC staff is conducting a above 0.1 percent (1000 ppm). Register a Request for Comment (RFC) workshop focusing on determinations. Phthalates, unlike naturally occurring titled, Application of Third Party elements, are man-made chemicals, and II. What are we trying to accomplish are used intentionally in specific Testing Requirements; Reducing Third with the workshop? Party Testing Burdens.2 As directed by applications. Additionally, certain the Commission, staff submitted a The goal of the workshop is to materials or processing conditions (such briefing package 3 to the Commission provide CPSC staff with information as extremely high temperatures) that described opportunities that the and evidence concerning possible inherently may preclude or eliminate Commission could pursue to potentially determinations that certain materials, the presence of phthalates. These factors reduce the third party testing costs irrespective of their manufacturing might be used as part of a method to consistent with assuring compliance. origin or manufacturing process, comply identify materials that do not, and will In FY 2013, subsequent to fulfilling with the applicable content or solubility not, contain the banned phthalates, Public Law 112–28’s requirement that limits of applicable children’s product regardless of the manufacturer or the Commission solicit and review safety rules with a high degree of manufacturing process used. Additional assurance,5 without requiring third information is sought on this issue. comments regarding potential 6 opportunities to reduce the cost of third party testing. Staff seeks information A determination that a material does concerning the factors relevant to party testing requirements consistent not, and will not, contain the prohibited demonstrating a high degree of with assuring compliance, the phthalates above 0.1 percent could be assurance of compliance to the Commission chose to direct staff to similar to the lead determinations in 16 applicable children’s product safety develop a Request for Information (RFI) CFR 1500.91. Such a determination rules, including consideration of raw on four such potential opportunities, would identify materials that material sourcing, the manufacturing asking for information on the following intrinsically do not contain the processes used, whether recycled issues: prohibited phthalates or are subject to materials are or may be included, and • Are there materials that qualify for some factor in their manufacture, such the potential for contamination. a determination, under the as high temperatures or a deleterious Commission’s existing determinations III. What topics will the workshop effect on the performance of the material process, that do not, and will not, address? that precludes the presence of the contain higher-than-allowed soluble prohibited phthalates above 0.1 percent. We plan to discuss the three areas in To consider this possibility, staff is concentrations of any of the eight which determinations may be made: elements specified in section 4.3.5 of interested in learning: Lead content, phthalate content, and the • What specific data should staff ASTM F963–ll? solubility of the eight elements listed in • Are there materials that qualify for consider when deciding whether to the Toy Standard. recommend that the Commission make a determination, under the In each case, staff is interested in Commission’s existing determinations a determination? obtaining information regarding • How can staff be assured that a process, that do not, and will not, worldwide production of materials used material, regardless of its origin, contain any prohibited phthalates above in children’s products, including manufacturing process, potential for their allowed content limit of 0.1 current and past approaches, rather than contamination or any other factor, percent, and thus, would not be subject attestations that a particular would continue to comply with the to third party testing? manufacturer or brand does not include phthalates limit indefinitely into the • Are there any adhesives used in the chemical of interest. Because future as the material continues to be manufactured woods that can be determinations encompass all produced? determined not to contain lead in production of a material (which may • What kind of follow-up activities amounts above 100 ppm, and thus, include future production by new should be required to assure continued would not be subject to third party 4 compliance of a material? testing? http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/ • What other technical, practical, or • Can the process by which materials pdf/2013-08858.pdf. 5 implementation issues should CPSC are determined not to contain lead in High degree of assurance means an evidence- based demonstration of consistent performance of a staff consider before possibly making product regarding compliance based on knowledge 1 recommendations to the Commission See also 16 CFR part 1107. of a product and its manufacture. 16 CFR 1107.2. regarding phthalates determinations? 2 http://www.cpsc.gov/PageFiles/103251/ 6 Regardless of any third party testing relief • What materials would provide the 3ptreduce.pdf. provided, compliance with the applicable 3 http://www.cpsc.gov/PageFiles/129398/ children’s product safety rules, including those for greatest cost savings if the Commission reduce3pt.pdf. lead and phthalates content, is always required. made a determination that the material

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did not contain the prohibited and the possibility that phthalates may continued production of a material, phthalates above 0.1 percent? Why? be included at noncompliant levels? regardless of its origin, will continue to The 2009 Statement of Policy 7 listed • Information about the possibility or be compliant with the lead content limit examples of materials that may contain likelihood of contamination of the without requiring third party testing? phthalates. Those materials are: component part or finished product • What other information the staff • Polyvinyl chloride (PVC) and with a prohibited phthalate? should consider before potentially related polymers, such as • How or why continued making recommendations to the polyvinylidene chloride (PVDC), and manufacture, regardless of origin, would Commission regarding a determination polyvinyl acetate (PVA); continue to be compliant with the for lead content? • Soft or flexible plastics, except phthalates limit? • What changes would you polyolefins; • How the Commission might recommend to improve the procedures • Soft or flexible rubber, except effectively address new applications or of 16 CFR 1500.89 in furtherance of the silicone rubber and natural latex; methods of production of plastics that Commission’s specific determinations- • Foam rubber or foam plastic, such may include the addition of phthalates related direction to staff? What as polyurethane (PU); or otherwise result in unacceptable additional specific information and data • Surface coatings, non-slip coatings, levels of phthalates? should staff assess in considering a finishes, decals, and printed designs; • What other technical, practical, or recommendation that a determination • Elastic materials on apparel, such as implementation issues should CPSC be made that a material intrinsically sleepwear; staff consider before possibly making does not, and will not, contain lead • Adhesives and sealants; and recommendations to the Commission above 100 ppm? Is this information • Electrical insulation. regarding a phthalates determination for obtainable? Other materials, such as other a plastic? • What additional lead plastics, inks, air fresheners, and • What would be the potential cost determinations would provide the scented products, may contain savings if such a determination were greatest cost savings, assuming that the phthalates. recommended and adopted, especially determinations have a satisfactory legal To identify materials that could considering that compliance with the and evidentiary basis and are adopted contain phthalates, and thus, cannot underlying standard(s) would still be by the Commission? meet the requirements for a required? determination, staff is interested in C. The Eight Elements Listed in the Toy learning: B. Lead Content Standard • What materials should always Third party testing requirements A possible determination could require third party testing because of impose a burden on certifiers of identify materials that do not, and will potential phthalate content above 0.1 children’s products to assure that not, contain the eight elements listed in percent? Why? certifiers’ products comply with the the Toy Standard, either with respect to • What specific data or other applicable children’s product safety chemical content or to solubility of the information should be sufficient to rules. However, testing might not be elements at levels that do not exceed the characterize a material as potentially required if the Commission has allowable limits. Because the containing one or more of the prohibited evidence that establishes with a high Commission intends any additional phthalates, and thus, always require degree of assurance that the material determinations to reduce the testing third party testing for compliance to the does not, and will not, contain lead in costs consistent with assuring phthalates limit? substrate in amounts above 100 ppm. compliance, a candidate material for a Phthalates are added to plastics to The lead determinations in 16 CFR determination must comply with the make the resulting material more 1500.91 list materials that the limits for all eight elements. The testing flexible. We are seeking information and Commission has determined do not costs may not be reduced substantially evidence regarding whether phthalates exceed 100 ppm lead content, and thus, if content or solubility testing is still are uniformly excluded from specific are not subject to third party testing. required for one or more of the eight plastics such that the plastic has no The procedures and requirements for elements. application involving the addition of determinations regarding lead content of Regarding the eight elements listed in phthalates at levels approaching 0.1 materials are listed in 16 CFR 1500.89. the Toy Standard, staff is interested in percent, even considering any potential If the Commission could identify learning: recycled or reclaimed materials. Staff additional materials that do not, and • Which materials, by their nature, do seeks information and evidence relating will not, contain lead in amounts above not, and will not contain any of the to a potential recommendation that 100 ppm, the Commission could add eight elements in content above their specific plastics that potentially meet these materials to the list in 16 CFR solubility limits? • these requirements do not, and will not, 1500.91. Staff is interested in learning: Which materials have a solubility of contain the prohibited phthalates above • For manufactured materials, what all seven elements other than lead that 0.1 percent. Staff is interested in specific information and data should is low enough for a determination to learning: staff assess in considering a possibly be recommended that the • What raw materials are used, could recommendation that the material’s material will comply with ASTM F963– be used, or may be used to create production does not, and will not, result 11, regardless of the elements’ content plastics that meet these requirements, as in a lead content above 100 ppm? levels (lead content must not exceed 100 well as information about the possibility • How lead in the recycling stream ppm for substrates, and 90 ppm for of those materials containing or being can be kept from rendering a material surface coatings)? • exposed to any prohibited phthalate? noncompliant? How can compliance with the • Information about the potential use • How the potential for solubility limits of the elements other of recycled content in these plastics, contamination is addressed by all than lead be inferred from content manufacturers of a material? measurements, irrespective of the shape • 7 http://www.cpsc.gov/PageFiles/126588/ What specific information and data or other physical characteristics of the componenttestingpolicy.pdf. staff should obtain to be assured that material as a component part of a toy?

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• Which materials would present the with the topic to be discussed, the DEPARTMENT OF DEFENSE greatest cost reduction if the practical utility of the information to be Commission determined that third party presented (such as a discussion of Office of the Secretary testing is not required, especially specific methods), and the individual’s [Docket ID: DoD–2014–OS–0023] considering that compliance with the viewpoint or ability to represent certain underlying standard(s) would still be interests (such as large manufacturers, Privacy Act of 1974; System of required? small manufacturers, consumer Records • What other information staff should organizations). We would like the consider before potentially making presentations to represent and address a AGENCY: Office of the Secretary of recommendations to the Commission wide variety of interests. Defense, DoD. regarding a determination of compliance Although we will make an effort to ACTION: Notice to add a new System of with the limitations on the eight accommodate all persons who wish to Records. elements listed in the Toy Standard? make a presentation, the time allotted for presentations will depend on the SUMMARY: The Office of the Secretary of IV. What topics will not be discussed in number of persons who wish to speak Defense proposes to add a new system the workshop? on a given topic and the agenda. We of records, entitled ‘‘Interoperability This staff workshop will focus recommend that individuals and Layer Service (IoLS)’’, to its inventory of exclusively on potential ways to reduce organizations with common interests record systems subject to the Privacy third party testing costs through consolidate or coordinate their Act of 1974, as amended. The system determinations consistent with assuring presentations and request time for a will evaluate individuals’ eligibility for compliance as described in this joint presentation. If you wish to make access to DoD facilities or installations announcement. Other matters, such as a presentation and want to make copies and implement security standards certification issues, test methods, of your presentation or other handouts controlling entry to DoD facilities and statutory content limits, or definitions available, you should bring copies to the installations. will not be discussed at this workshop, workshop. We will notify those who are DATES: Comments will be accepted on or nor are comments on these other topics selected to make a presentation or before March 31, 2014. This proposed appropriate in response to this participate in a panel at least two weeks action will be effective on the day announcement. Staff will not make before the workshop. Please inform Ms. following the end of the comment recommendations for determinations at Jacqueline Campbell, jcampbell@ period unless comments are received the workshop. The purpose of the cpsc.gov, 301–987–2024, if you need which result in a contrary workshop is to collect specific and any special equipment to make a determination. potentially actionable information and presentation. evidence to be considered by staff for If you would like to attend the ADDRESSES: You may submit comments, any potential future determinations. workshop but do not wish to make a identified by docket number and title, presentation or participate on a panel, by any of the following methods: V. Details Regarding the Workshop we ask that you register by March 27, * Federal Rulemaking Portal: http:// A. When and where will the workshop 2014. Please be aware that seating will www.regulations.gov. Follow the be held? be on a first-come, first-served basis. instructions for submitting comments. If you need special accommodations * Mail: Federal Docket Management CPSC staff will hold the workshop because of disability, please contact Ms. System Office, 4800 Mark Center Drive, from 9 a.m. to 4 p.m. on April 3, 2014, Jacqueline Campbell, jcampbell@ East Tower, 2nd Floor, Suite 02G09, at the CPSC’s National Product Testing cpsc.gov, 301–987–2024, at least 10 days Alexandria, VA 22350–3100. and Evaluation Center, 5 Research before the workshop. Instructions: All submissions received Place, Rockville, MD 20850. The In addition, we encourage written or must include the agency name and workshop will also be available through electronic comments. Written or docket number for this Federal Register a webcast, but viewers will not be able electronic comments will be accepted document. The general policy for to interact with the panels and until April 17, 2014. Please note that all comments and other submissions from presenters. comments should be restricted to the members of the public is to make these B. How do you register for the topics covered by the workshop as submissions available for public workshop? described in this Announcement. viewing on the Internet at http:// www.regulations.gov as they are If you would like to make a C. What happens if no one registers for received without change, including any presentation at the workshop or be the workshop? personal identifiers or contact considered as a panel member for a If no one registers for the workshop, information. specific topic or topics, you should we will cancel the workshop. If we FOR FURTHER INFORMATION CONTACT: Ms. register by March 13, 2014. (See the decide to cancel the workshop, we will ADDRESSES portion of this document for Cindy Allard, Chief, OSD/JS Privacy post a cancellation notice by March 28, Office, Freedom of Information the Web site link and instructions on 2014, on the registration Web page for where to register.) We also ask that you Directorate, Washington Headquarters the workshop http://www.cpsc.gov/ Service, 1155 Defense Pentagon, indicate whether you would like to meetingsignup and send an email to all serve on a panel or make a presentation, Washington, DC 20301–1155, or by registered participants who provide phone at (571) 372–0461. and indicate each topic for which you their email address when they register. wish to be considered. We ask that you SUPPLEMENTARY INFORMATION: The Office limit the number of topics to no more Dated: February 24, 2014. of the Secretary of Defense notices for than three. We will select panelists and Todd A. Stevenson, systems of records subject to the Privacy individuals who will make Secretary, U.S. Consumer Product Safety Act of 1974 (5 U.S.C. 552a), as amended, presentations at the workshop, based on Commission. have been published in the Federal considerations such as the individual’s [FR Doc. 2014–04265 Filed 2–26–14; 8:45 am] Register and are available from the demonstrated familiarity or expertise BILLING CODE 6355–01–P address in FOR FURTHER INFORMATION

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CONTACT. The proposed system report, vessel license information; want/ RETRIEVABILITY: as required by 5 U.S.C. 552a(r) of the warrant type, time, location, and case Records may be retrieved by DoD ID Privacy Act of 1974, as amended, was number of offense, violation or incident; Number, Local Population identifier, submitted on April 4, 2013, to the extradition limitations; incarceration SSN, or credential information. House Committee on Oversight and information; employment information; Government Reform, the Senate vehicle, vessel, aircraft and/or train SAFEGUARDS: Committee on Governmental Affairs, information; caution and medical Access to these records is role-based and the Office of Management and condition indicators. and is limited to those individuals Budget (OMB) pursuant to paragraph 4c requiring access in the performance of of Appendix I to OMB Circular No. A– AUTHORITY FOR MAINTENANCE OF THE SYSTEM: their official duties. Audit logs will be 130, ‘‘Federal Agency Responsibilities 10 U.S.C. 113, Secretary of Defense; maintained to document access to data. for Maintaining Records About DoD Directive 1000.25, DoD Personnel All data transfers and information Individuals,’’ dated February 8, 1996 Identity Protection (PIP) Program; DoD retrievals using remote communication (February 20, 1996, 61 FR 6427). Instruction 5200.08, Security of DoD facilities are encrypted. Records are Installations and Resources and the DoD maintained in encrypted databases in a Dated: February 21, 2014. controlled area accessible only to Aaron Siegel, Physical Security Review Board (PSRB); DoD 5200.08–R, Physical Security authorized personnel. Entry to these Alternate OSD Federal Register Liaison areas is restricted by the use of locks, Officer, Department of Defense. Program; Directive-Type Memorandum (DTM) 09–012, Interim Policy Guidance guards, and administrative procedures. DMDC 16 DoD for DoD Physical Access Control; and All individuals granted access to this E.O. 9397 (SSN), as amended. system of records are to receive SYSTEM NAME: Information Assurance and Privacy Act Interoperability Layer Service (IoLS). PURPOSE(S): training annually.

SYSTEM LOCATION: To evaluate individuals’ eligibility for RETENTION AND DISPOSAL: access to DoD facilities or installations Defense Manpower Data Center, DoD Disposition Pending (until the and implement security standards Center Monterey Bay, 400 Gigling Road, National Archives and Records controlling entry to DoD facilities and Seaside, CA 93955–6771. Administration approves a retention installations. This process includes and disposal schedule, records will be CATEGORIES OF INDIVIDUALS COVERED BY THE vetting to determine the fitness of an treated as permanent). SYSTEM: individual requesting or requiring Any individual seeking access to a access, issuance of local access SYSTEM MANAGER(S) AND ADDRESS: DoD facility or installation. credentials for members of the public Deputy Director for Identity, Defense CATEGORIES OF RECORDS IN THE SYSTEM: requesting access to DoD facilities and Manpower Data Center, 4800 Mark Information on individuals identified installations, and managing and Center Drive, Alexandria, VA 22350– in the IoLS DoD Population Database: providing updated security and 6000. credential information on these DoD ID number, Social Security Number NOTIFICATION PROCEDURE: (SSN), last name, date of birth, individuals. To ensure that identity and Individuals seeking to determine credential type, issuance, and expiration law enforcement information is whether information about themselves information; and security alert considered when determining whether is contained in this system should send information (alert type, alert source, to grant physical access to DoD facilities written inquiries to the Deputy for case number). and installations. Information on individuals identified Identity, Defense Manpower Data ROUTINE USES OF RECORDS MAINTAINED IN THE Center, 4800 Mark Center Drive, in the IoLS Local Population Database: SYSTEM, INCLUDING CATEGORIES OF USERS AND Full name; date of birth; SSN; Local Alexandria, VA 22350. THE PURPOSES OF SUCH USES: Requests must contain the full name Population identifier; foreign national In addition to those disclosures and Social Security Number of the ID; gender; race; citizenship generally permitted under 5 U.S.C. subject, and a return address. information; contact information (e.g., 552a(b) of the Privacy Act of 1974, as home or work mailing address, personal RECORD ACCESS PROCEDURES amended, the records contained herein : phone, work phone); physical features may specifically be disclosed outside Individuals seeking access to (height, weight, eye color, hair color); the DoD as a routine use pursuant to 5 information about themselves contained biometrics (photograph and U.S.C. 552a(b)(3) as follows: in this system should address written fingerprints); credential type, issuance, To the FBI for the purpose of inquiries to the Office of the Secretary and expiration information; security of Defense/Joint Staff Privacy Office, alert information (alert type, alert determining if records about individuals seeking access to DoD facilities and 1155 Defense Pentagon, Washington, DC source, case number); and secondary 20301–1155. identification such as a driver’s license installations are maintained in the NCIC’s Wanted Person File. Signed, written requests must include or passport. the full name and Social Security The following will be included for The DoD Blanket Routine Uses set forth at the beginning of the Office of Number of the subject and a return individuals about whom records are address. maintained in the FBI National Crime the Secretary of Defense (OSD) Information Center (NCIC) Wanted compilation of systems of records CONTESTING RECORD PROCEDURES: Person File: identity information (to notices may apply to this system. The Office of the Secretary of include alternate identity information): Defense/Joint Staff rules for accessing POLICIES AND PRACTICES FOR STORING, SSN; full name; gender; race; ethnicity; RETRIEVING, ACCESSING, RETAINING, AND records, contesting contents, and address; place of birth; date of birth; DISPOSING OF RECORDS IN THE SYSTEM: appealing initial agency determinations citizenship; physical features (height, are contained in Office of the Secretary weight, eye color, hair color or other STORAGE: of Defense Administrative Instruction identifying characteristics); vehicle/ Electronic storage media. 81; 32 CFR part 311; or may be obtained

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from the Privacy Act Officer, Office of FOR FURTHER INFORMATION CONTACT: Mr. procedures, contact Mr. Joyner, the Freedom of Information, Washington Wayne Joyner, the Designated Federal committee’s Designated Federal Officer, Headquarters Services, 1155 Defense Officer for the committee, in writing at at the email address or telephone Pentagon, Washington, DC 20301–1155. ATTN: ATTG–ZC, U.S. Army Training number listed in the FOR FURTHER Information provided by the NCIC and Doctrine Command, 950 Jefferson INFORMATION CONTACT section. Wanted Person Files is exempt from the Ave, Fort Eustis, VA 23604, by email at Written Comments or Statements: amendment and appeal provisions [email protected], or by Pursuant to 41 CFR § 102–3.105(j) and described in 5 U.S.C. 552a(f). telephone at (757) 501–5810. 102–3.140 and section 10(a)(3) of the SUPPLEMENTARY INFORMATION: Federal Advisory Committee Act, the RECORD SOURCE CATEGORIES: The committee meeting is being held under public or interested organizations may Defense Enrollment and Eligibility the provisions of the Federal Advisory submit written comments or statements Reporting System (DEERS), FBI NCIC Committee Act of 1972 (5 U.S.C., to the committee, in response to the Wanted Person File, DoD Physical Appendix, as amended), the stated agenda of the open meeting or in Access Control Systems, DoD Visitor Government in the Sunshine Act of regard to the committee’s mission in Registration Centers. 1976 (5 U.S.C. § 552b, as amended), and general. Written comments or statements should be submitted to Mr. EXEMPTIONS CLAIMED FOR THE SYSTEM: 41 CFR § 102–3.150. Purpose of the Meeting: The purpose Joyner, the committee Designated The records contained in this system Federal Officer, via electronic mail, the are used for criminal, civil, and of the meeting is to collect and analyze corporate and academia best practices preferred mode of submission, at the administrative enforcement address listed in the FOR FURTHER for dealing with sexual harassment and requirements. To the extent that copies INFORMATION CONTACT section. Each page assault. of exempt records may become part of of the comment or statement must Proposed Agenda: The committee is these records through JUSTICE/FBI– include the author’s name, title or chartered to provide independent 001, National Crime Information Center affiliation, address, and daytime phone advice and recommendations to the (NCIC), OSD hereby claims the same number. Written comments or Secretary of the Army on the exemptions for the records as claimed at statements being submitted in response educational, doctrinal, and research their source (JUSTICE/FBI–001, to the agenda set forth in this notice policies and activities of U.S. Army National Crime Information Center must be received by the Designated educational programs. At this meeting (NCIC)). This system of records may be Federal Official at least seven business the committee will review and evaluate exempt from the following provisions of days prior to the meeting to be information related to dealing with 5 U.S.C. 552a sections (c)(3) and (4), (d), considered by the committee. The sexual harassment and assault, and (e)(1) through (3), (e)(4)(G) through (I), Designated Federal Official will review explore cultural issues affecting sexual (e)(5) and (8), (f), and (g) (as applicable) all timely submitted written comments harassment and assault. The committee of the Act. or statements with the committee will discuss societal norms, generational An exemption rule for this system has Chairperson, and ensure the comments differences, changes in cultural been promulgated in accordance with are provided to all members of the dynamics, and sexual attitudes that may requirements of 5 U.S.C. 553(b)(1), (2), committee before the meeting. Written impact the Army’s culture. and (3), (c), and (e) and published in 32 comments or statements received after Public Accessibility to the Meeting: CFR part 311. For additional this date may not be provided to the Pursuant to 5 U.S.C. 552b, as amended, information contact the system manager. committee until its next meeting. and 41 CFR § 102–3.140 through 102– The committee Designated Federal [FR Doc. 2014–04246 Filed 2–26–14; 8:45 am] 3.165, and subject to the availability of Official and Chairperson may choose to BILLING CODE 5001–06–P space, this meeting is open to the invite certain submitters to present their public. Seating is on a first to arrive comments verbally during the open basis. Attendees are requested to submit DEPARTMENT OF DEFENSE portion of this meeting or at a future their, name, affiliation, and daytime meeting. The Designated Federal phone number seven business days Department of the Army Officer, in consultation with the prior to the meeting to Mr. Joyner, via committee Chairperson, may allot a electronic mail, the preferred mode of Army Education Advisory Committee specific amount of time for submitters to submission, at the address listed in the Meeting Notice present their comments verbally. FOR FURTHER INFORMATION CONTACT AGENCY: Department of the Army, DoD. section. Members of the public Brenda S. Bowen, ACTION: Notice of open committee attending the committee meetings will Army Federal Register Liaison Officer. meeting. not be permitted to present questions [FR Doc. 2014–04288 Filed 2–26–14; 8:45 am] from the floor or speak to any issue BILLING CODE 3710–08–P SUMMARY: The Department of the Army under consideration by the committee. is publishing this notice to announce Because the meeting of the committee the following Federal advisory will be held in a Federal Government DEPARTMENT OF EDUCATION committee meeting of the Army facility on a military post, security Education Advisory Committee. This screening is required. A photo ID is [Docket No.: ED–2013–ICCD–0158] meeting is open to the public. required to enter post. Please note that Agency Information Collection DATES: The Army Education Advisory security and gate guards have the right Committee will meet from 8:00 a.m. to Activities; Submission to the Office of to inspect vehicles and persons seeing Management and Budget for Review 5:00 p.m. on April 3, 2014 and from to enter and exit the installation. U.S. 8:00 a.m. to 4:00 p.m. on April 4, 2014. and Approval; Comment Request; Army Training and Doctrine Command Federal Direct Consolidation Loan ADDRESSES: Army Education Advisory is fully handicap accessible. Wheelchair Program Application Documents Committee, U.S. Army Training and access is available in front at the main Doctrine Command, 950 Jefferson Ave, entrance of the building. For additional AGENCY: Federal Student Aid (FSA), Fort Eustis, VA 23604. information about public access Department of Education (ED).

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ACTION: Notice. information to be collected; and (5) how DEPARTMENT OF ENERGY might the Department minimize the SUMMARY: In accordance with the burden of this collection on the Federal Energy Regulatory Paperwork Reduction Act of 1995 (44 respondents, including through the use Commission U.S.C. chapter 3501 et seq.), ED is of information technology. Please note [Project No. 14537–001] proposing a revision of an existing that written comments received in information collection. response to this notice will be Antrim Treatment Trust; Notice of DATES: Interested persons are invited to considered public records. Application Accepted for Filing With submit comments on or before March Title of Collection: Federal Direct the Commission, Intent To Waive 31, 2014. Consolidation Loan Program Scoping, Soliciting Motions To ADDRESSES: Comments submitted in Application Documents Intervene and Protests, Ready for response to this notice should be OMB Control Number: 1845–0053 Environmental Analysis, and Soliciting submitted electronically through the Type of Review: A revision of an Comments, Terms and Conditions, Federal eRulemaking Portal at http:// existing information collection. Recommendations, and Prescriptions, www.regulations.gov by selecting Respondents/Affected Public: Private and Establishing an Expedited Docket ID number ED–2013–ICCD–0158 sector, individuals or households Schedule for Processing or via postal mail, commercial delivery, Total Estimated Number of Annual or hand delivery. If the regulations.gov Responses: 2,430,000 Take notice that the following site is not available to the public for any Total Estimated Number of Annual hydroelectric application has been filed reason, ED will temporarily accept Burden Hours: 575,100 with the Commission and is available comments at [email protected]. Abstract: This collection of for public inspection. Please note that comments submitted by information includes the following a. Type of Application: Original fax or email and those submitted after documents: (1) Federal Direct Minor License. the comment period will not be Consolidation Loan Application and b. Project No.: 14537–001. accepted; ED will only accept comments Promissory Note (Application and c. Date filed: December 12, 2013. during the comment period in this Promissory Note); (2) Instructions for d. Applicant: Antrim Treatment Trust. e. Name of Project: Antrim Micro- mailbox when the regulations.gov site is Completing the Federal Direct Hydropower Project. not available. Written requests for Consolidation Loan Application and f. Location: The project would utilize information or comments submitted by Promissory Note (Instructions); diverted water from an existing pond postal mail or delivery should be (3)Additional Loan Listing Sheet; (4) that collects acidic mine discharge from addressed to the Director of the Request to Add Loans; and (5) Loan abandoned mines located in Duncan Information Collection Clearance Verification Certificate (LVC). Township, Tioga County, Pennsylvania. Division, U.S. Department of Education, The Application and Promissory Note The project would be located on lands 400 Maryland Avenue SW., LBJ, serves as the means by which a owned by the applicant and would not Mailstop L–OM–2–2E319, Room 2E103, borrower applies for a Federal Direct Consolidation Loan and promises to occupy any federal lands. Washington, DC 20202. g. Filed Pursuant to: Federal Power repay the loan. The Instructions explain FOR FURTHER INFORMATION CONTACT: For Act, 16 U.S.C. 791 (a)–825(r). to the borrower how to complete the specific questions related to collection h. Applicant Contact: Margaret H. Application and Promissory Note. The activities, please contact Jon Utz, 202– Dunn, Biomost, Inc., 434 Spring Street Additional Loan Listing Sheet provides 377–4040. Ext., Mars, PA 16046. Phone: (724) 776– additional space for a borrower to list SUPPLEMENTARY INFORMATION: The 0161. loans that he or she wishes to Department of Education (ED), in i. FERC Contact: Monir Chowdhury, consolidate, if there is insufficient space accordance with the Paperwork (202) 502–6736 or monir.chowdhury@ on the Application and Promissory Reduction Act of 1995 (PRA) (44 U.S.C. ferc.gov. 3506(c)(2)(A)), provides the general Note. The Request to Add Loans serves j. Deadline for filing motions to public and Federal agencies with an as the means by which a borrower may intervene and protests, comments, terms opportunity to comment on proposed, add other loans to an existing Federal and conditions, recommendations, and revised, and continuing collections of Direct Consolidation Loan within a prescriptions: 60 days from the issuance information. This helps the Department specified time period. The LVC serves date of this notice; reply comments are assess the impact of its information as the means by which the U.S. due 105 days from the issuance date of collection requirements and minimize Department of Education obtains the this notice. the public’s reporting burden. It also information needed to pay off the The Commission strongly encourages helps the public understand the holders of the loans that the borrower electronic filing. Please file motions to Department’s information collection wants to consolidate. intervene and protests, comments, terms requirements and provide the requested This revision updates the forms to and conditions, recommendations, and data in the desired format. ED is reflect certain statutory and regulatory prescriptions using the Commission’s soliciting comments on the proposed changes revises language for greater eFiling system at http://www.ferc.gov/ information collection request (ICR) that clarity and for greater consistency with docs-filing/efiling.asp. Commenters can is described below. The Department of other Direct Loan Program promissory submit brief comments up to 6,000 Education is especially interested in notes. characters, without prior registration, public comment addressing the Dated: February 24, 2014. using the eComment system at http:// following issues: (1) Is this collection Kate Mullan, www.ferc.gov/docs-filing/ necessary to the proper functions of the Acting Director, Information Collection ecomment.asp. You must include your Department; (2) will this information be Clearance Division, Privacy, Information and name and contact information at the end processed and used in a timely manner; Records Management Services, Office of of your comments. For assistance, (3) is the estimate of burden accurate; Management. please contact FERC Online Support at (4) how might the Department enhance [FR Doc. 2014–04255 Filed 2–26–14; 8:45 am] [email protected], (866) the quality, utility, and clarity of the BILLING CODE 4000–01–P 208–3676 (toll free), or (202) 502–8659

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(TTY). In lieu of electronic filing, please close coordination with federal and other comments filed, but only those send a paper copy to: Secretary, Federal state agencies during the preparation of who file a motion to intervene in Energy Regulatory Commission, 888 the application, and agency comments, accordance with the Commission’s First Street NE., Washington, DC 20426. we intend to waive scoping and Rules may become a party to the The first page of any filing should expedite the licensing process. Based on proceeding. Any comments, protests, or include docket number P–14537–001. a review of the application, resource motions to intervene must be received The Commission’s Rules of Practice agency consultation letters, and agency on or before the specified comment date require all intervenors filing documents comments, Commission staff intends to for the particular application. with the Commission to serve a copy of prepare a single environmental All filings must (1) bear in all capital that document on each person on the assessment (EA). Commission staff letters the title ‘‘PROTEST,’’ ‘‘MOTION official service list for the project. determined that the issues that need to TO INTERVENE,’’ ‘‘NOTICE OF Further, if an intervenor files comments be addressed in its EA have been INTENT TO FILE COMPETING or documents with the Commission adequately identified during the pre- APPLICATION,’’ ‘‘COMPETING relating to the merits of an issue that filing period, and no new issues are APPLICATION,’’ ‘‘COMMENTS,’’ may affect the responsibilities of a likely to be identified through particular resource agency, they must additional scoping. The EA will ‘‘REPLY COMMENTS,’’ also serve a copy of the document on consider assessing the potential effects ‘‘RECOMMENDATIONS,’’ ‘‘TERMS that resource agency. of project construction and operation on AND CONDITIONS,’’ or k. This application has been accepted geology and soils, aquatic, terrestrial, ‘‘PRESCRIPTIONS;’’ (2) set forth in the for filing and is now ready for threatened and endangered species, and heading the name of the applicant and environmental analysis. cultural and historic resources. the project number of the application to l. Project Description: The Antrim n. A copy of the application is which the filing responds; (3) furnish Micro-Hydropower Project would available for review at the Commission the name, address, and telephone consist of the following existing in the Public Reference Room or may be number of the person protesting or features: (1) A 0.25-acre-foot collection viewed on the Commission’s Web site at intervening; and (4) otherwise comply pond; (2) a 12-inch-diameter, 435-foot- http://www.ferc.gov using the with the requirements of 18 CFR long polyvinyl chloride (PVC) pipe that ‘‘eLibrary’’ link. Enter the docket 385.2001 through 385.2005. All conveys raw water from a collection number excluding the last three digits in comments, recommendations, terms and pond to a 60-foot-diameter concrete the docket number field to access the conditions or prescriptions must set clarifier with a capacity of 33,500 cubic document. For assistance, contact FERC forth their evidentiary basis and feet in a treatment plant,1 (3) a 12-inch- Online Support. A copy is also available otherwise comply with the requirements diameter, 143-foot-long high-density for inspection and reproduction at the of 18 CFR 4.34(b). Agencies may obtain polyethylene (HDPE) pipe to convey address in item h above. copies of the application directly from treated water from the treatment plant to Register online at http:// the applicant. A copy of any protest or a forebay; (4) a 12-inch-diameter, 155- www.ferc.gov/docs-filing/ motion to intervene must be served foot-long HDPE pipe connected to the esubscription.asp to be notified via upon each representative of the 12-inch-diameter PVC pipe to bypass email of new filings and issuances applicant specified in the particular raw water to the forebay during high related to this or other pending projects. application. A copy of all other filings flow conditions or plant maintenance; For assistance, contact FERC Online in reference to this application must be (5) a forebay with a net storage capacity Support. accompanied by proof of service on all of 6,000 cubic feet; (6) an 18-inch- o. Any qualified applicant desiring to persons listed in the service list diameter, 972-foot-long penstock from file a competing application must prepared by the Commission in this the forebay to the powerhouse; (7) a submit to the Commission, on or before proceeding, in accordance with 18 CFR powerhouse with two identical impulse the specified intervention deadline date, 4.34(b) and 385.2010. a competing development application, turbine-generator units with a combined p. A license applicant must file no rated capacity of 40 kilowatts; (8) a 75- or a notice of intent to file such an application. Submission of a timely later than 60 days following the date of foot-long tailrace to convey flows from issuance of this notice: (1) A copy of the the powerhouse to an unnamed notice of intent allows an interested person to file the competing water quality certification; (2) a copy of tributary to Bridge Run; (9) a 1,300-foot- the request for certification, including long, 460-volt buried transmission line; development application no later than 120 days after the specified intervention proof of the date on which the certifying and (10) appurtenant facilities. The agency received the request; or (3) project is estimated to generate an deadline date. Applications for preliminary permits will not be evidence of waiver of water quality average of 250 megawatt-hours certification. annually. accepted in response to this notice. The applicant currently operates one A notice of intent must specify the q. Procedural schedule: The turbine as an off-grid project, and exact name, business address, and application will be processed according proposes to bring the other turbine telephone number of the prospective to the following procedural schedule. (currently in place but non-operational) applicant, and must include an Revisions to the schedule may be made online by additional indoor wiring unequivocal statement of intent to as appropriate. within the existing powerhouse and the submit a development application. A notice of intent must be served on the MILESTONE: Notice of the treatment plant, and operate both availability of the EA. turbines as a grid-connected project. applicant(s) named in this public notice. Anyone may submit comments, a TARGET DATE: August 2014. m. Due to the project works already protest, or a motion to intervene in existing and the limited scope of new Dated: February 20, 2014. accordance with the requirements of work described above, the applicant’s Rules of Practice and Procedure, 18 CFR Kimberly D. Bose, Secretary. 1 There are various other facilities in the 385.210, .211, and .214. In determining [FR Doc. 2014–04276 Filed 2–26–14; 8:45 am] treatment plant, but they are not necessary for the the appropriate action to take, the hydropower purposes. Commission will consider all protests or BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Filed Date: 2/19/14. Comments Due: 5 p.m. ET 3/12/14. Accession Number: 20140219–5066. Docket Numbers: ER14–1340–000. Federal Energy Regulatory Comments Due: 5 p.m. ET 3/12/14. Applicants: Midcontinent Commission Docket Numbers: ER14–456–001. Independent System Operator, Inc. Applicants: PJM Interconnection, Description: 2014–02–19_SA 2527 Combined Notice of Filings# 1 L.L.C. ITC-Consumers Amended GIA (J161) to Take notice that the Commission Description: Deficiency Filing per 1/ be effective 2/20/2014. received the following electric corporate 17/2014 Order in Docket No. ER14–456. Filed Date: 2/19/14. filings: to be effective 1/22/2014. Accession Number: 20140219–5137. Docket Numbers: EC14–58–000. Filed Date: 2/18/14. Comments Due: 5 p.m. ET 3/12/14. Applicants: Florida Power & Light Accession Number: 20140218–5247. Docket Numbers: ER14–1341–000. Company. Comments Due: 5 p.m. ET 3/11/14. Applicants: Solea Energy, LLC. Description: Application for Docket Numbers: ER14–865–001. Description: Initial MBR Tariff Filing Authorization Under Section 203 of the Applicants: Southwestern Public to be effective 3/1/2014. Federal Power Act and Request for Service Company. Filed Date: 2/19/14. Expedited Action of Florida Power & Description: 2–19–14_MBR Tariff—Rv Accession Number: 20140219–5153. Light Company. Filing to be effective 3/1/2014. Comments Due: 5 p.m. ET 3/12/14. Filed Date: 2/18/14. Filed Date: 2/19/14. Docket Numbers: ER14–1342–000. Accession Number: 20140218–5277. Accession Number: 20140219–5154. Applicants: Midway Peaking, LLC. Comments Due: 5 p.m. ET 3/11/14. Comments Due: 5 p.m. ET 2/26/14. Description: Notice of Succession to Take notice that the Commission Docket Numbers: ER14–1333–000. be effective 2/20/2014. received the following electric rate Applicants: Virginia Electric and Filed Date: 2/19/14. filings: Power Company. Accession Number: 20140219–5159. Docket Numbers: ER10–2290–002; Description: Rate Schedule No. 102— Comments Due: 5 p.m. ET 3/12/14. ER10–2187–001. NCEMPA to be effective 2/19/2014. The filings are accessible in the Applicants: Avista Corporation, Filed Date: 2/18/14. Commission’s eLibrary system by Spokane Energy, LLC. Accession Number: 20140218–5201. clicking on the links or querying the Description: Second Amendment to Comments Due: 5 p.m. ET 3/11/14. docket number. July 1, 2013 Triennial Market Power Docket Numbers: ER14–1334–000. Any person desiring to intervene or Update for the Northwest Region of the Applicants: Avista Corporation. protest in any of the above proceedings Avista Corporation, et al. Description: Avista Corp FERC must file in accordance with Rules 211 Filed Date: 2/6/14. Electric Tariff Vol No 11 Revisions to be and 214 of the Commission’s Accession Number: 20140206–5148. effective 4/17/2014. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 2/27/14. Filed Date: 2/18/14. 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER11–1858–002; Accession Number: 20140218–5244. time on the specified comment date. ER11–1859–001. Comments Due: 5 p.m. ET 3/11/14. Protests may be considered, but Applicants: NorthWestern Docket Numbers: ER14–1336–000. intervention is necessary to become a Corporation, Montana Generation, LLC. Applicants: ISO New England Inc. party to the proceeding. Description: NorthWestern Description: ISO New England Inc. eFiling is encouraged. More detailed Corporation submits an update to the submits Resource Termination of information relating to filing market power analysis that was D.C.AM Commonwealth of MA. requirements, interventions, protests, submitted on July 1, 2013. Filed Date: 2/19/14. service, and qualifying facilities filings Filed Date: 2/10/14. Accession Number: 20140219–5028. can be found at: http://www.ferc.gov/ Accession Number: 20140211–0013. Comments Due: 5 p.m. ET 3/12/14. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 3/3/14. Docket Numbers: ER14–1337–000. other information, call (866) 208–3676 Docket Numbers: ER12–1813–003. Applicants: ISO New England Inc. (toll free). For TTY, call (202) 502–8659. Applicants: The Empire District Description: ISO New England Inc. Electric Company. Dated: February 19, 2014. Description: Amendment to submits Resource Termination of Hess Nathaniel J. Davis, Sr., Compliance Filing to be effective 1/1/ Energy Marketing, LLC. Deputy Secretary. Filed Date: 2/19/14. 2013. [FR Doc. 2014–04233 Filed 2–26–14; 8:45 am] Accession Number: 20140219–5030. Filed Date: 2/12/14. BILLING CODE 6717–01–P Accession Number: 20140212–5104. Comments Due: 5 p.m. ET 3/12/14. Comments Due: 5 p.m. ET 3/5/14. Docket Numbers: ER14–1338–000. Docket Numbers: ER14–124–001. Applicants: ISO New England Inc. DEPARTMENT OF ENERGY Applicants: Entergy Arkansas, Inc. Description: ISO New England Inc. Description: EAI Compliance ER14– submits Resource Termination of Next Federal Energy Regulatory 124 2–19–2014 to be effective 12/19/ Era Power Marketing. Commission 2013. Filed Date: 2/19/14. Filed Date: 2/19/14. Accession Number: 20140219–5031. Notice of Effectiveness of Exempt Accession Number: 20140219–5020. Comments Due: 5 p.m. ET 3/12/14. Wholesale Generator or Foreign Utility Comments Due: 5 p.m. ET 3/12/14. Docket Numbers: ER14–1339–000. Company Status Applicants: ISO New England Inc. Docket Numbers: ER14–129–001. Docket Nos. Applicants: Entergy Gulf States Description: ISO New England Inc. Louisiana, L.L.C. submits Resource Termination of Lakeland Solar Energy LLC EG14–13–000 Description: EGSL Compliance ER14– Constellation New Energy, Inc. New AERG, LLC ...... EG14–14–000 129 2–19–2014 to be effective 12/19/ Filed Date: 2/19/14. Ameren Energy Generating 2013. Accession Number: 20140219–5033. Company ...... EG14–15–000

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Docket Nos. ‘‘eFiling’’ link at http://www.ferc.gov. In Order No. 784, the Commission Persons unable to file electronically revised its regulations to foster Socie´te´ de coge´ne´ration de should submit an original and 5 copies competition and transparency in St-Fe´licien, Socie´te´ en of the protest or intervention to the ancillary services markets.1 Among commandite ...... FC14–10–000 Federal Energy Regulatory Commission, other things, the Commission revised 888 First Street NE., Washington, DC Part 35 of its regulations to reflect Take notice that during the month of 20426. reforms to its Avista 2 policy governing January 2014, the status of the above- This filing is accessible online at the sale of ancillary services at market- captioned entities as Exempt Wholesale http://www.ferc.gov, using the based rates to public utility Generators or Foreign Utility Companies ‘‘eLibrary’’ link and is available for transmission providers. The became effective by operation of the review in the Commission’s Public Commission implemented these reforms Commission’s regulations. 18 CFR Reference Room in Washington, DC. out of a concern that the Avista 366.7(a). There is an ‘‘eSubscription’’ link on the restriction limiting the sale of ancillary Dated: February 20, 2014. Web site that enables subscribers to services at market-based rates absent a Kimberly D. Bose, receive email notification when a showing of lack of market power to a Secretary. document is added to a subscribed public utility transmission provider for [FR Doc. 2014–04280 Filed 2–26–14; 8:45 am] docket(s). For assistance with any FERC purposes of satisfying its open access Online service, please email BILLING CODE 6717–01–P transmission (OATT) requirements was [email protected], or call proving to be an unreasonable barrier to (866) 208–3676 (toll free). For TTY, call entry, unnecessarily restricting access to DEPARTMENT OF ENERGY (202) 502–8659. potential suppliers.3 Based on the Comment Date: 5:00 p.m. Eastern record developed in that proceeding, the Federal Energy Regulatory Time on March 24, 2014. Commission relaxed the Avista Commission Dated: February 20, 2014. restrictions with respect to the sale of [Docket No. TX11–1–001] Kimberly D. Bose, Energy Imbalance, Generator Imbalance, Secretary. Operating Reserve-Spinning and Southern Cross Transmission LLC, [FR Doc. 2014–04281 Filed 2–26–14; 8:45 am] Operating Reserve-Supplemental services. Pattern Power Marketing LLC; Notice BILLING CODE 6717–01–P of Filing However, the Commission found that the technical and geographic Take notice that on February 20, 2014, DEPARTMENT OF ENERGY requirements associated with Reactive Southern Cross Transmission LLC (SCT) Supply and Voltage Control (Schedule and Pattern Power Marketing LLC (PPM) Federal Energy Regulatory 2) and Regulation and Frequency filed the final, unexecuted Commission Response (Schedule 3) services interconnection agreements between (1) precluded application of the existing [Docket No. AD14–7–000] Oncor Electric Delivery Company LLC market power screens to the sale of and Garland Power & Light Company Third-Party Provision of Reactive those services. Instead, the Commission (Garland) and (2) Garland and SCT, in Supply and Voltage Control and provided other options for such sales compliance with Ordering Paragraph of Regulation and Frequency Response (price cap and competitive solicitation, the Federal Energy Regulatory Services; Notice of Workshop described further below) and stated its Commission’s (Commission) December intention to gather more information 15, 2011 Proposed Order Directing Take notice that Federal Energy regarding the technical, economic and Interconnection and Transmission Regulatory Commission (Commission) market issues concerning the provision Service and Conditionally Approving staff will convene a workshop to obtain of these services in a new, separate Settlement Agreement.1 input on third-party provision of proceeding. The Commission stated that Any person desiring to intervene or to reactive supply and voltage control and such proceeding will consider, among protest this filing must file in regulation and frequency response other things, the ease and cost- accordance with Rules 211 and 214 of services. The workshop will be held on effectiveness of relevant equipment the Commission’s Rules of Practice and April 22, 2014 in the Commission upgrades, the need for and availability Procedure (18 CFR 385.211, 385.214). Meeting Room at the offices of the of appropriate special arrangements Protests will be considered by the Federal Energy Regulatory Commission, such as dynamic scheduling or pseudo- Commission in determining the 888 First Street NE., Washington, DC tie arrangements, and other technical appropriate action to be taken, but will 20426. Members of the Commission may requirements related to the provision of not serve to make protestants parties to attend. Schedule 2 and Schedule 3 services. the proceeding. Any person wishing to Advance registration is not required, Consistent with the Commission’s become a party must file a notice of but is encouraged. You may register at stated intent in Order No. 784, staff intervention or motion to intervene, as the following Web page: https:// would like to receive input from appropriate. Such notices, motions, or www.ferc.gov/whats-new/registration/ interested persons regarding the protests must be filed on or before the 04-22-14-form.asp. technical, economic and market issues comment date. On or before the Those wishing to participate in the concerning the provision of Schedule 2 comment date, it is not necessary to program for this event should nominate serve motions to intervene or protests themselves through the on-line 1 Third-Party Provision of Ancillary Services; on persons other than the Applicant. registration form no later than March 14, Accounting and Financial Reporting for New The Commission encourages 2014 at the following Web page: https:// Electric Storage Technologies, Order No. 784, 78 FR electronic submission of protests and www.ferc.gov/whats-new/registration/ 46,178 (July 30, 2013), FERC Stats. & Regs. ¶ 31,349, 04-22-14-speaker-form.asp. at PP 2–3 (2013). interventions in lieu of paper using the 2 Avista Corp., 87 FERC ¶ 61,223, order on reh’g, The Commission will issue a 89 FERC ¶ 61,136 (1999) (Avista). 1 Southern Cross Transmission LLC, et al., 137 subsequent notice providing the 3 See Order No. 784, FERC Stats. & Regs. ¶ 31,349 FERC ¶ 61, 206 (2011). detailed agenda for the workshop. at P 9.

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and Schedule 3 services. To facilitate power analyses designed specifically for frequency response did not merit a this discussion, staff provides additional Schedule 2 service. The Commission separate ancillary service because at the background regarding Commission therefore concluded that the record time the same resources that respond to policies and recent actions with respect before it did not support application of regulation signals also provided to reactive power, frequency response, the existing market power screens governor response under then-standard and frequency regulation. without significant modification to industry practices.11 As a result, the Reactive Power Schedule 2 service. Instead, the language of Order No. 888 discussing Commission allowed market-based sales Schedule 3 was focused primarily on Reactive power is a critical of Schedule 2 service to a public utility AGC-based central dispatch.12 component of operating an alternating that is purchasing ancillary services to While it remains true that most current (AC) electricity system, and is satisfy its OATT requirements if the sale generating units capable of providing required to control system voltage is made pursuant to a competitive frequency regulation are also capable of within appropriate ranges for efficient solicitation that meets certain specified providing frequency response, standard and reliable operation of the requirements,6 or when such sale is industry practices have changed and it transmission system. At times made at or below the buying public is no longer clear that most resources generators or other resources must utility transmission provider’s own providing frequency regulation are also either supply or consume reactive Schedule 2 rate.7 power for the transmission system to At the workshop, staff would like to providing frequency response. maintain voltage levels required to discuss the following: Accordingly, staff is evaluating whether reliably supply electricity from • The extent to which reactive power additional market mechanisms are generation to load. can be traded across balancing areas in needed to facilitate the provision of Payments for reactive power a manner consistent with existing either frequency response or frequency capability vary by region. Some regions market power screens for energy and regulation in the organized or bilateral do not pay for reactive power capability capacity; markets. For purposes of considering within the required power factor range, • Whether there should be payment the technical, economic and market finding that it is a requirement of for reactive power capability within the issues concerning the provision of generator operation under good utility required power factor range; Schedule 3 service, staff believes it practice. Other regions pay generators a • How cost-based payments for would be productive to focus on cost-based rate for reactive power reactive power capability should be frequency response and frequency capability, since generators incur costs structured; and regulation separately. to provide that capability and paying • What are the obligations of generators aligns incentives with generators receiving payment for Frequency Regulation desired behavior for system flexibility. reactive power capability? Frequency regulation is used to Where such cost-based rates are paid, providers of reactive power generally Frequency Response and Frequency balance generation, interchange and Regulation demand by managing the response of are authorized to receive payment 13 pursuant to tariffs on file with the In Order No. 784, the Commission available resources within minutes. Commission. The Avista policy also evaluated whether the existing Frequency regulation is provided under permitting some ancillary service sales market power screens for sales of energy different market mechanisms in the without a showing of lack of market and capacity could be applied to the organized and bilateral markets. power, did not apply to Schedule 2 sale of Schedule 3 service without Regional transmission operators (RTOs) service.4 Accordingly, suppliers wishing significant modification.8 The and independent system operators to sell Schedule 2 service at market- Commission discussed Schedule 3 as a (ISOs) generally procure frequency based rates have always needed to single service in Order No. 784, focusing regulation through auction-based market demonstrate a lack of market power primarily on AGC-based frequency mechanisms in which payments are with respect to the reactive power regulation. However, frequency intended to cover the range of costs product before such sales would be response is distinct from frequency authorized. regulation.9 Frequency response 11 ‘‘While the services provided by Regulation In Order No. 784, the Commission Service and Frequency Response Service are involves the autonomous, automatic, different, they are complimentary services that are nevertheless evaluated whether the and rapid reaction of an individual made available using the same equipment.’’ existing market power screens could be turbine-generator or other resource to Promoting Wholesale Competition Through Open applied to the sale of Schedule 2 service change its output to rapidly dampen Access Non-Discriminatory Transmission Services without significant modification.5 The by Public Utilities; Recovery of Stranded Costs by large changes in frequency, generally Public Utilities and Transmitting Utilities, Order Commission found that the more through appropriate governor settings. No. 888, FERC Stats. & Regs. ¶ 31,036, slip at 212 stringent technical and geographic Frequency regulation is produced from (1996), order on reh’g, Order No. 888–A, FERC considerations associated with Schedule either manual or automated dispatch Stats. & Regs. ¶ 31,048, order on reh’g, Order No. 2 service suggest that it is not the simple 888–B, 81 FERC ¶ 61,248 (1997), order on reh’g, (through Automatic Generation Control Order No. 888–C, 82 FERC ¶ 61,046 (1998), aff’d in combination of basic energy and (AGC)) from a centralized system.10 In relevant part sub nom. Transmission Access Policy capacity products. The Commission Order No. 888, the Commission found Study Group v. FERC, 225 F.3d 667 (D.C. Cir. 2000), noted that most comments addressing that governor-based autonomous aff’d sub nom. New York v. FERC, 535 U.S. 1 the sale of Schedule 2 service agree that (2002). 12 ‘‘Regulation and Frequency Response Service is 6 the set of resources considered by the Id. P 99. accomplished by committing on-line generation existing market power screens for 7 Id. PP 82–85. whose output is raised or lowered (predominantly energy and capacity would differ too 8 Id. PP 59–61. through the use of automatic generation control significantly from the set of resources 9 As used herein, frequency response refers to equipment). . .’’ See OATT Schedule 3. that would be considered by market primary frequency response and frequency 13 Order No. 794, 146 FERC ¶ 61,024 at P 9. The regulation refers to secondary frequency response. level of frequency regulation required for each 10 See Frequency Response and Frequency Bias balancing authority area is not fixed, but is set by 4 See id. n.17. Setting Reliability Standard, Order No. 794, 146 each balancing authority area to meet the 5 Id. PP 59–61. FERC ¶ 61,024 at PP 8–9 (2014). requirements of NERC Reliability Standards.

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incurred to provide service.14 Resources make sales outside of their home being provided by load resources that wishing to sell frequency regulation in balancing authority area. Because this have capabilities similar to autonomous RTO/ISO markets are authorized to do fact could impact the appropriateness of governor response.20 so pursuant to their MBR tariffs. using the default geographic market On January 16, 2014 the Commission Outside the RTO/ISO markets, Avista reflected in the existing market power issued Order No. 794, Frequency authorizes suppliers who cannot show a screens for sales of energy and capacity, Response and Frequency Bias Setting lack of market power with respect to and thus the ability to apply those Reliability Standard. The now-approved Schedule 3 service to nevertheless sell screens to sales of Schedule 3 service NERC Reliability Standard BAL–003–1 that service with certain restrictions.15 without significant modification, the establishes a minimum Frequency One such restriction is that the Commission concluded that the record Response Obligation for each balancing authorization provided by Avista does before it did not support application of authority areas or frequency response not apply to sales to a public utility that the existing market power screens for sharing group; provides a uniform is purchasing ancillary services to sales of energy and capacity to sales of calculation of frequency response satisfy its own OATT requirements to Schedule 3 service. Instead, the measure; establishes Frequency Bias offer ancillary services to its own Commission allowed market-based sales Settings that set values closer to actual customers.16 In Order No. 784, the of Schedule 3 service to a public utility balancing authority frequency response; Commission evaluated whether the that is purchasing ancillary services to and encourages coordinated AGC existing market power screens could be satisfy its OATT requirements if the sale operation.21 By imposing a requirement applied with respect to the sale of is made pursuant to a competitive on balancing authority areas and Schedule 3 service without significant solicitation that meets certain specified frequency response sharing groups to modification, as a way to permit such requirements,18 or when such sale is provide frequency response, Order No. sellers to avoid the otherwise applicable made at or below the buying public 794 will have the effect of transitioning Avista restriction. utility transmission provider’s own frequency response from what was As in Order No. 888, the Schedule 3 rate.19 historically considered an Commission’s evaluation of this issue in At the workshop, staff would like to interconnection-wide system Order No. 784 focused primarily on discuss the technical, economic and characteristic to a distinct balancing frequency regulation, not frequency market issues concerning the provision service that specific entities must 17 response. The Commission concluded of Schedule 3 service as it relates to deliver. Recognizing this, the that the existing market power screens frequency regulation outside of the RTO Commission issued a separate docket in for energy and capacity were inadequate regions, including: July 2013 to explore the market for analyzing Schedule 3 service • To what extent do existing implications of the new frequency because there are significant technical resources lack the necessary AGC response and frequency bias setting requirements, such as the need for AGC equipment to provide frequency requirements, including potential equipment, that limit the set of regulation? impacts of the frequency bias setting resources capable of supplying • Why do existing resources that have being different from actual frequency Schedule 3 service. The Commission AGC equipment choose not to use it? response; potential market and agreed in principle with commenters • What is the ease and expense of commercial impacts of not accounting that potential competitors could be adding AGC equipment to an existing for transmission limitations and viewed as existing competitors for resource? historical flows when calculating purposes of market power analysis if it • Are any special transmission frequency response obligations; is known that they can install needed scheduling provisions needed to enable crediting load resources as part of the equipment rapidly and profitably in the provision of frequency regulation frequency response obligation; the response to appropriate price signals, from one balancing authority area to potential need for compensating but found that the record does not another? If so, what is the ease and frequency response resources; and any conclusively support the notion that expense of implementing them? other potential impacts on transmission such equipment upgrades (e.g., to install • Are there efforts underway to make capacity or ancillary services.22 AGC equipment in an existing the provision of frequency regulation Although a public utility transmission generator) can be accomplished in such easier? provider using its own resources to a manner. The Commission also noted Frequency Response provide Schedule 3 service would likely that the record indicates that third-party recover most of its costs of providing sellers of Schedule 3 service might need Sufficient frequency response is governor-based frequency response to enter into or facilitate special necessary to stabilize frequency within along with its costs for AGC-based transmission service arrangements an interconnection immediately frequency regulation under OATT between neighboring balancing following the sudden loss of generation Schedule 3, to the extent the same units authorities, such as dynamic scheduling or load. The ability of a power system are providing both services, there are or pseudo-tie arrangements, in order to to withstand a sudden loss of generation few market mechanisms in place or load depends on the presence and regarding compensation for frequency 14 Frequency Regulation Compensation in the adequacy of resources capable of response as a stand-alone service. Organized Wholesale Power Markets, Order No. providing rapid incremental power Unlike frequency regulation, frequency 755, FERC Stats. & Regs. ¶ 32,324, at PP 6–11 changes to counterbalance the (2011), reh’g denied, Order No. 755–A, 138 FERC response has not been defined as a ¶ 61,123 (2012). disturbance and arrest a frequency 15 Additionally, any seller who can successfully deviation. Most frequency response is 20 Order No. 794, 146 FERC ¶ 61,024 at P 6. Once demonstrate a lack of market power with respect to provided by the automatic and it becomes effective, NERC Reliability Standard Schedule 3 service would receive authorization autonomous actions of turbine- BAL–003–1 will establish a minimum frequency from the Commission to sell to any entity without generators that have appropriate response obligation for each balancing authority restrictions, including public utility transmission area. providers. governor settings, with some response 21 Id. P 1. 16 See Avista, 87 FERC ¶ 61,223 at n.12. 22 Market Implications of Frequency, Response 17 Order No. 784, FERC Stats. & Regs. ¶ 31,349 at 18 Id. P 99. and Frequency Bias Setting Requirements, Notice of PP 59–61. 19 Id. PP 82–85. Request for Comments, 144 FERC ¶ 61,058 (2013).

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product in the RTO/ISO markets. And • How could cost-based payments for DEPARTMENT OF ENERGY while the authorization provided in primary frequency response Avista would apply to frequency performance be structured; Federal Energy Regulatory Commission response, the restriction on sales to a • To what extent do existing public utility that is purchasing resources lack the necessary equipment [Docket No. EL14–19–000] ancillary services to satisfy its own or fail to utilize the appropriate settings OATT requirements to offer ancillary on that equipment to provide primary Midcontinent Independent System services to its own customers effectively Operator, Inc.; Notice of Institution of precludes development of a market for frequency response; • Section 206 Proceeding and Refund frequency response. These concerns Why do existing resources that have Effective Date along with the recently authorized the necessary equipment to provide reliability standard have created the primary frequency response choose not On February 20, 2014, the need for Commission Staff to request to use it or to absorb response; and, Commission issued an order in Docket input regarding existing regulatory and • Are penalties for deviating from No. EL14–19–000, pursuant to section 206 of the Federal Power Act (FPA), 16 tariff provisions as well as potential generation schedules viewed as a U.S.C. 824e (2012), instituting an market implications for frequency serious impediment to the provision of investigation into the justness and response service. frequency response? At the workshop, staff would like to reasonableness of Midcontinent discuss the technical, economic and The workshop will not be transcribed. Independent System Operator Inc.’s market issues concerning the provision However, there will be a free webcast of (MISO) proposed Regional Through- of Schedule 3 service as it relates to the workshop. Anyone with Internet and-out Rate for service over the frequency response, including: access interested in viewing this transmission system in the MISO South region. Midcontinent Indep. Sys. • To what extent should existing workshop can do so by navigating to the Operator, Inc., 146 FERC ¶ 61,111 resources be required to provide their FERC Calendar of Events at (2014). inherent quantity of frequency response www.ferc.gov and locating this event in The refund effective date in Docket as part of their existing obligations, with the Calendar. The event will contain a No. EL14–19–000, established pursuant any shortfall in achieving the balancing link to its webcast. The Capitol to section 206(b) of the FPA, will be the authority area’s frequency response Connection provides technical support date of publication of this notice in the obligation being procured through tariff for the webcasts and offers the option of Federal Register. or market mechanisms such as in listening to the workshop via phone- ERCOT; bridge for a fee. If you have any Dated: February 20, 2014. • Could competitive, market-based questions, visit Nathaniel J. Davis, Sr., procurement of primary frequency www.CapitolConnection.org or call Deputy Secretary. response performance be structured to (703) 996–3100. [FR Doc. 2014–04234 Filed 2–26–14; 8:45 am] address potential market power FERC workshops are accessible under BILLING CODE 6717–01–P concerns; section 508 of the Rehabilitation Act of • Whether provision of autonomous 1973. For accessibility accommodations governor response could be traded in a please send an email to accessibility@ DEPARTMENT OF ENERGY manner that is consistent with the ferc.gov or call toll free (866) 208–3372 Federal Energy Regulatory existing market power screens for sales (voice) or (202) 502–8659 (TTY), or send Commission of energy and capacity; a fax to (202) 208–2106 with the • To what extent can existing requested accommodations. [Docket No. CP14–77–000] resources be equipped with governors, or other control equipment that can FOR FURTHER INFORMATION CONTACT: Columbia Gas Transmission, LLC; serve the same function, and how Sarah McKinley (Logistical Notice of Request Under Blanket expensive or time consuming would Information), Federal Energy Authorization such a retrofit be; Regulatory Commission, Office of Take notice that on February 10, 2014, • Since governor-based autonomous External Affairs, (202) 502–8368, Columbia Gas Transmission, LLC frequency response would not require [email protected] (Columbia), 5151 San Felipe, Suite any dispatch signal from a balancing Rahim Amerkhail (Technical 2500, Houston, Texas 77056, filed in area operator, would any special Information), Federal Energy Docket No. CP14–77–000, a prior notice dispatch or transmission scheduling Regulatory Commission, Office of request pursuant to sections 157.205, provisions be needed to provide the Energy Policy and Innovation, 888 157.208 and 157.210 of the service from resources in a neighboring First Street NE., Washington, DC Commission’s Regulations under the balancing authority area; 20426, (202) 502–8266, Natural Gas Act (NGA) as amended, • Could competitive procurement of [email protected]. requesting authorization to construct 5.5 primary frequency response be miles of 24-inch diameter pipeline and structured to avoid increases in Dated: February 20, 2014. appurtenances, extending Line R–701 Transmission Reliability Margin, avoid Kimberly D. Bose, north of McArthur Compressor Station, barriers to non-conventional resources, Secretary. located in Vinton and Fairfield and assure the performance will be [FR Doc. 2014–04278 Filed 2–26–14; 8:45 am] Counties, Ohio. Columbia states that the consistent with the Commission- BILLING CODE 6717–01–P proposed extension of Line R–701 will approved balancing authority area not increase (or decrease) the line’s obligation, assure the generators capacity nor change any services providing primary frequency response currently offered by Columbia. achieve appropriate speed and Columbia asserts that the proposed magnitude of power output; project is required to increase the

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reliability of both the existing Line R– Persons who wish to comment only 3501 et seq.). This is a ‘‘proposed 701 and the overall R-System in the on the environmental review of this extension of the ICR, which is currently Ohio region. Columbia estimates the project should submit an original and approved through February 28, 2014. costs of the proposed project to be two copies of their comments to the Public comments were previously approximately $25.3 million, all as more Secretary of the Commission. requested via the Federal Register (78 fully set forth in the application which Environmental commenter’s will be FR 30428) on December 20, 2013 during is on file with the Commission and open placed on the Commission’s a 60-day comment period. This notice to public inspection. The filing may also environmental mailing list, will receive allows for an additional 30 days for be viewed on the web at http:// copies of the environmental documents, public comments. A fuller description www.ferc.gov using the ‘‘eLibrary’’ link. and will be notified of meetings of the ICR is given below, including its Enter the docket number excluding the associated with the Commission’s estimated burden and cost to the public. last three digits in the docket number environmental review process. An Agency may not conduct or sponsor field to access the document. For Environmental commenter’s will not be and a person is not required to respond assistance, please contact FERC Online required to serve copies of filed to a collection of information unless it Support at FERCOnlineSupport@ documents on all other parties. displays a currently valid OMB control ferc.gov or toll free at (866) 208–3676, or However, the non-party commentary, number. TTY, contact (202) 502–8659. will not receive copies of all documents DATES: Additional comments may be Any questions concerning this filed by other parties or issued by the submitted on or before March 31, 2014. application may be directed to Frederic Commission (except for the mailing of ADDRESSES: Submit your comments, J. George, Senior Counsel, Columbia Gas environmental documents issued by the referencing Docket ID Number EPA– Transmission, LLC, P.O. Box 1273, Commission) and will not have the right HQ–OAR–2010–0133, to (1) EPA online Charleston, West Virginia 25325–1273, to seek court review of the using www.regulations.gov (our by telephone at (304) 357–2359 or by Commission’s final order. preferred method), by email to a-and-r- facsimile at (304) 357–3206. The Commission strongly encourages [email protected], or by mail to: EPA Any person or the Commission’s staff electronic filings of comments, protests Docket Center, Environmental may, within 60 days after issuance of and interventions in lieu of paper using Protection Agency, Mail Code 28221T, the instant notice by the Commission, the ‘‘eFiling’’ link at http:// 1200 Pennsylvania Ave. NW., file pursuant to Rule 214 of the www.ferc.gov. Persons unable to file Washington, DC 20460, and (2) OMB via Commission’s Procedural Rules (18 CFR electronically should submit an original email to [email protected]. 385.214) a motion to intervene or notice and 5 copies of the protest or Address comments to OMB Desk Officer of intervention and pursuant to Section intervention to the Federal Energy 157.205 of the regulations under the for EPA. Regulatory Commission, 888 First Street EPA’s policy is that all comments NGA (18 CFR 157.205), a protest to the NE., Washington, DC 20426. received will be included in the public request. If no protest is filed within the docket without change including any time allowed therefore, the proposed Dated: February 20, 2014. personal information provided, unless activity shall be deemed to be Kimberly D. Bose, the comment includes profanity, threats, authorized effective the day after the Secretary. information claimed to be Confidential time allowed for filing a protest. If a [FR Doc. 2014–04279 Filed 2–26–14; 8:45 am] Business Information (CBI) or other protest is filed and not withdrawn BILLING CODE 6717–01–P within 30 days after the allowed time information whose disclosure is for filing a protest, the instant request restricted by statute. FOR FURTHER INFORMATION CONTACT: shall be treated as an application for ENVIRONMENTAL PROTECTION Geanetta Heard, Fuel Compliance authorization pursuant to section 7 of AGENCY the NGA. Center, 6406J, Environmental Protection Pursuant to section 157.9 of the [EPA–HQ–OAR–2010–0133; FRL–9907–03– Agency, 1200 Pennsylvania Ave. NW., Commission’s rules, 18 CFR 157.9, OEI] Washington, DC 20460; telephone within 90 days of this Notice the number: 202–343–9017 fax number: Information Collection Request Commission staff will either: Complete 202–565–2085 email address: Submitted to OMB for Review and its environmental assessment (EA) and [email protected]. Approval; Comment Request; place it into the Commission’s public SUPPLEMENTARY INFORMATION: Regulation of Fuels and Fuel record (eLibrary) for this proceeding, or Supporting documents which explain in Additives: 2011 Renewable Fuel issue a Notice of Schedule for detail the information that the EPA will Standards—Petition for International Environmental Review. If a Notice of be collecting are available in the public Aggregate Compliance Approach Schedule for Environmental Review is docket for this ICR. The docket can be issued, it will indicate, among other AGENCY: Environmental Protection viewed online at www.regulations.gov milestones, the anticipated date for the Agency (EPA). or in person at the EPA Docket Center, Commission staff’s issuance of the final ACTION: Notice. WJC West, Room 3334, 1301 environmental impact statement (FEIS) Constitution Ave. NW., Washington, or EA for this proposal. The filing of the SUMMARY: The Environmental Protection DC. The telephone number for the EA in the Commission’s public record Agency has submitted an information Docket Center is 202–566–1744. For for this proceeding or the issuance of a collection request (ICR), ‘‘Regulation of additional information about EPA’s Notice of Schedule for Environmental Fuels and Fuel Additives: 2011 public docket, visit http://www.epa.gov/ Review will serve to notify federal and Renewable Fuel Standards—Petition for dockets. state agencies of the timing for the International Aggregate Compliance Abstract: This regulation has a completion of all necessary reviews, and Approach’’ (EPA ICR No. 2398.03, OMB provision that EPA will use to authorize the subsequent need to complete all Control No. 2060–0655) to the Office of renewable fuel producers using certain federal authorizations within 90 days of Management and Budget (OMB) for foreign-grown feedstocks to use an the date of issuance of the Commission review and approval in accordance with aggregate approach to comply with the staff’s FEIS or EA. the Paperwork Reduction Act (44 U.S.C. renewable biomass verification

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provisions, akin to that applicable to ACTION: Notice; reopening of comment List of Subjects producers using crops and crop residue period. Environmental protection, Ecolabels, grown in the United States. For this Government procurement, Guidelines, authorization, foreign based entities SUMMARY: EPA issued a notice in the Standards. may petition EPA for approval of the Federal Register issue of November 27, Dated: February 20, 2014. aggregate compliance approach for 2013, concerning public review and specified renewable fuel feedstocks comment on draft guidelines with a Wendy C. Hamnett, either in a foreign country as a whole or potential approach for using non- Director, Office of Pollution Prevention and in a specified geographical area. This governmental product environmental Toxics. petition request for the aggregate performance standards and ecolabels in [FR Doc. 2014–04329 Filed 2–26–14; 8:45 am] compliance approach for foreign-grown Federal purchasing. This document BILLING CODE 6560–50–P crops and crop residue is voluntary, reopens the comment period for two though, if approved by EPA, will offer months, until April 25, 2014. The the benefit that certain renewable ENVIRONMENTAL PROTECTION Agency received several requests to biomass produced in a foreign country AGENCY extend the comment period to allow or geographical area can be counted as more time for stakeholder review, [EPA–HQ–OPP–2013–0025; FRL–9907–06] feedstock to make renewable fuel for collaboration, and response. credit under the Renewable Fuel Notice of Receipt of Pesticide Standard (RFS2) program. DATES: Comments, identified by docket Products; Registration Applications To Form Numbers: None identification (ID) number EPA–HQ– Register New Uses Respondents/affected entities: 15. OPPT–2013–0579, must be received on Respondent’s obligation to respond: or before April 25, 2014. AGENCY: Environmental Protection Voluntary. Agency (EPA). ADDRESSES: Estimated number of respondents: 15 Follow the detailed ACTION: Notice. (total). instructions as provided under Frequency of response: On occasion. ADDRESSES in the Federal Register SUMMARY: This notice announces receipt Total estimated burden: 600 hours document of November 27, 2013. of applications to register new uses for (per year). Burden is defined at 5 CFR pesticide products containing currently FOR FURTHER INFORMATION CONTACT: 1320.03(b). registered active ingredients pursuant to Alison Kinn Bennett, Pollution Total estimated cost: $ 68,400 (per the provisions of section 3(c) of the Prevention Division (7409M), Office of year), includes $0 annualized capital or Federal Insecticide, Fungicide, and Pollution Prevention and Toxics, operation & maintenance costs. Rodenticide Act (FIFRA), as amended. Environmental Protection Agency, 1200 Changes in Estimates: There is an This notice provides the public with an Pennsylvania Ave. NW., Washington, increase of hours in the total estimated opportunity to comment on the DC 20460–0001; telephone number: respondent burden compared with the applications. ICR currently approved by OMB. The (202) 564–8859; email address: total hours increased by 400 due to a [email protected]. DATES: Comments must be received on more accurate account of hours needed or before March 31, 2014. SUPPLEMENTARY INFORMATION: This for foreign producers to complete the ADDRESSES: Submit your comments, document reopens the public comment petition for approval that will offer the identified by docket identification (ID) period established in the Federal benefit that certain renewable biomass number and the EPA Registration Register issue of November 27, 2013 (78 produced in a foreign country or Number or EPA File Symbol of interest FR 70938) (FRL–9394–7). In that geographical area can be counted as as shown in the body of this document, feedstock to make renewable fuel for document, EPA announced for public by one of the following methods: credit under the Renewable Fuel review and comment draft guidelines • Federal eRulemaking Portal: http:// Standard (RFS2). This change in burden intended to provide a transparent, fair, www.regulations.gov. Follow the online hours increased the cost of this and consistent approach to using instructions for submitting comments. collection by $54,204 per year. The nongovernmental product Do not submit electronically any respondent universe and responses environmental performance standards information you consider to be remained the same in this collection. and ecolabels in Federal purchasing, Confidential Business Information (CBI) consistent with Federal standards policy or other information whose disclosure is Richard T. Westlund, and sustainable acquisition mandates. restricted by statute. Acting Director, Collection Strategies These draft guidelines have been • Mail: OPP Docket, Environmental Division. developed in response to requests via a Protection Agency Docket Center (EPA/ [FR Doc. 2014–04275 Filed 2–26–14; 8:45 am] wide variety of stakeholder engagement DC), (28221T), 1200 Pennsylvania Ave. BILLING CODE 6560–50–P channels from suppliers, manufacturers, NW., Washington, DC 20460–0001. environmental organizations, Federal • Hand Delivery: To make special purchasers, and other stakeholders over arrangements for hand delivery or ENVIRONMENTAL PROTECTION the last several years. EPA is hereby AGENCY delivery of boxed information, please reopening the comment period to April follow the instructions at http:// [EPA–HQ–OPPT–2013–0579; FRL–9906–98] 25, 2014. www.epa.gov/dockets/contacts.htm. To submit comments, or access the Additional instructions on Draft Guidelines; Product docket, please follow the detailed commenting or visiting the docket, Environmental Performance Standards instructions as provided under along with more information about and Ecolabels for Voluntary Use in ADDRESSES in the November 27, 2013 dockets generally, is available at Federal Procurement; Reopening of Federal Register document. If you have http://www.epa.gov/dockets. Comment Period questions, consult the person listed FOR FURTHER INFORMATION CONTACT: AGENCY: Environmental Protection under FOR FURTHER INFORMATION Susan Lewis, Antimicrobials Division Agency (EPA). CONTACT. (AD) (7510P), email address:

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[email protected]; or Lois Rossi, Code of Federal Regulations (CFR) part treatment on corn to aid in the control Registration Division (RD) (7505P), or section number. of seed borne and soilborne fungi, email address: [email protected]; iii. Explain why you agree or disagree; Penicillium spp. and Aspergillus spp., main telephone number: (703) 305– suggest alternatives and substitute causing seed and seedling blights; and 7090, Office of Pesticide Programs, language for your requested changes. to aid in suppression of late season stalk Environmental Protection Agency, 1200 iv. Describe any assumptions and rot caused by Fusarium spp. and Pennsylvania Ave. NW., Washington, provide any technical information and/ Colletotrichum graminicola. (RD) DC 20460–0001. As part of the mailing or data that you used. 3. EPA Registration Numbers: 264– address, include the contact person’s v. If you estimate potential costs or 776 and 264–1055. Docket ID number: name, division, and mail code. Office of burdens, explain how you arrived at EPA–HQ–OPP–2013–0504. Applicant: Pesticide Programs, Environmental your estimate in sufficient detail to Bayer CropScience, P.O. Box 12014, Protection Agency, 1200 Pennsylvania allow for it to be reproduced. 2 T.W. Alexander Drive, Research Ave. NW., Washington, DC 20460–0001. vi. Provide specific examples to Triangle Park, NC 27709. Active illustrate your concerns and suggest SUPPLEMENTARY INFORMATION: ingredient: Trifloxystrobin. Product alternatives. type: Fungicide. Proposed uses: Dry pea, I. General Information vii. Explain your views as clearly as chickpea, and lentil. (RD) possible, avoiding the use of profanity 4. EPA Registration Symbol: 352–III. A. Does this action apply to me? or personal threats. Docket ID number: EPA–HQ–OPP– You may be potentially affected by viii. Make sure to submit your 2014–0007. Applicant: E.I. du Pont de this action if you are an agricultural comments by the comment period Nemours and Company, 1007 Market producer, food manufacturer, or deadline identified. Street, Wilmington, DE 19898. Active pesticide manufacturer. The following II. Registration Applications ingredient: Picoxystrobin. Product type: list of North American Industrial Herbicide. Proposed use: End-use Classification System (NAICS) codes is EPA has received applications to product intended for treatment of not intended to be exhaustive, but rather register new uses for pesticide products canola, corn and soybean seeds. (RD) provides a guide to help readers containing currently registered active 5. EPA Registration Symbols/EPA determine whether this document ingredients. Pursuant to the provisions Registration Number: 499–LTN, 499– applies to them. Potentially affected of FIFRA section 3(c)(4), EPA is hereby LAO, and 7969–299. Docket ID number: entities may include: providing notice of receipt and EPA–HQ–OPP–2013–0793. Applicant: • Crop production (NAICS code 111). opportunity to comment on these BASF Corporation, Whitmire Micro-Gen • Animal production (NAICS code applications. Notice of receipt of these Research Laboratories, 3568 Tree Court 112). applications does not imply a decision Industrial Blvd., St. Louis, MO 63122– • Food manufacturing (NAICS code by the Agency on these applications. 6682. Active ingredient: Alpha- 311). For actions being evaluated under the Cypermethrin. Product type: Insecticide. • Pesticide manufacturing (NAICS Agency’s public participation process Proposed use: Indoor non-food handling code 32532). for registration actions, there will be an establishments. (RD) additional opportunity for a 30-day 6. EPA Registration Numbers: 7969– B. What should I consider as I prepare public comment period on the proposed 185, 7969–199, and 7969–258. Docket my comments for EPA? decision. Please see the Agency’s public ID number: EPA–HQ–OPP–2013–0798. 1. Submitting CBI. Do not submit this participation Web site for additional Applicant: BASF Corporation, P.O. Box information to EPA through information on this process (http:// 13528, 26 Davis Drive, Research regulations.gov or email. Clearly mark www.epa.gov/pesticides/regulating/ Triangle Park, NC 27709. Active the part or all of the information that registration-public-involvement.html ). ingredient: Pyraclostrobin. Product type: you claim to be CBI. For CBI EPA received the following applications Fungicide. Proposed uses: Herbs, information in a disk or CD–ROM that to register new uses for pesticide Subgroup 19A; Dill; Stone Fruit, Group you mail to EPA, mark the outside of the products containing currently registered 12–12 (conversion); and Tree Nut, disk or CD–ROM as CBI and then active ingredients: Group 14–12 (conversion). (RD) identify electronically within the disk or 1. EPA Registration Numbers: 100– 7. EPA Registration Numbers: 7969– CD–ROM the specific information that 1067 and 100–1431. Docket ID number: 198 and 7969–199. Docket ID number: is claimed as CBI. In addition to one EPA–HQ–OPP–2013–0729. Applicant: EPA–HQ–OPP–2013–0797. Applicant: complete version of the comment that Syngenta Crop Protection, P.O. Box BASF Corporation, P.O. Box 13528, 26 includes information claimed as CBI, a 18300, Greensboro, NC 27419–8300. Davis Drive, Research Triangle Park, NC copy of the comment that does not Active ingredient: Paraquat dichloride. 27709. Active ingredient: Boscalid. contain the information claimed as CBI Product type: Herbicide. Proposed uses: Product type: Fungicide. Proposed uses: must be submitted for inclusion in the Arracacha; arrowroot; artichoke, Herbs, Subgroup 19A; Dill; Stone Fruit, public docket. Information so marked Chinese; artichoke, Jerusalem; canna, Group 12–12 (conversion); Tree Nut, will not be disclosed except in edible; cassava, bitter and sweet; Group 14–12 (conversion). (RD) accordance with procedures set forth in chayote (root); chufa; dasheen; ginger; 8. EPA Registration Numbers: 7969– 40 CFR part 2. leren; sweet potato; tanier; turmeric; 283 and 7969–284. Docket ID number: 2. Tips for preparing your comments. yam, bean; and yam, true. (RD) EPA–HQ–OPP–2013–0255. Applicant: When submitting comments, remember 2. EPA Registration Symbol/EPA BASF Corporation, P.O. Box 13528, 26 to: Registration Number: 264–RRAO and Davis Drive, Research Triangle Park, NC i. Identify the document by docket ID 264–1137. Docket ID number: EPA–HQ– 27709. Active ingredient: Metrafenone. number and other identifying OPP–2014–0013. Applicant: Bayer Product type: Fungicide. Proposed uses: information (subject heading, Federal CropScience, P.O. Box 12014, 2 T.W. Peach, Subgroup 12–12B; Apricot; Register date and page number). Alexander Drive, Research Triangle Cherry, Subgroup 12–12A; Hop, dried ii. Follow directions. The Agency may Park, NC 27709. Active ingredient: cones; Vegetable, cucurbit, Group 9; and ask you to respond to specific questions Fluoxastrobin. Product type: Fungicide. Fruit, small, vine climbing, except fuzzy or organize comments by referencing a Proposed uses: For use as a seed kiwifruit, Subgroup 13–07F. (RD)

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9. EPA Registration Symbol: 59441– (Agency). The settlement includes a Form Title: EIB 95–09 Letter of RR. Docket ID number: EPA–HQ–OPP– covenant not to sue the settling party Interest Application. 2014–0017. Applicant: Eastman Kodak pursuant to Sections 106 or 107(a) of SUMMARY: The Export-Import Banks of Company, 343 State St., Rochester, NY CERCLA, 42 U.S.C. 9606 or 9607(a). For the United States (Ex-Im Bank), as part 14650. Active ingredient: Copper sulfate thirty (30) days following the date of of its continuing effort to reduce pentahydrate. Product type: publication of this notice in the Federal paperwork and respondent burden, Antimicrobial. Proposed use: Material Register, the Agency will receive invites the general public and other preservative. (AD) written comments relating to the Federal Agencies to comment on the 10. EPA Registration Number: 82552– settlement. The Agency will consider all proposed information collection, as 1. Docket ID number: EPA–HQ–OPP– comments received and may modify or required by the Paperwork Reduction 2013–0826. Applicant: Siamons withdraw its consent to the settlement Act of 1995. International, Inc., 48 Galaxy Blvd., Unit if comments received disclose facts or The Letter of Interest (LI) is an 413, Toronto, Ontario, Canada M9W considerations which indicate the indication of Export-Import (Ex-Im) 6C8. Active ingredient: Sodium proposed settlement is inappropriate, Bank’s willingness to consider financing carbonate. Product type: Antimicrobial, improper, or inadequate. The Agency’s a given export transaction. Ex-Im Bank Fungistat, and Mildewstat. Proposed response to any comments received will uses the requested information to uses: HVAC Systems. (AD) be available for public inspection at 75 determine the applicability of the 11. EPA Registration Number: 84034– Hawthorne Street, San Francisco, CA proposed export transaction and 1. Docket ID number: EPA–HQ–OPP– 94105. determines whether or not to consider 2014–0016. Applicant: Mexel USA, DATES: Pursuant to Section 122(i) of financing that transaction. LLC, 1655 North Fort Myer Drive, Suite CERCLA, EPA will receive written The form can be reviewed at: http:// 350, Arlington, VA 22209. Active comments relating to this proposed www.exim.gov/pub/pending/95-9-li- ingredient: 1-(Alkyl amino)-3 settlement until March 31, 2014. 1.pdf aminopropane. Product type: ADDRESSES: The proposed settlement is DATES: Comments must be received on Molluscicide/antifoulant. Proposed use: available for public inspection at EPA or before April 28, 2014 to be assured End-use product intended to control Region IX, 75 Hawthorne Street, San of consideration. bio-fouling in once through and Francisco, California. A copy of the recirculating cooling towers. (AD) proposed settlement may be obtained ADDRESSES: Comments may be submitted electronically on List of Subjects from Rachel Tennis, Attorney-Adviser (ORC–3), Office of Regional Counsel, WWW.REGULATIONS.GOV or by mail Environmental protection, Pesticides U.S. EPA Region IX, 75 Hawthorne to Michele Kuester, Export-Import Bank and pests. Street, San Francisco, CA 94105; phone: of the United States, 811 Vermont Ave. Dated: February 12, 2014. (415) 972–3746. Comments should NW., Washington, DC 20571. Daniel J. Rosenblatt, reference the Yosemite Slough SUPPLEMENTARY INFORMATION: Acting Director, Registration Division, Office Superfund Site, San Francisco, Title and Form Number: EIB 95–09 of Pesticide Programs. California and should be addressed to Letter of Interest Application. [FR Doc. 2014–04326 Filed 2–26–14; 8:45 am] Rachel Tennis at the above address. OMB Number: 3048–0005. BILLING CODE 6560–50–P FOR FURTHER INFORMATION CONTACT: Type of Review: Regular. Rachel Tennis, Attorney-Adviser Need and Use: The Letter of Interest (ORC–3), Office of Regional Counsel, (LI) is an indication of Export-Import ENVIRONMENTAL PROTECTION U.S. EPA Region IX, 75 Hawthorne (Ex-Im) Bank’s willingness to consider AGENCY Street, San Francisco, CA 94105; phone: financing a given export transaction. Ex- (415) 972–3746; fax: (417) 947–3570; Im Bank uses the requested information [FRL–9907–16–Region 9] email: [email protected]. to determine the applicability of the Yosemite Slough Superfund Site, San SUPPLEMENTARY INFORMATION: Party to proposed export transaction system Francisco, CA; Notice of Proposed the Proposed Settlement: Angelica prompts and determines whether or not CERCLA Ability To Pay Settlement Gnzalez. to consider financing that transaction. Dated: February 6, 2014. Affected Public: This form affects AGENCY: Environmental Protection Enrique Manzanilla, entities involved in the export of U.S. Agency (EPA). Director, Superfund Division, U. S. EPA, goods and services. ACTION: Notice; request for comment. Region IX. Annual Number of Respondents: 540. [FR Doc. 2014–04322 Filed 2–26–14; 8:45 am] Estimated Time per Respondent: 0.5 SUMMARY: In accordance with Section hours. BILLING CODE 6560–50–P 122(i) of the Comprehensive Annual Burden Hours: 270. Environmental Response, Compensation Frequency of Reporting of Use: On and Liability Act of 1980, as amended occasion. (CERCLA), 42 U.S.C. 9622(i), notice is EXPORT-IMPORT BANK OF THE UNITED STATES Government Reviewing Time per hereby given of a proposed Year: 270. administrative settlement with one [Public Notice: 2014–6004] Average Wages per Hour: $42.50. ability to pay party for recovery of Average Cost per Year: $11,475. Agency Information Collection response costs concerning the Yosemite Benefits and Overhead: 20%. Activities; Proposals Submissions, Slough Superfund Site in San Francisco, Total Government Cost: $13,770. California. The settlement is entered and Approvals Bonita Jones-McNeil, into pursuant to Section 122(h)(1) of AGENCY: Export-Import Bank of the CERCLA, 42 U.S.C. 9622(h)(1), and it United States. Records Management Analyst, Records requires the settling party to pay Management Division. ACTION: Submission for OMB review and $50,000 to the United States [FR Doc. 2014–04293 Filed 2–26–14; 8:45 am] comments request. Environmental Protection Agency BILLING CODE 6690–01–P

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FEDERAL COMMUNICATIONS FOR FURTHER INFORMATION CONTACT: (TCB), which acts on behalf of the FCC COMMISSION Benish Shah, Office of Managing to issue grants of certification and may Director, (202) 418–7866. issue grants more expeditiously than the Information Collection Being SUPPLEMENTARY INFORMATION: FCC. The TCBs have flexibility in the Submitted to the Office of Management OMB Control Number: 3060–0057. format in which they require the and Budget for Review and Approval Title: Application for Equipment collection of information (i) TCBs may Authorization, FCC Form 731. require applicants to submit the AGENCY: Federal Communications Form Number: FCC 731. required information in FCC Form 731 Commission. Type of Review: Extension of format or in another format selected by ACTION: Notice and request for currently approved collection. the TCB, but (ii) whatever the comments. Respondents: Business or other for information collection method, the profit. information required is governed by the SUMMARY: As part of its continuing effort Number of Respondents: 3,740 procedural rules in 47 CFR Part 2 and to reduce paperwork burden and as respondents; 22,250 responses. a showing of compliance with the FCC required by the Paperwork Reduction Time per Response: 35 hours. technical standards for the specific type Act (PRA) of 1995 (44 U.S.C. 3501– Frequency of Response: On occasion of equipment. RF manufacturer 3520), the Federal Communications reporting requirement and third party applicants for equipment certification Commission invites the general public disclosure requirement. may also request ‘‘expedited and other Federal agencies to take this Obligation to Respond: Required to authorization’’ to market their opportunity to comment on the obtain or retain benefits. Statutory equipment by: (a) Choosing to pay the following information collection(s). authority for this information collection fee levied by a TCB, and (b) submitting Comments are requested concerning: is contained in the 47 U.S.C. 154(i), 301, their request to a TCB in order for Whether the proposed collection of 302, 303(e), 303(f) and 303(r). expedited authorization to market. The information is necessary for the proper Total Annual Burden: 778,750 hours. TCB processes the RF equipment performance of the functions of the Total Annual Costs: $ 34,465,000. manufacturer’s application as follows: Commission, including whether the Privacy Act Impact Assessment: No (i) The TCB receives and reviews the RF information shall have practical utility; impact(s). manufacturer’s information submission/ the accuracy of the Commission’s Nature and Extent of Confidentiality: application; and (ii) the TCB enters the burden estimate; ways to enhance the Minimal exemption from the Freedom information into the FCC Equipment quality, utility, and clarity of the of Information Act (FOIA) under 5 Authorization System database using an information collected; ways to minimize U.S.C. 552(b)(4) and FCC rules under 47 interface that provides the TCB with the the burden of the collection of CFR 0.457(d) is granted for trade secrets tools to issue a standardized Grant of information on the respondents, which may be submitted as attachments Equipment Authorization. Whichever including the use of automated to the application FCC Form 731. No method the RF manufacturers choose to collection techniques or other forms of other assurances of confidentiality are submit their information—via either the information technology; and ways to provided to respondents. FCC on FCC Form 731 or the TCB, FCC further reduce the information burden Needs and Uses: The Commission Rules require that applicants supply the for small business concerns with fewer will submit this expiring information following data: (a) Demographic than 25 employees. The FCC may not collection (IC) to the OMB during this information including Grantee name conduct or sponsor a collection of comment period. There is an increase in and address, contact information, etc.; information unless it displays a respondents/burden estimates in this (b) information specific to the currently valid OMB control number. information collection. equipment including FCC Identifier, No person shall be subject to any Commission rules require that equipment class, technical penalty for failing to comply with a manufacturers of certain radio specifications, etc.; and (c) attachments collection of information subject to the frequency (RF) equipment file FCC that demonstrate compliance with FCC Paperwork Reduction Act (PRA) that Form 731 to obtain approval prior to Rules that may include any combination does not display a valid OMB control marketing their equipment. of the following based on the applicable number. Manufacturers may then market their RF Rule parts for the equipment for which equipment based on a showing of authorization is requested: (1) DATES: Written Paperwork Reduction compliance with technical standards Identification of equipment (47 CFR Act (PRA) comments should be established in the FCC Rules for each 2.925); (2) attestation statements that submitted on or before March 31, 2014. type of equipment or device operated may be required for specific If you anticipate that you will be under the applicable FCC Rule part. The equipments; (3) external photos of the submitting PRA comments, but find it following types of equipment are equipment for which authorization is difficult to do so within the period of regulated (a) the RF equipment is requested; (4) block diagram of the time allowed by this notice, you should regulated under certain rule sections of device; (5) schematics; (6) test report; (7) advise the FCC contact listed below as 47 CFR Part 15 and Part 18, and (b) in test setup photos; (8) Users Manual; (9) soon as possible. addition, rules governing certain RF Internal Photos; (10) Parts List/Tune Up ADDRESSES: Submit your PRA comments equipment operating in the licensed Information; (11) RF Exposure to Nicholas A. Fraser, Office of services also require equipment Information; (12) Operational Management and Budget, via fax at 202– authorization as established in the Description; (13) Cover Letters; and, (14) 395–5167 or via Internet at Nicholas_ procedural rules in 47 CFR Part 2. The Software Defined Radio/Cognitive Radio [email protected] and to Benish RF equipment manufacturers comply Files. Shah, Federal Communications with the information collection In general, an applicant’s submission Commission, via the Internet at requirements by (a) Filing FCC Form is as follows: (a) FCC Form 731 includes [email protected]. To submit your 731 electronically with the Commission, approximately two pages covering the PRA comments by email send them to: or (b) Submitting the information to a demographic and equipment [email protected]. Telecommunications Certification Body identification information; and (b)

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applicants must supply additional SUMMARY: As part of its continuing effort presented in the ‘‘Select Agency’’ box, documentation and other information, to reduce paperwork burdens, and as (5) click the ‘‘Submit’’ button to the as described above, demonstrating required by the Paperwork Reduction right of the ‘‘Select Agency’’ box, (6) conformance with FCC Rules, which Act (PRA) of 1995 (44 U.S.C. 3501– when the list of FCC ICRs currently may range from 100–1,000 pages. The 3520), the Federal Communication under review appears, look for the OMB supplemental information is essential to Commission (FCC or Commission) control number of this ICR and then control potential interference to radio invites the general public and other click on the ICR Reference Number. A communications, which the FCC may Federal agencies to take this copy of the FCC submission to OMB use, as is necessary, to investigate opportunity to comment on the will be displayed. complaints of harmful interference. In following information collections. SUPPLEMENTARY INFORMATION: response to new technologies and in Comments are requested concerning: OMB Control Number: 3060–0289. allocating spectrum, the Commission Whether the proposed collection of Title: Section 76.76.601, Performance may establish new technical operating information is necessary for the proper Tests; Section 76.1704, Proof of standards: (a) RF equipment performance of the functions of the Performance Test Data; Section 76.1705, manufacturers must meet the new Commission, including whether the Performance Tests (Channels Delivered); standards to receive an equipment information shall have practical utility; 76.1717, Compliance with Technical authorization, and (b) RF equipment the accuracy of the Commission’s Standards. manufacturers must still comply with burden estimate; ways to enhance the Form Number: N/A. the Commission’s requirements in FCC quality, utility, and clarity of the Type of Review: Extension of a Form 731 and demonstrate compliance information collected; ways to minimize currently approved collection. as required by 47 CFR Part 2 of FCC the burden of the collection of Respondents: Business or other for- Rules. Thus, this information collection information on the respondents, profit entities; State, local or Tribal applies to a variety of RF equipment: (a) including the use of automated Government. That is currently manufactured, (b) that collection techniques or other forms of Number of Respondents and may be manufactured in the future, and information technology; and ways to Responses: 8,250 respondents; 12,185 (c) that operates under varying technical further reduce the information responses. collection burden on small business standards. On July 8, 2004, the Estimated Time per Response: 0.5–70 concerns with fewer than 25 employees. Commission adopted a Report and hours. Order, Modification of Parts 2 and 15 of The FCC may not conduct or sponsor a collection of information unless it Frequency of Response: the Commission’s Rules for Unlicensed Recordkeeping requirement, Semi- Devices and Equipment Approval, ET displays a currently valid OMB control number. No person shall be subject to annual and Triennial reporting Docket No. 03–201, FCC 04–165. The requirements; Third party disclosure change requires that all paper filings any penalty for failing to comply with a collection of information subject to the requirement. required in 47 CFR Sections 2.913, Total Annual Burden: 276,125 hours. 2.926(c), 2.929(c), and 2.929(d) of the PRA that does not display a valid OMB control number. Total Annual Costs: None. rules are outdated and now must be Obligation to Respond: Required to DATES: filed electronically via the Internet on Written comments should be obtain or retain benefits. The statutory FCC Form 731. The Commission submitted on or before March 31, 2014. authority for this collection of believes that electronic filing speeds up If you anticipate that you will be information is contained in Sections 4(i) application processing and supports the submitting comments, but find it and 624(e) of the Communications Act Commission in further streamlining to difficult to do so within the period of of 1934, as amended. reduce cost and increase efficiency. time allowed by this notice, you should Nature and Extent of Confidentiality: Information on the procedures for advise the contacts below as soon as There is no need for confidentiality with electronically filing equipment possible. this collection of information. authorization applications can be ADDRESSES: Direct all PRA comments to Privacy Impact Assessment: No obtained from the Commission’s rules, Nicholas A. Fraser, OMB, via email impact(s). and from the Internet at: http:// [email protected]; and Needs and Uses: 47 CFR 76.601(b) _ _ transition.fcc.gov/oet/ea/ea app to Cathy Williams, FCC, via email PRA@ requires the operator of each cable info.htm. fcc.gov and to television system shall conduct Federal Communications Commission. [email protected]. Include in the complete performance tests of that Marlene H. Dortch, comments the OMB control number as system at least twice each calendar year Secretary, Office of the Secretary, Office of shown in the SUPPLEMENTARY (at intervals not to exceed seven Managing Director. INFORMATION section below. months), unless otherwise noted below. [FR Doc. 2014–04263 Filed 2–26–14; 8:45 am] FOR FURTHER INFORMATION CONTACT: For The performance tests shall be directed BILLING CODE 6712–01–P additional information or copies of the at determining the extent to which the information collection, contact Cathy system complies with all the technical Williams at (202) 418–2918. To view a standards set forth in § 76.605(a) and FEDERAL COMMUNICATIONS copy of this information collection shall be as follows: COMMISSION request (ICR) submitted to OMB: (1) Go (1) For cable television systems with to the Web page , 12,500 or fewer subscribers, proof-of- Submitted for Review and Approval to (2) look for the section of the Web page performance tests conducted pursuant the Office of Management and Budget called ‘‘Currently Under Review,’’ (3) to this section shall include AGENCY: Federal Communications click on the downward-pointing arrow measurements taken at six (6) widely Commission. in the ‘‘Select Agency’’ box below the separated points. However, within each ‘‘Currently Under Review’’ heading, (4) cable system, one additional test point ACTION: Notice and request for select ‘‘Federal Communications shall be added for every additional comments. Commission’’ from the list of agencies 12,500 subscribers or fraction thereof

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(e.g., 7 test points if 12,501 to 25,000 every six hours (at intervals of not less Nature and Extent of Confidentiality: subscribers; 8 test points if 25,001 to than five hours or no more than seven There is no need for confidentiality with 37,500 subscribers, etc.). In addition, for hours after the previous measurement), this collection of information. technically integrated portions of cable to include the warmest and the coldest Privacy Impact Assessment(s): No systems that are not mechanically times, during a 24-hour period in impact(s). continuous (i.e., employing microwave January or February and in July or Needs and Uses: Cable television connections), at least one test point will August. system operators and Multichannel be required for each portion of the cable (4) The operator of each cable Video Programming Distributors system served by a technically television system shall conduct triennial (MPVDs) who use frequencies in the integrated microwave hub. The proof-of- proof-of-performance tests of its system bands 108–137 and 225–400 MHz performance test points chosen shall be to determine the extent to which the (aeronautical frequencies) are required balanced to represent all geographic system complies with the technical to file a Cumulative Signal Leakage areas served by the cable system. At standards set forth in § 76.605(a)(11). Index (CLI) derived under 47 CFR least one-third of the test points shall be Note 1 to 47 CFR 76.601 states prior 76.611(a)(1) or the results of airspace representative of subscriber terminals to additional testing pursuant to Section measurements derived under 47 CFR most distant from the system input and 76.601(c), the local franchising authority 76.611(a)(2). This filing must include a from each microwave receiver (if shall notify the cable operator, who will description of the method by which microwave transmissions are then be allowed thirty days to come into compliance with basic signal leakage employed), in terms of cable length. The compliance with any perceived signal criteria is achieved and the method of measurements may be taken at quality problems which need to be calibrating the measurement equipment. convenient monitoring points in the corrected. This yearly filing of FCC Form 320 is cable network: Provided, that data shall 47 CFR 76.1704 requires that proof of done in accordance with 47 CFR be included to relate the measured performance test required by 47 CFR 76.1803. The records must be retained performance of the system as would be 76.601 shall be maintained on file at the by cable operators. viewed from a nearby subscriber operator’s local business office for at Federal Communications Commission. least five years. The test data shall be terminal. An identification of the Marlene H. Dortch, instruments, including the makes, made available for inspection by the Commission or the local franchiser, Secretary, Office of the Secretary, Office of model numbers, and the most recent Managing Director. upon request. If a signal leakage log is date of calibration, a description of the [FR Doc. 2014–04264 Filed 2–26–14; 8:45 am] procedures utilized, and a statement of being used to meet proof of performance BILLING CODE 6712–01–P the qualifications of the person test recordkeeping requirement in performing the tests shall also be accordance with Section 76.601, such a included. log must be retained for the period (2) Proof-of-performance tests to specified in 47 CFR 76.601(d). FEDERAL MINE SAFETY AND HEALTH determine the extent to which a cable 47 CFR 76.1705 requires that the REVIEW COMMISSION operator of each cable television system television system complies with the Sunshine Act Notice standards set forth in § 76.605(a)(3), (4), shall maintain at its local office a and (5) shall be made on each of the current listing of the cable television February 24, 2014. channels which that system delivers to NTSC or similar video channels of that TIME AND DATE: 10:00 a.m., Thursday, its subscribers. system. Unless otherwise as noted, March 6, 2014. proof-of-performance tests for all other 47 CFR 76.1717 states that an operator shall be prepared to show, on request by PLACE: The Richard V. Backley Hearing standards in § 76.605(a) shall be made Room, Room 511N, 1331 Pennsylvania on a minimum of four (4) channels plus an authorized representative of the Commission or the local franchising Avenue NW., Washington, DC 20004 one additional channel for every 100 (entry from F Street entrance). MHz, or fraction thereof, of cable authority, that the system does, in fact, STATUS: distribution system upper frequency comply with the technical standards Open. limit (e.g., 5 channels for cable rules in part 76, subpart K. MATTERS TO BE CONSIDERED: The television systems with a cable OMB Control Number: 3060–0433. Commission will hear oral argument in distribution system upper frequency Title: Basic Signal Leakage the following matters: Secretary of Labor limit of 101 to 216 MHz; 6 channels for Performance Report. v. Twentymile Coal Co., Docket Nos. Form Number: FCC Form 320. WEST 2009–241, et al., and Secretary of cable television systems with a cable Type of Review: Extension of a distribution system upper frequency Labor v. Twentymile Coal Co., Docket currently approved collection. Nos. WEST 2009–1323, et al. (Issues limit of 217–300 MHz; 7 channels for Respondents: Business or other for- cable television systems with a cable include whether the Administrative profit entities. Law Judge erred in affirming citations distribution upper frequency limit to Number of Respondents and for failing to provide additional 300 to 400 MHz, etc.). The channels Responses: 5,920 respondents and 5,920 insulation for a communications selected for testing must be responses. representative of all the channels within Frequency of Response: circuit.) Oral argument in these matters the cable television system. Recordkeeping requirement, Annual has previously been postponed twice (3) The operator of each cable reporting requirement. because of severe weather problems. television system shall conduct semi- Estimated Time per Hour: 20 hours. Any person attending this oral annual proof-of-performance tests of Total Annual Burden: 118,400 hours. argument who requires special that system, to determine the extent to Total Annual Cost: None. accessibility features and/or auxiliary which the system complies with the Obligation to Respond: Required to aids, such as sign language interpreters, technical standards set forth in obtain or retain benefits. The statutory must inform the Commission in advance § 76.605(a)(4) as follows. The visual authority for this collection is contained of those needs. Subject to 29 CFR signal level on each channel shall be in Sections 4(i), 302 and 303 of the 2706.150(a)(3) and 2706.160(d). measured and recorded, along with the Communications Act of 1934, as CONTACT PERSON FOR MORE INFO: Jean date and time of the measurement, once amended. Ellen (202) 434–9950/(202) 708–9300

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for TDD Relay/1–800–877–8339 for toll the power to vote shares of a bank or SUMMARY: The FTC intends to ask the free. bank holding company and all of the Office of Management and Budget banks and nonbanking companies (‘‘OMB’’) to extend for an additional Emogene Johnson, owned by the bank holding company, three years the current Paperwork Administrative Assistant. including the companies listed below. Reduction Act (‘‘PRA’’) clearance for the [FR Doc. 2014–04491 Filed 2–25–14; 4:15 pm] The applications listed below, as well FTC’s enforcement of the information BILLING CODE 6735–01–P as other related filings required by the collection requirements in its ‘‘Fair Board, are available for immediate Credit Reporting Risk-Based Pricing inspection at the Federal Reserve Bank Regulations’’ (‘‘RBP Rule’’), which FEDERAL MINE SAFETY AND HEALTH indicated. The applications will also be applies to certain motor vehicle dealers, REVIEW COMMISSION available for inspection at the offices of and its shared enforcement with the Sunshine Act Notice the Board of Governors. Interested Consumer Financial Protection Bureau persons may express their views in (‘‘CFPB’’) of the risk-based pricing February 24, 2014. writing on the standards enumerated in provisions (subpart H) of the CFPB’s TIME AND DATE: 2:00 p.m., Thursday, the BHC Act (12 U.S.C. 1842(c)). If the Regulation V regarding other entities. March 6, 2014. proposal also involves the acquisition of That clearance expires on August 31, a nonbanking company, the review also 2014. PLACE: The Richard V. Backley Hearing includes whether the acquisition of the Room, Room 511N, 1331 Pennsylvania DATES: Comments must be filed by April nonbanking company complies with the Avenue NW., Washington, DC 20004 28, 2014. standards in section 4 of the BHC Act (entry from F Street entrance). ADDRESSES: Interested parties may file a (12 U.S.C. 1843). Unless otherwise comment online or on paper, by STATUS: Open. noted, nonbanking activities will be following the instructions in the MATTERS TO BE CONSIDERED: The conducted throughout the United States. Request for Comment part of the Commission will consider and act upon Unless otherwise noted, comments SUPPLEMENTARY INFORMATION section the following in open session: Secretary regarding each of these applications below. Write ‘‘RBP Rule, PRA Comment, of Labor v. Twentymile Coal Co., Docket must be received at the Reserve Bank P145403,’’ on your comment and file Nos. WEST 2009–241, et al., and indicated or the offices of the Board of your comment online at https:// Secretary of Labor v. Twentymile Coal Governors not later than March 24, ftcpublic.commentworks.com/ftc/ Co., Docket Nos. WEST 2009–1323, et 2014. rbprulepra by following the instructions al. (Issues include whether the A. Federal Reserve Bank of St. Louis on the web-based form. If you prefer to Administrative Law Judge erred in (Yvonne Sparks, Community file your comment on paper, mail or affirming citations for failing to provide Development Officer) P.O. Box 442, St. deliver your comment to the following additional insulation for a Louis, Missouri 63166–2034: address: Federal Trade Commission, communications circuit.) Public 1. BancorpSouth, Inc., Tupelo, Office of the Secretary, Room H–113 meetings in these matters have twice Mississippi; to merge with Ouachita (Annex J), 600 Pennsylvania Avenue been postponed because of severe Bancshares Corporation and thereby NW., Washington, DC 20580. weather problems. indirectly acquire Ouachita Any person attending this meeting Independent Bank, both in Monroe, FOR FURTHER INFORMATION CONTACT: who requires special accessibility Louisiana. Katherine White, Attorney, Division of features and/or auxiliary aids, such as 2. Bear State Financial Holdings, LLC, Privacy and Identity Protection, Bureau sign language interpreters, must inform Little Rock, Arkansas and First Federal of Consumer Protection, (202) 326– the Commission in advance of those Bancshares of Arkansas, Inc., Harrison, 2878, 600 Pennsylvania Ave. NW., needs. Subject to 29 CFR 2706.150(a)(3) Arkansas; to become bank holding Room NJ–3158, Washington, DC 20580. and 2706.160(d). companies by acquiring 100 percent of SUPPLEMENTARY INFORMATION: On July CONTACT PERSON FOR MORE INFO: Jean the voting shares of First National 21, 2010, President Obama signed into Ellen (202) 434–9950/(202) 708–9300 Security Company, Hot Springs, law the Dodd-Frank Wall Street Reform for TDD Relay/1–800–877–8339 for toll Arkansas, and thereby indirectly acquire and Consumer Protection Act (‘‘Dodd- free. Heritage Bank, N.A., Jonesboro, Frank Act’’).1 The Dodd-Frank Act Arkansas, and First National Bank, Hot substantially changed the federal legal Emogene Johnson, Springs, Arkansas. framework for financial services Administrative Assistant. providers. Among the changes, the Board of Governors of the Federal Reserve [FR Doc. 2014–04492 Filed 2–25–14; 4:15 pm] Dodd-Frank Act transferred to the CFPB System, February 24, 2014. BILLING CODE 6735–01–P most of the FTC’s rulemaking authority Michael J. Lewandowski, for the risk-based pricing provisions of Associate Secretary of the Board. the Fair Credit Reporting Act FEDERAL RESERVE SYSTEM [FR Doc. 2014–04272 Filed 2–26–14; 8:45 am] (‘‘FCRA’’),2 on July 21, 2011.3 BILLING CODE 6210–01–P The FTC retains rulemaking authority Formations of, Acquisitions by, and for the RBP Rule solely for motor Mergers of Bank Holding Companies vehicle dealers described in section 1029(a) of the Dodd-Frank Act that are The companies listed in this notice FEDERAL TRADE COMMISSION have applied to the Board for approval, Agency Information Collection 1 Public Law 111–203, 124 Stat. 1376 (2010). pursuant to the Bank Holding Company 2 Activities; Proposed Collection; 15 U.S.C. 1681 et seq. Act of 1956 (12 U.S.C. 1841 et seq.) 3 Dodd-Frank Act, § 1061. This date was the (BHC Act), Regulation Y (12 CFR part Comment Request; Extension ‘‘designated transfer date’’ established by the 225), and all other applicable statutes Treasury Department under the Dodd-Frank Act. AGENCY: Federal Trade Commission See Dep’t of the Treasury, Bureau of Consumer and regulations to become a bank (‘‘FTC’’ or ‘‘Commission’’). Financial Protection; Designated Transfer Date, 75 holding company and/or to acquire the ACTION: Notice. FR 57252, 57253 (Sept. 20, 2010); see also Dodd- assets or the ownership of, control of, or Frank Act, § 1062.

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predominantly engaged in the sale and The FTC’s currently cleared burden respondents will use correspondence servicing of motor vehicles, the leasing totals, post-adjustment for the effects of clerks, at a mean hourly wage of and servicing of motor vehicles, or the Dodd-Frank Act, are 13,319,471 $17.75,11 to modify and distribute both.4 hours.8 The past burden analysis, notices to consumers, for a cumulative In addition, the FTC retains its however, was tied to the inception of labor cost total of $171,331,875. authority to enforce the risk-based the Rule and its later amendments, and D. Capital/Non-Labor Costs: $0. pricing provisions of the FCRA and the included one-time burdens attributable The FTC believes that the FTC and FTC and CFPB rules issued under those to implementation. The FTC’s updated CFPB rules impose negligible capital or provisions. Thus, the FTC and CFPB estimate of burden hours reflects solely other non-labor costs, as the affected have overlapping enforcement authority the recurring burden of complying with entities are likely to have the necessary for many entities subject to the CFPB the Rule. supplies and/or equipment already (e.g., rule and the FTC has sole enforcement Using the currently cleared estimates offices and computers) for the authority for the motor vehicle dealers (post-adjustment for the effects of the information collections discussed subject to the FTC rule. Dodd-Frank Act) for the number of above. applicable motor vehicle dealers and Request for Comment: Pursuant to On December 21, 2011, the CFPB Section 3506(c)(2)(A) of the PRA, the issued its interim final FCRA rule, their assumed recurring disclosure burdens, in addition to the estimated FTC invites comments on: (1) Whether including the risk-based pricing the disclosure requirements are provisions (subpart H) of CFPB’s number of and burden for other entities 5 over which the FTC shares enforcement necessary, including whether the Regulation V. Contemporaneous with information will be practically useful; that issuance, the CFPB and FTC had burden with the CFPB, the FTC proposes the following: (2) the accuracy of our burden estimates, each submitted to OMB, and received its including whether the methodology and approval for, the agencies’ respective A. Estimated number of respondents: 9 assumptions used are valid; (3) ways to burden estimates reflecting their 160,875. B. Burden Hours: 9,652,500. enhance the quality, utility, and clarity overlapping enforcement jurisdiction, Yearly recurring burden of 60 hours of the information to be collected; and with the FTC supplementing its per respondent 10 to modify and (4) ways to minimize the burden of estimates for the enforcement authority distribute notices × 160,875 respondents providing the required information to exclusive to it regarding the class of = 9,652,500 hours, cumulatively. consumers. All comments should be motor vehicle dealers noted above. The C. Labor Costs: $171,331,875. filed as prescribed in the ADDRESSES discussion below continues that Labor costs are derived by applying section above, and must be received on analytical framework, as appropriately appropriate estimated hourly cost or before April 28, 2014. updated or otherwise refined for instant figures to the burden hours described You can file a comment online or on purposes. above. The FTC assumes that paper. For the Commission to consider Burden statement: Under the PRA, 44 your comment, we must receive it on or U.S.C. 3501–3521, Federal agencies 8 OMB Control No. 3084–0145. before April 28, 2014. Write ‘‘RBP Rule, must get OMB approval for each 9 This estimate derives in part from an analysis PRA Comment, P145403,’’ on your collection of information they conduct of the figures obtained from the North American comment. Your comment—including Industry Classification System (NAICS) or sponsor. ‘‘Collection of information’’ Association’s database of U.S. businesses. See your name and your state—will be includes agency requests or http://www.naics.com/search.htm. Commission placed on the public record of this requirements to submit reports, keep staff identified categories of entities under its proceeding, including to the extent records, or provide information to a jurisdiction that also directly provide credit to practicable, on the public Commission consumers. Those categories include retail, vehicle third party. 44 U.S.C. 3502(3); 5 CFR dealers, consumer lenders, and utilities. The Web site, at http://www.ftc.gov/os/ 1320.3(c). The FTC is seeking clearance estimate also includes state-chartered credit unions, publiccomments.shtm. As a matter of for its assumed share of the estimated which are subject to the Commission’s jurisdiction. discretion, the Commission tries to PRA burden regarding the disclosure See 15 U.S.C. 1681s. For the latter category, remove individuals’ home contact Commission staff relied on estimates from the requirements under the FTC and CFPB Credit Union National Association for the number information from comments before Rules. of non-federal credit unions. See http:// placing them on the Commission Web Under §§ 640.3–640.4 of the FTC’s www.ncua.gov/Legal/Documents/Reports/ site. RBP Rule 6 and §§ 1022.72–1022.73 of AR2012.pdf. For purposed of estimating the burden, Because your comment will be made Commission staff made the conservative 7 public, you are solely responsible for the CFPB Rule, a creditor must provide assumption that all of the included entities engage a risk-based pricing notice to a in risk-based pricing. The resulting tally of entities making sure that your comment does consumer when the creditor uses a numbered 199,500. From this amount, the FTC not include any sensitive personal consumer report to grant or extend deducted an estimated portion attributable to motor information, like anyone’s Social vehicle dealers in order to calculate a net amount Security number, date of birth, driver’s credit to the consumer on material terms in which to split evenly with the CFPB for the that are materially less favorable than remaining number of respondents for purposes of license number or other state the most favorable terms available to a estimating the FTC’s overall share of PRA burden. identification number or foreign country substantial proportion of consumers The FTC estimated there were 122,250 motor equivalent, passport number, financial vehicle dealers, determined as follows: 111,136 car account number, or credit or debit card from or through that creditor. dealers per NAICS data (57,535 new car dealers, Additionally, these provisions require 53,601 used car dealers) + 10% add-on number. You are also solely responsible disclosure of credit scores and approximation for other motor vehicle types for making sure that your comment does information relating to credit scores in (motorbikes, boats, other recreational). Excluding not include any sensitive health the estimated number of motor vehicle dealers, information, like medical records or risk-based pricing notices if a credit 122,250, from the estimated overall number of score of the consumer is used in setting affected entities, 199,500, leaves 77,250 as the other individually identifiable health the material terms of credit. number of respondents for the agencies’ 50:50 apportionment: 77,250, i.e., about 38,625 each. 11 http://www.bls.gov/news.release/pdf/ Thus, for the FTC, the estimated number of ocwage.pdf: Bureau of Labor Statistics, Economic 4 See Dodd-Frank Act, § 1029(a), (c). respondents for its calculations is 160,875 (122,250 News Release, March 29, 2013, Table 1, ‘‘National 5 76 FR 79308 (Dec. 21, 2011). + 38,625). employment and wage data from the Occupational 6 16 CFR 640.3, –640.4. 10 Assumption: 5 hours per month per Employment Statistics survey by occupation, May 7 12 CFR 1022.72, –1022.73. respondent. 2012.’’

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information. In addition, do not include the Commission’s privacy policy, at an emergency department, even though any ‘‘[t]rade secret or any commercial or http://www.ftc.gov/ftc/privacy.htm. CMS disapproved an amendment to add this limit to the Florida state plan. financial information which is . . . David C. Shonka, privileged or confidential’’ as provided Consequently, Federal payments for a Principal Deputy General Counsel. in Section 6(f) of the FTC Act 15 U.S.C. portion of the Federal funding of [FR Doc. 2014–04235 Filed 2–26–14; 8:45 am] 46(f), and FTC Rule 4.10(a)(2), 16 CFR administrative costs will be withheld, 4.10(a)(2). In particular, do not include BILLING CODE 6750–01–P subject for the opportunity for a hearing competitively sensitive information described below. This notice is being such as costs, sales statistics, provided pursuant to the requirements DEPARTMENT OF HEALTH AND of section 1904 of the Act, as inventories, formulas, patterns devices, HUMAN SERVICES implemented at 42 CFR 430.35 and 42 manufacturing processes, or customer CFR 430, Subpart D. names. Centers for Medicare & Medicaid Under section 1902(a)(10)(A) of the If you want the Commission to give Services Act, a state plan must provide for your comment confidential treatment, making medical assistance available to you must file it in paper form, with a Notice of Opportunity for Hearing on eligible individuals, including for most request for confidential treatment, and Compliance of Florida State Plan eligible individuals the medical Provisions Concerning Payment for you have to follow the procedure assistance specified in section Outpatient Hospital Services With Title explained in FTC Rule 4.9(c).12 Your 1905(a)(2) of the Act. This provision XIX (Medicaid) of the Social Security includes in the definition of medical comment will be kept confidential only Act if the FTC General Counsel grants your assistance ‘‘outpatient hospital request in accordance with the law and AGENCY: Centers for Medicare & services.’’ Section 1902(a)(17) of the Act the public interest. Medicaid Services (CMS), HHS. requires the state plan to include reasonable standards for determining ACTION: Notice of Opportunity for a Postal mail addressed to the the extent of medical assistance, and Hearing; Compliance of Florida Commission is subject to delay due to under section 1902(a)(19) of the Act, the Medicaid State Plan Outpatient Hospital heightened security screening. As a state plan must assure that eligibility for result, we encourage you to submit your Benefit. care and services are provided in the comments online. To make sure that the SUMMARY: This notice announces the best interest of the recipients. As the Commission considers your online opportunity for an administrative implementing regulations at 42 CFR comment, you must file it at https:// hearing to be held by April 28, 2014 at 440.230(b) require, a state plan must ftcpublic.commentworks.com/ftc/ the CMS Atlanta Regional Office, 61 ‘‘specify the amount, duration, and rbprulepra, by following the Forsyth Street SW., Suite 4T20, Atlanta, scope of each service that it provides,’’ instructions on the web-based form. If GA 30303–8909, to consider whether and ‘‘each service must be sufficient in this Notice appears at http:// Florida provisions concerning payments amount, duration, and scope to www.regulations.gov/#!home, you also for outpatient hospital services comply reasonably achieve its purpose.’’ While may file a comment through that Web with the requirements of the Social states may place ‘‘appropriate limits on site. Security Act as discussed in the [date of a service based on such criteria as publication] letter sent to the state and medical necessity or utilization control If you file your comment on paper, procedures’’ under CFR 440.230(d), 42 write ‘‘RBP Rule, PRA Comment, published herein. Closing Date: Requests to participate CFR 440.230(c) specifies that a state P145403,’’ on your comment and on the in the hearing as a party must be may not arbitrarily deny or reduce the envelope, and mail or deliver it to the received by the presiding officer by amount, duration, or scope of required following address: Federal Trade March 31, 2014. services, including physicians’ services, Commission, Office of the Secretary, solely because of the diagnosis, type of FOR FURTHER INFORMATION CONTACT: Room H–113 (Annex J), 600 illness, or condition. Benjamin R. Cohen, Hearing Officer, Pennsylvania Avenue NW., Washington, The proposed limitation on certain Centers for Medicare & Medicaid DC 20580. If possible, submit your outpatient hospital services appeared to Services, 2520 Lord Baltimore Drive, be based on the diagnosis, illness, or paper comment to the Commission by Suite L, Baltimore, MD 21244, (301) courier or overnight service. condition because it is limited to 869–3169. outpatient services furnished at a The FTC Act and other laws that the SUPPLEMENTARY INFORMATION: This hospital emergency room, which are Commission administers permit the notice announces the opportunity for an designed to address acute and collection of public comments to administrative hearing concerning the immediate conditions. Thus, the consider and use in this proceeding as finding of the Administrator of the limitation appeared to violate the appropriate. The Commission will Centers for Medicare & Medicaid requirements of 42 CFR 440.230(c). consider all timely and responsive Services (CMS) that the state of Florida Even if that were not the case, the state public comments that it receives on or is not operating their outpatient hospital did not demonstrate that the limitation before April 28, 2014. You can find services in compliance with their is consistent with provision of a more information, including routine approved state plan, or in compliance sufficient amount, duration, and scope uses permitted by the Privacy Act, in with the provisions of the Social to reasonably achieve the purpose of the Security Act (the Act), and the proposed benefit, which in this case would be withholding of Federal reimbursement providing reasonable coverage that of a portion of Florida’s administrative 12 meets the needs of most beneficiaries In particular, the written request for dollars proportionate to outpatient confidential treatment that accompanies the who need the outpatient hospital comment must include the factual and legal basis hospital services. In particular, CMS has services, consistent with 42 CFR for the request, and must identify the specific found that Florida has continued to 440.230(b). portions of the comment to be withheld from the implement a limit on the number of In disapproving SPA 12–015, CMS public record. See FTC Rule 4.9(c), 16 CFR 4.9(c). times a Medicaid beneficiary may visit staff suggested to the state some

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alternate methods to address limitation on coverage of outpatient During the course of the inappropriate utilization of hospital hospital services or services of a reconsideration process, CMS learned emergency rooms, including the hospital emergency department. It is our that Florida had implemented the six development of payment rates for understanding that Florida is visit limit on hospital emergency hospital emergency rooms that are lower nevertheless imposing a numeric department visits and was still applying if the individual does not require care limitation on such coverage. the limit after the proposed amendment for an acute and immediate condition, This issue is related to the was disapproved. This means that or the use of the alternative cost sharing disapproval of a proposed state plan Florida is not operating its program in authority available to states under amendment that would have placed accordance with the approved state section 1916(d) of the Act, permitting numeric limitations on outpatient plan. It should also be mentioned that higher beneficiary cost sharing for hospital visits furnished in a hospital Florida’s submission of its quarterly elective non-emergency use of the emergency department. Florida expenditure reports through the CMS– emergency room. CMS offered to work submitted the proposed amendment to 64, includes a certification that the state with the state on these options and the coverage provisions of the Medicaid is operating under the authority of its technical assistance. state plan on September 14, 2012, to approved Medicaid state plan. The state requested reconsideration of impose a limit of 6 visits per year to In light of our obligation to ensure the denial of the state plan amendment. emergency departments. The proposed that beneficiaries receive services to During the course of the state plan amendment would have been which they are entitled under the reconsideration proceedings, CMS effective on August 1, 2012. CMS approved state plan, I am taking this became aware of Florida’s continued disapproved the amendment on compliance action to withhold a portion implementation of the limitation on December 13, 2012, indicating that the of the Federal Financial Participation emergency department visits. limitation on outpatient services was (FFP) in state expenditures for The notice to Florida containing the not consistent with the requirements of administrative costs necessary to details concerning the compliance issue, section 1902 of the Social Security Act administer the Florida Medicaid the proposed withholding, opportunity and implementing regulations because program, subject to the opportunity for for a hearing, and possibility of the limitation: 1) would not be a hearing described below, until such postponing and ultimately avoiding consistent with the mandatory nature of time as I am satisfied that the state is withholding by coming into the outpatient hospital services benefit complying with the Federal compliance, reads as follows: under section 1902(a)(10)(A); 2) would requirements described above. The Justin M. Senior not be a reasonable standard consistent withholding will initially be 10 percent Deputy Secretary for Medicaid with section 1902(a)(17) of the Act of the Federal share of the state’s Florida Agency for Health Care because it would arbitrarily deny quarterly claim for administrative Administration coverage of outpatient hospital services, expenditures allocable to outpatient 2727 Mahan Drive, MS #8 a mandatory benefit, based on the hospital services, using an allocation Tallahassee, Florida 32308 (emergency) condition of the patient; method based on the proportion of total and 3) would not be consistent with the State Medicaid expenditures that were Dear Mr. Senior: best interests of beneficiaries as required for outpatient hospital expenditures, as This letter provides notice that the by section 1902(a)(19). reported on Form CMS–64. The Centers for Medicare & Medicaid In disapproving the amendment, CMS withholding percentage will increase by Services (CMS) has found that Florida is suggested to the state some alternate 5 percentage points (i.e. 15%, 20%, etc.) not providing all Medicaid beneficiaries methods to address inappropriate for every quarter in which the state with outpatient hospital benefits utilization of hospital emergency rooms, remains out of compliance, up to a required under title XIX of the Social including the development of payment maximum withholding percentage of Security Act (the Act) and that until this rates for hospital emergency rooms that 100 percent (of administrative deficiency is corrected (by making are lower if the individual does not expenditures allocable to outpatient outpatient hospital services available to require care for an acute and immediate hospital services). The withholding will all beneficiaries entitled to such condition, or the use of the alternative end when Florida implements a services), a portion of the Federal cost sharing authority available to states corrective action plan to bring its funding of the administrative costs under section 1916(d) of the Act, Medicaid program into compliance with associated with the operation of the permitting higher beneficiary cost Federal requirements. Florida Medicaid program will be sharing for elective non-emergency use The state has 30 days from the date of withheld, subject to the opportunity for of the emergency room. CMS offered to this letter to request a hearing. As Florida to request a hearing on this work with the state on these options and specified in the accompanying Federal finding. The details of the finding, technical assistance. Register notice, we are providing an proposed withholding, opportunity for a Florida requested reconsideration of opportunity for an administrative hearing, and possibility of postponing the CMS disapproval of the amendment hearing to ensure that you have an and ultimately avoiding withholding by in February 2013. In the CMS response, opportunity for a hearing prior to this coming into compliance, are described CMS noted that the disapproval was determination becoming final. However, in detail below. also supported because the proposed it is up to the state whether to go Specifically, CMS has found that coverage limitations has an exception to forward with this hearing. If a request Florida is not providing beneficiaries the limitation on emergency room visits for a hearing is timely submitted, the with medical assistance for outpatient for ‘‘aliens’’ that would violate the hearing will be convened by the Hearing hospital services in accordance with the ‘‘comparability’’ requirements of section Officer designated below no later than approved Florida State Plan, specifically 1902(a)(10)(B) of the Act because it 60 days after the date of the Federal by imposing numeric limits (six visits would provide that aliens would receive Register notice, or a later date by annually) on coverage of outpatient a greater amount, duration and scope of agreement of the parties and the Hearing hospital visits furnished in hospital emergency outpatient hospital benefits Officer, at the CMS Regional Office in emergency departments. The approved than other individuals described in Atlanta, Georgia, in accordance with the state plan does not contain any numeric section 1902(a)(10)(A) of the Act. procedures set forth in Federal

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regulations at 42 CFR Part 430, Subpart DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND D. The overall issue in any such appeal HUMAN SERVICES HUMAN SERVICES will be whether the Florida outpatient hospital benefit is consistent with Food and Drug Administration Food and Drug Administration Federal requirements. Any request for [Docket No. FDA–2010–N–0110] such a hearing should sent to the [Docket No. FDA–2013–N–0717] designated Hearing Officer. The Hearing Agency Information Collection Officer also should be notified if you Agency Information Collection Activities: Proposed Collection; request a hearing but cannot meet the Activities; Announcement of Office of Comment Request; Prescription Drug timeframe expressed in this notice. Your Management and Budget Approval; Advertisements Hearing Officer is: Evaluation of the Food and Drug AGENCY: Food and Drug Administration, Benjamin R. Cohen, Hearing Officer Administration’s General Market Youth HHS. Tobacco Prevention Campaign Centers for Medicare & Medicaid ACTION: Notice. Services AGENCY: Food and Drug Administration, SUMMARY: The Food and Drug 2520 Lord Baltimore Drive, Suite L HHS. Administration (FDA) is announcing an Baltimore, MD 21244 ACTION: Notice. opportunity for public comment on the proposed collection of certain If the state requests a hearing but information by the Agency. Under the nevertheless plans to come into SUMMARY: The Food and Drug Paperwork Reduction Act of 1995 (the compliance with the approved state Administration (FDA) is announcing PRA), Federal Agencies are required to plan, please submit within 30 days of that a collection of information entitled publish notice in the Federal Register the date of this letter an explanation of ‘‘Evaluation of the Food and Drug concerning each proposed collection of how the state plans to come into Administration’s General Market Youth information, including each proposed compliance with Federal requirements Tobacco Prevention Campaign’’ has extension of an existing collection of and the timeframe for doing so. If that been approved by the Office of information, and to allow 60 days for explanation is satisfactory, we may Management and Budget (OMB) under public comment in response to the consider postponing the timing of the the Paperwork Reduction Act of 1995. notice. This notice solicits comments on scheduled hearing (which would also the reporting requirements, including delay the imposition of the withholding FOR FURTHER INFORMATION CONTACT: FDA third party disclosure, contained in of funds). Our goal is to ensure PRA Staff, Office of Operations, Food FDA’s current regulations on compliance. We are available to provide and Drug Administration, 1350 Piccard prescription drug advertisements. further information or assistance on the Dr., PI50–400B, Rockville, MD 20850, steps necessary to bring the state into [email protected]. DATES: Submit either electronic or compliance with its approved state written comments on the collection of SUPPLEMENTARY INFORMATION: On plan. information by April 28, 2014. February 7, 2014; the Agency submitted ADDRESSES: Should you not request a hearing Submit electronic a proposed collection of information comments on the collection of within 30 days, a notice of withholding entitled ‘‘Evaluation of the Food and will be sent to you and the withholding information to http:// Drug Administration’s General Market www.regulations.gov. Submit written of Federal funds will begin as described Youth Tobacco Prevention Campaign’’ above. comments on the collection of to OMB for review and clearance under information to the Division of Dockets If you have any questions or wish to 44 U.S.C. 3507. An Agency may not Management (HFA–305), Food and Drug discuss this determination further, conduct or sponsor, and a person is not Administration, 5630 Fishers Lane., Rm. please contact: required to respond to a collection of 1061, Rockville, MD 20852. All Jackie Glaze information unless it displays a comments should be identified with the currently valid OMB control number. docket number found in brackets in the Associate Regional Administrator OMB has now approved the information heading of this document. Division of Medicaid and Children’s collection and has assigned OMB FOR FURTHER INFORMATION CONTACT: FDA Health Operations control number 0910–0753. The PRA Staff, Office of Operations, Food CMS Atlanta Regional Office approval expires on October 31, 2016. A and Drug Administration, 1350 Piccard 61 Forsyth Street SW., Suite 4T20 copy of the supporting statement for this Dr., PI50–400B, Rockville, MD 20850, information collection is available on [email protected]. Atlanta, GA 30303–8909 the Internet at http://www.reginfo.gov/ SUPPLEMENTARY INFORMATION: Under the Sincerely, public/do/PRAMain. PRA (44 U.S.C. 3501–3520), Federal Dated: February 21, 2014. Agencies must obtain approval from the Marilynn Tavenner, Office of Management and Budget Administrator. Leslie Kux, (OMB) for each collection of Assistant Commissioner for Policy. (Catalog of Federal Domestic Assistance information they conduct or sponsor. Program No. 13.714, Medicaid Assistance [FR Doc. 2014–04271 Filed 2–26–14; 8:45 am] ‘‘Collection of information’’ is defined Program.) BILLING CODE 4160–01–P in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes Agency requests Dated: February 20, 2014. or requirements that members of the Marilynn Tavenner, public submit reports, keep records, or Administrator, Centers for Medicare & provide information to a third party. Medicaid Services. Section 3506(c)(2)(A) of the PRA (44 [FR Doc. 2014–04290 Filed 2–26–14; 8:45 am] U.S.C. 3506(c)(2)(A)) requires Federal BILLING CODE 4120–01–P Agencies to provide a 60-day notice in

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the Federal Register concerning each print and broadcast advertisements. Section 202.1(j), which sets forth proposed collection of information, Section 202.1 applies to advertisements requirements for the dissemination of including each proposed extension of an published in journals, magazines, other advertisements subject to the standards existing collection of information, periodicals, and newspapers, and in § 202.1(e), contains the following before submitting the collection to OMB advertisements broadcast through media information collection that is subject to for approval. To comply with this such as radio, television, and telephone the PRA: requirement, FDA is publishing notice communication systems. Print Under § 202.1(j)(1), a sponsor must of the proposed collection of advertisements must include a brief submit advertisements to FDA for prior information set forth in this document. summary of each of the risk concepts approval before dissemination if: (1) With respect to the following from the product’s approved package The sponsor or FDA has received collection of information, FDA invites labeling (§ 202.1(e)(1)). Advertisements information that has not been widely comments on these topics: (1) Whether that are broadcast through media such publicized in medical literature that the the proposed collection of information as television, radio, or telephone use of the drug may cause fatalities or is necessary for the proper performance communications systems must disclose of FDA’s functions, including whether serious damage; (2) FDA has notified the the major risks from the product’s sponsor that the information must be the information will have practical package labeling in either the audio or utility; (2) the accuracy of FDA’s part of the advertisements for the drug; audio and visual parts of the and (3) the sponsor has failed to present estimate of the burden of the proposed presentation (§ 202.1(e)(1)); this collection of information, including the to FDA a program for assuring that such disclosure is known as the ‘‘major information will be publicized promptly validity of the methodology and statement.’’ If a broadcast advertisement assumptions used; (3) ways to enhance and adequately to the medical omits the major statement, or if the profession in subsequent the quality, utility, and clarity of the major statement minimizes the risks information to be collected; and (4) advertisements, or if such a program has associated with the use of the drug, the been presented to FDA but is not being ways to minimize the burden of the advertisement could render the drug collection of information on followed by the sponsor. Under misbranded in violation of section § 202.1(j)(1)(iii), a sponsor must provide respondents, including through the use 502(n) of the FD&C Act, section 201(n) of automated collection techniques, to FDA a program for assuring that of the FD&C Act (21 U.S.C. 321(n)), and significant new adverse information when appropriate, and other forms of FDA’s implementing regulations at information technology. about the drug that becomes known (i.e., § 202.1(e). use of drug may cause fatalities or Prescription Drug Advertisements— Advertisements subject to the serious damage) will be publicized (OMB Control Number 0910–0686)— requirements at § 202.1 are subject to promptly and adequately to the medical Extension the PRA because these advertisements profession in any subsequent Section 502(n) of the Federal Food, disclose information to the public. In advertisements. Under § 202.1(j)(4), a Drug, and Cosmetic Act (the FD&C Act) addition, § 202.1(e)(6) and (j) include sponsor may voluntarily submit (21 U.S.C. 352(n)) requires that provisions that are subject to OMB advertisements to FDA for comment manufacturers, packers, and distributors approval under the PRA. prior to publication. (sponsors) who advertise prescription Reporting to FDA human and animal drugs, including Disclosures to the Public biological products for humans, disclose Section 202.1(e)(6) permits a person Under § 202.1, advertisements for in advertisements certain information who would be adversely affected by the human and animal prescription drug about the advertised product’s uses and enforcement of a provision of and biological products must comply risks. For prescription drugs and § 202.1(e)(6) to request a waiver from with the standards described in that biologics, section 502(n) of the FD&C FDA for that provision. The waiver section. Act requires advertisements to contain request must set forth clearly and ‘‘* * * a true statement * * *’’ of concisely the petitioner’s interest in the Under § 202.1(j)(1), if information that certain information including ‘‘* * * advertisement, the specific provision of the use of a prescription drug may cause information in brief summary relating to § 202.1(e)(6) from which a waiver is fatalities or serious damage has not been side effects, contraindications, and sought, a complete copy of the widely publicized in the medical effectiveness * * *’’ as required by advertisement, and a showing that the literature, a sponsor must include such regulations issued by FDA. FDA’s advertisement is not false, lacking in fair information in the advertisements for prescription drug advertising balance or otherwise misleading, or that drug. regulations at § 202.1 (21 CFR 202.1) otherwise violative of section 502(n) of FDA estimates the burden of this describe requirements and standards for the FD&C Act. collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

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

202.1(e)(6)—Waiver request to FDA ...... 1 1 1 12 12 202.1(j)(1)—Submission of advertisement to FDA for prior approval ...... 1 1 1 2 2 202.1(j)(1)(iii)—Providing a program to FDA for assuring that adverse information about the drug will be pub- licized ...... 1 1 1 12 12 202.1(j)(4)—Voluntarily submitting the advertisement to FDA prior to publication for comment ...... 113 6 678 20 13,560

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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1—Continued

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

Total ...... 13,586 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

TABLE 2—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

Number of Number of disclosures Total annual Average 21 CFR section respondents per disclosures burden per Total hours respondent disclosure

202.1—Advertisements prepared in accordance with § 202.1 ...... 541 46.5 25,157 400 10,062,800 202.1(j)(1)—Including information about the drug’s fatali- ties or serious damage in the advertisement ...... 1 1 1 40 40

Total ...... 10,062,840 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: February 24, 2014. The public is invited to attend the Place: Sugarloaf Conference Room, Leslie Kux, open session in person or to listen via SAMHSA Building, 1 Choke Cherry Assistant Commissioner for Policy. web conference. Due to the limited Road, Rockville, Maryland 20850. [FR Doc. 2014–04262 Filed 2–26–14; 8:45 am] seating space and call-in capacity, Contact: Janine Denis Cook, Ph.D., registration is requested. Public Designated Federal Official, CSAP Drug BILLING CODE 4160–01–P comments are welcome. To register, Testing Advisory Board, 1 Choke Cherry make arrangements to attend, obtain the Road, Room 7–1043, Rockville, DEPARTMENT OF HEALTH AND web conference call-in numbers and Maryland 20857, Telephone: 240–276– HUMAN SERVICES access codes, submit written or brief 2600, Fax: 240–276–2610, Email: oral comments, or request special [email protected]. Substance Abuse and Mental Health accommodations for persons with Cathy J. Friedman, Services Administration Center for disabilities, please register at the Substance Abuse Prevention SAMHSA Advisory Committees Web Public Health Analyst, Substance Abuse and Mental Health Services Administration. site at http://nac.samhsa.gov/ Notice of Meeting Registration/meetingsRegistration.aspx [FR Doc. 2014–04291 Filed 2–26–14; 8:45 am] or contact the CSAP DTAB Designated BILLING CODE 4162–20–P Pursuant to Public Law 92–463, Federal Official, Dr. Janine Denis Cook notice is hereby given that the (see contact information below). Substance Abuse and Mental Health On March 18, 2014, from 9:00 a.m. to DEPARTMENT OF HOUSING AND Services Administration’s (SAMHSA) URBAN DEVELOPMENT Center for Substance Abuse Prevention 2:00 p.m., the Board will meet in closed (CSAP) Drug Testing Advisory Board session to discuss proposed revisions to [Docket Number FR- 5752–N–22] (DTAB) will meet on March 17, 2014, the Mandatory Guidelines for Federal from 9:00 a.m. to 4:30 p.m., and March Workplace Drug Testing Programs. Federal Housing Administration (FHA) 18, 2014, from 9:00 a.m. to 2:00 p.m. Therefore, this meeting is closed to the Healthcare Facility Documents: E.D.T. The DTAB will convene in both public as determined by the Documents Eligible for Electronic open and closed sessions on these two Administrator, SAMHSA, in accordance Submission—30-Day Notice of days. with 5 U.S.C. 552b(c)(9)(B) and 5 U.S.C. Information Collection App. 2, Section 10(d). On March 17, 2014, from 9:00 a.m. to AGENCY: Office of the Assistant Meeting information and a roster of 4:30 p.m., the meeting will be open to Secretary for Housing—Federal Housing DTAB members may be obtained by the public and will include updates on Commissioner, HUD. accessing the SAMHSA Advisory the previously announced DTAB ACTION: Notice. recommendations, the medical review Committees Web site, http:// officer resources, the custody and www.nac.samhsa.gov/DTAB/ SUMMARY: On March 14, 2013, HUD control form, the Federal Drug-Free meetings.aspx, or by contacting Dr. published in the Federal Register a Workplace Programs, the National Cook. notice that announced that FHA’s Laboratory Certification Program, and Committee Name: Substance Abuse healthcare facility documents the Division of Workplace Programs- and Mental Health Services completed the notice and comment sponsored research studies. The meeting Administration’s Center for Substance processes under the Paperwork also will include drug testing updates Abuse Prevention Drug Testing Reduction Act of 1995 (PRA), and had from the Department of Transportation, Advisory Board. been assigned a control number, 2502– the Department of Defense, the Nuclear Dates/Time/Type: March 17, 2014, 0605, by the Office of Management and Regulatory Commission, the Federal from 9:00 a.m. to 4:30 p.m. E.D.T.: Budget (OMB). The assignment of a Drug-Free Workplace Programs, and the OPEN; March 18, 2014, from 9:00 a.m. control number concluded a 10-month Drug Testing Index®. to 2:00 p.m. E.D.T.: CLOSED. process through which HUD solicited

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public comment to update 115 I. Background 2012 (77 FR 69870), and for which, healthcare facility documents to reflect consistent with the PRA, comment was A. 2012 PRA Process on Substance of current policy and practices, to improve solicited for an additional 30 days (30- Healthcare Facility Documents accountability by all parties involved in day Notice). FHA’s healthcare facility transactions On May 3, 2012, at 77 FR 26304, and In the 30-day Notice, HUD identified and strengthen risk management. consistent with the PRA, HUD substantive changes that were made to On September 10, 2013, HUD published a notice in the Federal the healthcare facility documents in published a notice in the Federal Register seeking public comment for a response to public comments submitted Register that solicited, for a period of 60 period of 60 days (60-day Notice) on on the 60-day Notice, responded to days, public comment on this collection HUD’s proposed update and revisions to significant issues raised by the solely on the issue of which healthcare a set of production, underwriting, asset commenters, and identified proposed facility documents are eligible for management, closing, and other additional changes based on further electronic submission. HUD did not documents used in connection with consideration of certain issues. As was address this issue as part of the previous transactions involving healthcare the case with the 60-day Notice, HUD notice and comment process, but facilities, excluding hospitals posted on its Web site the further recognized the importance, efficiency, (collectively, the healthcare facility revised healthcare facility documents in and reduction of burden that electronic documents), that are insured pursuant (1) a clean format, and (2) in redline/ submission of documents can achieve, to section 232 of the National Housing strikeout format, to show the changes and solicited public comment on the Act (Section 232). In conjunction with made from the versions posted with healthcare facility documents that HUD publication of the 60-day Notice, the issuance of the 60-day Notice. had determined may be submitted, but proposed revised healthcare facility On March 14, 2013, at 78 FR 16279, are not required to be submitted, documents (115 documents) were made HUD published in the Federal Register electronically. available at: www.hud.gov/232forms. In a notice that announced the approval of In addition, in response to comments addition to presenting unmarked the healthcare facility documents under received after March 14, 2013 by versions of the documents, this Web the PRA and the assignment of a control participants in healthcare facility site, to the extent applicable, presented number, 2502–0605, by OMB. In transactions, HUD has made several the proposed healthcare facility addition to announcing the assignment changes to one of the documents, the documents as a redline/strikeout against of an OMB control number, HUD Intercreditor Agreement, form HUD– the updated multifamily rental project advised in the March 14, 2013, notice 92322–ORCF. closing documents to highlight the that additional changes were made to This notice provides for and solicits changes made to facilitate a healthcare the healthcare facility documents in comment on the possibility of electronic transaction. Where the proposed response to comments submitted on the submission, changes made to the healthcare facility documents were 30-day Notice. In the March 14, 2013, Intercreditor Agreement and to the based on existing healthcare facility notice, HUD highlighted additional entire proposed collection of documents, the proposed healthcare changes made to the healthcare facility information. The entire collection facility documents, in addition to being documents, and once again, provided on subject to this notice is available for presented in an unmarked format, were HUD’s Web site at www.hud.gov/ review at www.hud.gov/232forms. presented in redline/strikeout format so 232forms, the final versions of the The purpose of this notice is to allow that reviewers could see the changes documents in clean and redline/ for an additional 30 days of public proposed to the existing healthcare strikeout formats so that reviewers comment. facility documents.1 could see the final changes made to the DATES: Comment Due Date: March 31, As a special outreach to the public on documents and the clean final versions 2014. proposed changes to the healthcare of the documents. facility documents and Section 232 ADDRESSES: Interested persons are program regulations, HUD hosted a B. 2013 PRA Process on Eligibility of invited to submit comments regarding forum on May 31, 2012, in Washington, Electronic Submission this proposal. Comments should refer to DC. (See http://portal.hud.gov/ On September 10, 2013, at 78 FR the proposal by name and/or OMB hudportal/HUD?src=/press/multimedia/ 55282, HUD published in the Federal Control Number and should be sent to: videos.) While comments were raised Register a notice solely seeking Patrick Fuchs, Office of Management and discussed at the forum, HUD comment on the issue of which and Budget, New Executive Office encouraged forum participants to file healthcare facility documents may be Building, Washington, DC 20503; fax: written comments through the submitted electronically. Questions _ 202–395–5806. Email: OIRA www.regulations.gov Web site so that all arose on this issue after conclusion of [email protected]. comments would be more easily the 2012 PRA process. FOR FURTHER INFORMATION CONTACT: John accessible to interested parties. All In the September 10, 2013, notice, M. Hartung, Director, Policy and Risk comments, whether submitted through HUD advised that consistent with Management Analysis, Office of www.regulations.gov or raised at the current practice, HUD requires Residential Care Facilities, Office of forum, were considered in the applications for mortgage insurance to Healthcare Programs, Office of Housing, development of the revised documents be submitted electronically, and that U.S. Department of Housing and Urban which were published on November 21, therefore any healthcare facility Development, 1222 Spruce Street, Room documents submitted as part of an 3.203, St. Louis, MO 63103–2836; 1 Along with the 60-day Notice, HUD published application for mortgage insurance must telephone (314) 418–5238 (this is not a in the Federal Register on May 3, 2012, at 77 FR be submitted electronically. Of the other 26218, a proposed rule that proposed to strengthen toll-free number). Persons with hearing regulations for HUD’s Section 232 program to healthcare facility documents, HUD or speech disabilities may access this reflect current policy and practices, and to improve identified 13 documents that must be number through TTY by calling the toll- accountability and strengthen risk management. A submitted with original signatures, in free Federal Relay Service at (800) 877– final rule following the May 3, 2012, proposed rule, hard copy format. These documents are and taking into consideration public comment 8339. received on the proposed rule, was published on the following: Healthcare Regulatory SUPPLEMENTARY INFORMATION: September 7, 2012, at 77 FR 55120. Agreement—Borrower (HUD–92466–

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ORCF); Healthcare Regulatory Borrower’s Counsel (HUD–91725– the PRA was sought and provided the Agreement—Operator (HUD–92466A– ORCF); and Guide for Opinion of burden hours and costs calculated for ORCF); Management Certification— Operator’s Counsel and Certification preparation of and submission of each Residential Care Facility (HUD–9839– (HUD–92325–ORCF). For any of the of documents and provided a total ORCF); Lender Certification (HUD– remaining healthcare facility documents aggregate annual cost of $4,393,301. 92434–ORCF); Offsite Bond—Dual (which must be submitted (See 77FR 69887–69889). This table, Obligee (HUD–92479–ORCF); electronically) or the listed 13 revised with updated information on Performance Bond—Dual Obligee documents (which must be submitted in burden hours and costs, is included at (HUD–92452–ORCF); Payment Bond hard copy), the September 10, 2013, the end of this notice. (HUD–92452A–ORCF); Request for notice advised that HUD neither In the September 10, 2013, notice, Endorsement (HUD–92455–ORCF); requires nor prohibits that any of the HUD included the table below, which Request for Final Endorsement (HUD– remaining documents be submitted provides a breakdown of the estimated 92023–ORCF); Guide for Opinion for electronically. Electronic submission is costs involved in hard copy preparation Master Tenant’s Counsel (HUD–92335– an option. and shipping, and estimates a $450,000 ORCF); Healthcare Regulatory In the 2012 PRA process, HUD’s 30- annual savings in costs if documents are Agreement—Master Tenant (HUD– day Notice, HUD listed in a table all the submitted electronically rather than in 92337–ORCF); Guide for Opinion of documents for which approval under hard copy.

Item Cost per item Costs

Printing by Lender ...... 1,500 pages at $.04 per page ...... $60.00 Lender Box Preparation ...... $50 per hour and two hours per box ...... 100.00 Shipping by Lender to HUD in Field ...... 1–40 lb. box ...... 20.00 HUD processing preparation (Field and HQ) ...... $50 per hour and 1 hour per box ...... 50.00 Shipping by HUD Field to HQ ...... 1–40 lb. box ...... 20.00 Total ...... 1 250.00 Estimated # Boxes per project ...... 3 ...... Estimated # of projects per year ...... 600 ......

Total Annual Costs ...... (# of boxes × # of projects × cost per box) ...... 450,000.00 1 Per box.

C. Summary of Changes to the defined term ‘‘Ceased Funding’’ in order transactions in which the documents are Intercreditor Agreement—Section 232 to clarify that only defaults of the AR used; (HUD 92322–ORCF). Loan resulting in the AR Lender ceasing (2) Whether any of the documents not to fund trigger a Cut-Off Time. Because of a substantial number of identified as necessary for originally comments from participants in (3) Notices and Consent Rights signed, hard copy submission should be healthcare facility programs after the submitted only in originally signed, Clarifications were made to HUD and hard copy; conclusion of the 2012 PRA process, FHA Lender’s notice and consent rights HUD has revised the Intercreditor (3) The accuracy of the agency’s to address specifically certain estimate of the reduced burden and Agreement (form HUD–92322). A potentially troubling scenarios. The redline/strikeout showing each reduced costs for submission of revised document clarifies that AR documents electronically; proposed change in the revised ‘‘over-line’’ advances (over the agreed Intercreditor Agreement is available at (4) Whether electronic submission of maximum commitment amount) require application documents enhances the www.hud.gov/232forms. The significant prior written consent by FHA Lender changes, however, can be summarized utility and efficiency of the transactions and HUD, but that, within some agreed- in which the documents are used; as follows: upon limits, advances within the (5) Whether electronic submission of maximum commitment amount (but (1) AR Loan Obligations other documents enhances the utility over the borrowing base formula) only and efficiency of the transactions in The definition of what constitutes an require notice not consent. which the documents are used; AR Loan Obligation was revised. In this Clarifications were also made to the regard, instead of delineating particular provision setting forth what (6) Additional ways, through forms of indebtedness, liabilities, and modifications can be made to the AR information technology, to minimize the obligations that must be excluded and Loan documents without FHA Lender or burden of the collection of information may not constitute AR Loan Obligations, HUD consent. on those who are to respond; the revised definition takes a broader (7) Whether the agency’s estimate of approach, requiring AR Loan D. Summary of Comments Solicited the burden of the proposed collection of Obligations to be directly related to the HUD received no comments in information is accurate; benefit of the Facility. response to the Federal Register Notice (8) Whether the proposed collection published on September 10, 2013. In of information enhances the utility and (2) Cut-Off Time & Ceased Funding accordance with 5 CFR 1320.8(d)(1), efficiency of the transactions in which ‘‘Cut-Off Time’’ is when HUD will no HUD is soliciting, for an additional 30 the documents are used; and longer subordinate its interest in the days, comments from members of the (9) Whether the proposed changes to accounts receivable of the operator. The public and interested parties on: the Intercreditor Agreement enhance the events that trigger a Cut-Off Time were (1) Whether the documents identified utility and efficiency of the transactions clarified. Specifically, rather than allow by HUD for originally signed, hard copy for which the document is used. any defaults to trigger a Cut-Off Time, submission are necessary in such format A list of the entire document the revised document introduces the for proper performance of the collection is provided below.

VerDate Mar<15>2010 17:58 Feb 26, 2014 Jkt 232001 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\27FEN1.SGM 27FEN1 mstockstill on DSK4VPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 39 / Thursday, February 27, 2014 / Notices 11117 Annual cost 75 5,775 75 1,181,250 75 21,900 hourly cost per Average response .5 75 2,813 .5 75 .5 75 8,438 2,813 .5 75 .5 75 2,813 2,813 .5 75 .5 75 2,813 2,813 .5 75 .5 75 Annual burden hours Average hour per response burden per 4 73.00 292 77 1.00 77 Response per annum .5 75 0.50 37 0.50 .5 75 .5 75 22.00 1,650 $75 $123,750 1,650 $75 112 22.00 1.50 .5 75 .5 75 .5 225 70.00 15,750 5,025 75 67 1.00 .5 75 .5 75 0.50 37 0.50 .5 75 37 0.50 37 .5 75 1,875 0.50 25 .5 75 75 1,125 0.50 15 .5 50 75 0.50 37 .5 30 0.50 37 .5 75 0.50 .5 75 Frequency of response 4 1 4 1 4 4 93.00 372 1 4 4 70.00 280 1 4 75 27,900 4 70.00 280 1 4 75 21,000 4 70.00 280 1 75 21,000 4 70.00 280 62 17,360 4 5 70.00 280 2 75 21,000 150 1 2 30 10 15.00 75 21,000 15.00 1,860 2 62 2 60 62 9,300 15.00 4,500 4 75 4 1 150 9,300 5 2 15.00 62 10 77 1 30 2 1,260 94,500 10 2 75 63.00 20 30 30 2 2 30 7 30 2 30 2 30 2 30 2 20 2 12 2 30 2 30 2 130,500 1,740 10 2 75 87.00 20 1,060 79,500 10 2 75 53.00 20 Number of respondents Form name dum—ALTA/ACSM Land Title Survey. ronmental. Existing Eligible Indebtedness. dum–Principal of Borrower. dum–Operator. dum–Management Agent. dum–Transfer of Physical Assets. dum–AR Financing. gle Stage. Stage Initial Submittal. Stage Final Submittal. tion—Single Stage. tion—2 Stage Initial Submittal. tion—2 Stage Final Submittal. Stage. Stage—Initial Submittal. Stage—Final Submittal. ment Installation, without Existing HUD In- sured Mortgage. ment Installation, with Existing HUD In- sured Mortgage. Loan. ment. New form No. HUD–9001–ORCF ...... HUD–9001a–ORCF Lender Narrative 223a7—Main ...... HUD–9001b–ORCF Lender Narrative 223a7–Addenda–PCNA ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9001c–ORCF ...... Lender Narrative 223a7–Addendum–Envi- HUD–9001d–ORCF ...... Lender Narrative 223a7–Addendum—Other HUD–9001e–ORCF ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9001f–ORCF ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9001g–ORCF ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9001h–ORCF ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9001i–ORCF ...... Lender Narrative 223a7.223d.232i–Adden- HUD–9002–ORCF ...... HUD–9003–ORCF Lender Narrative 223f ...... HUD–9004–ORCF Lender Narrative 241a ...... Lender Narrative—New Construction—Sin- HUD–9005–ORCF ...... Lender Narrative—New Construction—2 HUD–9005a–ORCF ...... Lender Narrative—New Construction—2 HUD–9006–ORCF ...... Lender Narrative—Substantial Rehabilita- HUD–9007–ORCF ...... Lender Narrative—Substantial Rehabilita- HUD–9007a–ORCF ...... Lender Narrative—Substantial Rehabilita- HUD–9008–ORCF ...... Lender Narrative—Blended Rate—Single HUD–90025–ORCF ...... Lender Narrative—Blended Rate—2 HUD–90025a–ORCF ...... Lender Narrative—Blended Rate—2 HUD–9009–ORCF ...... Lender Narrative 232(i)—Fire Safety Equip- HUD–90010–ORCF ...... Lender Narrative 232(i)—Fire Safety Equip- HUD–90011–ORCF ...... Lender Narrative 223(d)—Operating Loss HUD–9444–ORCF ...... Lender Narrative Cost Certification Supple- HUD–90012–ORCF ...... HUD–90013–ORCF Consolidated Certification—Lender ...... Consolidated Certification—Borrower ...... Lender Narratives: Production Certifications:

VerDate Mar<15>2010 17:58 Feb 26, 2014 Jkt 232001 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\27FEN1.SGM 27FEN1 mstockstill on DSK4VPTVN1PROD with NOTICES 11118 Federal Register / Vol. 79, No. 39 / Thursday, February 27, 2014 / Notices Annual cost 67 11,725 67 35,175 75 5,250 83 29,050 75 83 26,250 2,158 83 75 2,158 75 1,950 54,600 83 249 67 23,450 hourly cost per Average response .5 67 101 .5 67 21,158 .5 217 .5 75 563 .5 75 10,844 .9 62 Annual burden hours Average hour per response burden per 3 0.50 1 6 0.50 3 70 1.00 70 52 0.50 52 52 26 0.50 0.50 26 26 15 0.50 7 350 350 0.50 350 1.00 175 350 1.00 350 728 1.00 728 350 1.00 350 1,050 0.50 525 Response per annum .2 52 0.50 26 75 1,950 26 75 0.50 1,950 26 .2 52 75 0.50 .2 52 2,821 13 217 3,900 0.50 52 3,900 52 .2 26 75 1.00 75 1.00 .2 52 .2 52 97 0.50 .5 195 .2 52 1.00 52 75 3,900 52 3,900 52 75 1.00 75 3,900 1.00 52 .2 52 .2 52 75 1.00 .2 52 13 975 75 0.50 1,950 26 .2 26 75 0.50 .2 52 .83 174.9 174 1.00 .2 52 3.00 156 75 11,700 156 75 3.00 .2 52 5,642 26 217 0.50 .2 52 Frequency of response 3 1 5 5 3 2 3 2 6 1.00 6 450 75 4 1 4 1.50 6 75 450 6 75 1.50 1 4 4 249 3 83 0.50 2 6 3 3 2 3 83 0.50 6 5 225 1 83 75 5 1.00 3 1 5 1 35 2 10 10 5 5 10 10 5 5 30 6 35 35 10 35 10 26 10 26 2 26 26 2 2 28 10 10 10 5 5 5 10 30 5 5 35 10 38 2 76 1.00 5,700 76 75 35 2 70 1.00 5,250 70 70 35 2 75 5,250 1.00 70 75 26 26 2 2,158 0.50 52 83 26 26 2 1,742 0.50 52 67 10 5 10 5 150 7 240 1 240 0.50 120 9,000 240 1 0.50 75 240 Number of respondents Form name Certification—Contractors ...... Borrower. ator. Agent. ical Repairs. ity Insurance. Contractor. Cost Certifications. Construction Request. struction Prior to Initial Endorsement for Mortgage Insurance (Post-Commitment Early Start of Construction). for Construction. tion. Taxes. New form No. HUD–90014–ORCF ...... Consolidated Certification—Principal of the HUD–90015–ORCF ...... HUD–90016–ORCF Consolidated Certification—Operator ...... Consolidated Certification—Parent of Oper- HUD–90017–ORCF ...... Consolidated Certification—Management HUD–90018–ORCF ...... HUD–90019–ORCF Consolidated ...... HUD–90022–ORCF Auditor Certification ...... HUD–9445–ORCF Certification for Electronic Submittal ...... HUD–91118–ORCF Certification of Outstanding Obligations ...... Borrower’s Certification—Completion of Crit- HUD–92434–ORCF ...... HUD–91130–ORCF Lender Certification ...... Building Code Certification ...... HUD–91123–ORCF ...... Design Professional’s Certification of Liabil- HUD–91124–ORCF ...... HUD–91127–ORCF Design Architect Certification ...... Financial Statement Certification—General HUD–92408–ORCF ...... HUD–95379–ORCF HUD Amendment to B108 ...... HUD–91129–ORCF HUD Representative’s Trip Report ...... Lender Certification for New Construction HUD–9442–ORCF ...... Memo for Post-Commitment Early Start of HUD–92415–ORCF ...... Request for Permission to Commence Con- HUD–93305–ORCF ...... HUD–92441–ORCF Agreement and Certification ...... HUD–92441a–ORCF Building Loan Agreement ...... HUD–92450–ORCF Building Loan Agreement Supplemental ...... HUD–92442–ORCF Completion Assurance ...... HUD–92554–ORCF Construction Contract ...... Supplementary Conditions of the Contract HUD–92456–ORCF ...... Escrow Agreement for Incomplete Construc- HUD–92479–ORCF ...... HUD–92452–ORCF Offsite Bond—Dual Obligee ...... HUD–92452A–ORCF Performance Bond—Dual Obligee ...... HUD–92455–ORCF ...... Payment Bond ...... HUD–92023–ORCF Request for Endorsement ...... HUD–92412–ORCF Request for Final Endorsement ...... HUD–91125–ORCF Working Capital Escrow ...... Staffing Schedule ...... HUD–91708–ORCF ...... Agreement for Payment of Real Property HUD–92576A–ORCF ...... HUD–90024–ORCF ...... Certificate of Need for Health Facility ...... HUD–91126–ORCF Contact Sheet ...... HUD–91116–ORCF Financial Statement Certification ...... Addendum to Operating Lease ...... Construction Documents: Additional ORCF Documents:

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Comments must be received by March ADDRESSES: Send your comments and (1) Migratory Bird Treaty Act (16 31, 2014. Comments must refer to the suggestions on this information U.S.C. 703 et seq.). proposal by name and docket number collection to the Desk Officer for the (2) Lacey Act (16 U.S.C. 3371 et seq.). (FR–5623–N–05) and interested persons Department of the Interior at OMB– (3) Bald and Golden Eagle Protection are invited to submit comments OIRA at (202) 395–5806 (fax) or OIRA_ Act (16 U.S.C. 668). regarding this proposal. Comments [email protected] (email). Service regulations implementing should refer to the proposal by name Please provide a copy of your comments these statutes and treaties are in chapter and/or OMB Control Number and to the Service Information Collection I, subchapter B of title 50 of the Code should be sent to: Patrick Fuchs, Office Clearance Officer, U.S. Fish and of Federal Regulations (CFR). These of Management and Budget, New Wildlife Service, MS 2042–PDM, 4401 regulations stipulate general and Executive Office Building, Washington, North Fairfax Drive, Arlington, VA specific requirements that, when met, DC 20503; fax: 202–395–5806. Email: 22203 (mail), or [email protected] allow us to issue permits to authorize [email protected]. (email). Please include ‘‘1018–0022’’ in activities that are otherwise prohibited. All Service permit applications are in HUD Desk Officer, the subject line of your comments. the 3–200 series of forms, each tailored Office of Management and Budget, FOR FURTHER INFORMATION CONTACT: To New Executive Office Building, to a specific activity based on the request additional information about requirements for specific types of Washington, DC 20503, this ICR, contact Hope Grey at hope_ Fax number: (202) 395–6947 permits. We collect standard identifier [email protected] (email) or 703–358–2482 information for all permits. The and (telephone). You may review the ICR information that we collect on Colette Pollard, online at http://www.reginfo.gov. Follow applications and reports is the Office of the Chief Information Officer, the instructions to review Department of minimum necessary for us to determine Department of Housing and Urban the Interior collections under review by if the applicant meets/continues to meet Development, OMB. issuance requirements for the particular 451 Seventh Street SW., SUPPLEMENTARY INFORMATION: Room 4178, activity. Washington, DC 20410. Information Collection Request This ICR also includes the burden for permit applications and report forms for Dated: February 20, 2014. OMB Control Number: 1018–0022. long-term eagle take permits that is Colette Pollard, Title: Federal Fish and Wildlife currently approved under OMB Control Department Reports Management Officer— License/Permit Applications and Number 1018–0151. Once OMB takes Office of the Chief Information Officer. Reports, Migratory Birds and Eagles, 50 action on this IC, we will discontinue [FR Doc. 2014–04237 Filed 2–26–14; 8:45 am] CFR 10, 13, 21, and 22. OMB Control No. 1018–0151. BILLING CODE 4210–67–P Service Form Numbers: 3–200–6 through 3–200–9, 3–200–10a through 3– Comments Received and Our Responses 200–10f, 3–200–12 through 3–200–16, On November 13, 2013, we published DEPARTMENT OF THE INTERIOR 3–200–18, 3–200–67, 3–200–68, 3–200– in the Federal Register (78 FR 68086) a 71, 3–200–72, 3–200–77, 3–200–78, 3– notice of our intent to request that OMB Fish and Wildlife Service 200–79, 3–200–81, 3–200–82, 3–202–1 renew approval for this information through 3–202–17, 3–186, and 3–186A. collection. In that notice, we solicited [FWS–HQ–MB–2014–N034: FF09M21200– Type of Request: Revision of a comments for 60 days, ending on 134–FXMB1231099BPP0] currently approved collection. January 13, 2014. We received one Information Collection Request Sent to Description of Respondents: comment from the American Bird the Office of Management and Budget Individuals; zoological parks; museums; Conservancy (ABC). (OMB) for Approval; Federal Fish and universities; scientists; taxidermists; The commenter stressed that while Wildlife Permit Applications and businesses; utilities; and Federal, State, ‘‘there are ways that the quality, utility Reports—Migratory Birds and Eagles tribal, and local governments. and clarity of the information to be Respondent’s Obligation: Required to collected can be enhanced and ways AGENCY: Fish and Wildlife Service, obtain or retain a benefit. that a system can be streamlined to Interior. Frequency of Collection: On occasion minimize burden of the collection of ACTION: Notice; request for comments. for applications; annually or on information on respondents. . .,’’ he occasion for reports. emphasized that ‘‘the minimum amount SUMMARY: We (U.S. Fish and Wildlife Estimated Number of Annual of information to be collected must Service) have sent an Information Responses: 61,623. allow the USFWS to make a valid Collection Request (ICR) to OMB for Estimated Completion Time per determination that the proposed action review and approval. We summarize the Response: Varies from 15 minutes to is permissible under the law. ICR below and describe the nature of the 452 hours, depending on activity. Information regarding impact on wild collection and the estimated burden and Estimated Annual Burden Hours: populations, proposed use of the cost. This information collection is 106,661. specimens, and explanations of scheduled to expire on February 28, Estimated Annual Nonhour Burden necessary mitigation/compensation, 2014. We may not conduct or sponsor Cost: $1,520,525 for permit application when required are thus critical for and a person is not required to respond fees. allowing the USFWS to do its important to a collection of information unless it Abstract: Our Regional Migratory Bird job of protecting our public trust displays a currently valid OMB control Permit Offices use information that we resources for the benefit of all.’’ number. However, under OMB collect on permit applications to We appreciate ABC’s comments regulations, we may continue to determine the eligibility of applicants because they recognize the importance conduct or sponsor this information for permits requested in accordance of collecting sufficient information from collection while it is pending at OMB. with the criteria in various Federal applicants and permittees to ensure that DATES: You must submit comments on wildlife conservation laws and the applicant qualifies for the permit, or before March 31, 2014. international treaties, including: that issuance of the permit meets

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issuance criteria, and that report Dated: February 24, 2014. or duplicative information. On pages information is sufficient to allow both Tina A. Campbell, 6917 and 6918 of the February 5, 2014, enforcement of the permits, and, Chief, Division of Policy and Directives Federal Register, the land description is particularly where wild birds are Management, U.S. Fish and Wildlife Service. amended to read as follows: concerned, that the report information [FR Doc. 2014–04319 Filed 2–26–14; 8:45 am] Parcel I collected contributes to our knowledge BILLING CODE 4310–55–P of the impacts of utilities and other All that portion of the east half of the entities on migratory birds, including northeast quarter of Section 1, Township 20 North, Range 2 East, eagles. DEPARTMENT OF THE INTERIOR M.D.B. & M., lying easterly of U.S. A significant change we are making is Bureau of Indian Affairs Highway 99E. to convert the report form for Special [DR.5B711.IA000814] Excepting therefrom that portion Purpose Utility permits (3–202–17) from thereof, heretofore conveyed to the State paper to electronic format. These Land Acquisitions; Mechoopda Indian of California by deed recorded July 27, permits allow utilities such as electric, Tribe of Chico Rancheria of California 1951, in Book 575, Page 326, Official wind, and solar companies to collect Records, recorded October 9, 1974, in AGENCY: birds found dead on their property. The Bureau of Indian Affairs, Book 1944, Page 64, Official Records Interior. data will be housed in the Avian Injury/ and October 9, 1974, in Book 1944, Page Mortality Reporting System (AIMRS). ACTION: Notice of Final Agency 68, Official Records. Determination; Technical Correction. Our goal is to make reporting more Parcel II convenient for permittees, but electronic SUMMARY: This document makes a The north half of the northwest submission will be particularly technical correction to the acreage quarter, the southwest quarter of the beneficial for the Service, because it will estimate and the land description northwest quarter and the northwest make the data accessible for analysis contained in the notice published on quarter of the southwest quarter of Wednesday, February 5, 2014, 79 FR without staff having to enter it Section 5, and all that portion of Section 6917. The notice concerns the final manually. This will make the data on 6 lying northeasterly of the Oroville agency determination to acquire this important source of mortality Chico Highway, all in Township 20 approximately 626.55 acres of land in readily available to biologists who are North, Range 3 East, M.D.B. & M. trust for the Mechoopda Indian Tribe of monitoring the impacts of incidental Excepting therefrom said Section 6, Chico Rancheria of California for take and working with industry to that portion conveyed to the State of gaming and other purposes. identify best practices to reduce those California by Deed recorded July 27, impacts. FOR FURTHER INFORMATION CONTACT: 1951 in Book 575, Page 326, Official Paula L. Hart, Director, Office of Indian Records. Request for Public Comments Gaming, Bureau of Indian Affairs, MS– 3657 MIB, 1849 C Street NW., Also excepting therefrom that portion We again invite comments concerning Washington, DC 20240; Telephone (202) conveyed to the State of California by this information collection on: 219–4066. Deed recorded October 9, 1974, in Book • Whether or not the collection of SUPPLEMENTARY INFORMATION: On 1944, Page 64, Official Records. information is necessary, including January 24, 2014, the Assistant APN 041–190–048–00 (PARCEL I) and whether or not the information will Secretary—Indian Affairs issued a final APN 041–190–045–000 (PARCEL II). have practical utility; agency determination to acquire A copy of the decision dated January • The accuracy of our estimate of the approximately 626.55 acres of land in 24, 2014 is available at: http://www. burden for this collection of trust for the Mechoopda Indian Tribe of indianaffairs.gov/cs/groups/webteam/ information; Chico Rancheria of California (Tribe) for documents/text/idc1-025066.pdf. gaming and other purposes. Notice of • Ways to enhance the quality, utility, Dated: February 19, 2014. the January 24, 2014 final agency Kevin K. Washburn, and clarity of the information to be determination was published in the Assistant Secretary—Indian Affairs. collected; and Federal Register on February 5, 2014. [FR Doc. 2014–04267 Filed 2–26–14; 8:45 am] • Ways to minimize the burden of the 79 FR 6917. The Federal Register Notice BILLING CODE 4310–4N–P collection of information on published on February 5, 2014, did not respondents. reflect an estimate that had been prepared by the Bureau of Land Availability of Public Comments Management using the Geographic NATIONAL INDIAN GAMING Information Systems (GIS) model. This COMMISSION Comments that you submit in technical correction does not change the response to this notice are a matter of 2014 Preliminary Fee Rate and footprint of the acquisition published on Fingerprint Fees public record. Before including your February 5, 2014, it merely provides a address, phone number, email address, more accurate estimate of the total AGENCY: National Indian Gaming or other personal identifying acreage within the boundaries of the Commission. information in your comment, you January 24, 2014 final agency ACTION: Notice. should be aware that your entire determination. The Federal Register comment, including your personal Notice published on February 5, 2014, SUMMARY: Notice is hereby given, identifying information, may be made is now clarified to reflect the GIS model pursuant to 25 CFR 514.2, that the publicly available at any time. While estimate of approximately 631 acres. National Indian Gaming Commission you can ask OMB in your comment to Furthermore, the land description in has adopted its 2014 preliminary annual withhold your personal identifying the February 5, 2014, notice is correct, fee rates of 0.00% for tier 1 and 0.072% information from public review, we but has been amended by the Bureau of (.00072) for tier 2. These rates have not cannot guarantee that it will be done. Indian Affairs to eliminate unnecessary changed since 2013 and shall apply to

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all assessable gross revenues from each Dated: February 24, 2014. I. Abstract. The National Park Service gaming operation under the jurisdiction Jonodev O. Chaudhuri, leasing program allows the public to of the Commission. If a tribe has a Acting Chairman. lease property located within the certificate of self-regulation under 25 Dated: February 24, 2014. boundaries of the park system, under CFR part 518, the 2014 preliminary fee Daniel J. Little, the authority of the Director of the National Park Service. A lease may not rate on Class II revenues shall be one- Associate Commissioner. authorize an activity that could be half of the annual fee rate, which is [FR Doc. 2014–04317 Filed 2–26–14; 8:45 am] 0.036% (.00036). authorized by a concessions contract or BILLING CODE 7565–01–P commercial use authorization. All leases Pursuant to 25 CFR 514.16, the must provide for the payment of fair National Indian Gaming Commission market value rent. The Director may has also adopted its fingerprint DEPARTMENT OF THE INTERIOR retain rental payments for park processing fees of $22 per card. infrastructure needs and, in some cases, National Park Service Both the preliminary fee rate and to provide administrative support of the fingerprint fees being adopted here are [NPS–WASO–BSAD–CONC–15010; leasing program. effective March 1st, 2014 and will PPWOBSADC0, PPMVSCS1Y.Y00000] Our authority to collect information remain in effect until new rates are for the leasing program is derived from Information Collection Request Sent to adopted. section 802 of the National Parks the Office of Management and Budget Omnibus Management Act of 1998 (Pub. FOR FURTHER INFORMATION CONTACT: (OMB) for Approval; National Park L. 105–391), the National Historic Yvonne Lee, National Indian Gaming Service Leasing Program Preservation Act (Pub. L. 89–665), and Title 36, Code of Federal Regulations, Commission, 1441 L Street NW., Suite AGENCY: National Park Service, Interior. 9100, Washington, DC 20005; telephone section 18 (36 CFR 18). For competitive ACTION: Notice; request for comments. (202) 632–7003; fax (202) 632–7066. leasing opportunities, the regulations SUMMARY: We (National Park Service, require the submission of proposals or SUPPLEMENTARY INFORMATION: The bids by parties interested in applying for Indian Gaming Regulatory Act (IGRA) NPS) have sent an Information Collection Request (ICR) to OMB for a lease. The regulations also require that established the National Indian Gaming review and approval. We summarize the the Director approve lease amendments, Commission, which is charged with, ICR below and describe the nature of the construction or demolition of structures, among other things, regulating gaming collection and the estimated burden and and encumbrances on leasehold on Indian lands. cost. This information collection is interests. Commission regulations (25 CFR part scheduled to expire on February 28, We collect Information from anyone 514) provide for a system of fee 2014. We may not conduct or sponsor who wishes to submit a bid or proposal assessment and payment that is self- and a person is not required to respond to lease a property. The Director may issue a request for bids if the amount of administered by gaming operations. to a collection of information unless it rent is the only criterion for award of a Pursuant to those regulations, the displays a currently valid OMB Control lease. The Director issues a request for Commission is required to adopt and Number. However, under OMB regulations, we may continue to proposals when the award of a lease is communicate assessment rates and the based on selection criteria other than gaming operations are required to apply conduct or sponsor this information collection while it is pending at OMB. the rental rate. A request for proposals those rates to their revenues, compute may be preceded by a request for the fees to be paid, report the revenues, DATES: You must submit comments on qualifications to select a ‘‘short list’’ of and remit the fees to the Commission. or before March 31, 2014. potential offerors that meet minimum All gaming operations within the ADDRESSES: Send your comments and management, financial, and other jurisdiction of the Commission are suggestions on this information qualifications necessary for submission required to self administer the collection to the Desk Officer for the of a proposal. provisions of these regulations, and Department of the Interior at OMB– The Director may enter into report and pay any fees that are due to OIRA at (202) 395–5806 (fax) or OIRA_ negotiations for a lease with nonprofit the Commission. As noted above, if a [email protected] (email). organizations and units of government tribe has a certificate of self-regulation Please provide a copy of your comments without soliciting proposals or bids. In under 25 CFR part 518 the 2014 to the Information Collection Clearance those cases, the Director collects preliminary fee rate on Class II revenues Officer, National Park Service, 1849 C information from the other party Street NW. (2601), Washington, DC regarding the planned use of the shall be one-half of the annual fee rate, _ which is 0.036% (.00036). 20240 (mail); or madonna baucum@ premises, potential modifications to the nps.gov (email). Please reference OMB premises, and other information as Pursuant to 25 CFR part 514, the Control Number 1024–0233 in the necessary to support a decision on Commission must also review annually subject line of your comments. whether or not to enter into a lease. the costs involved in processing FOR FURTHER INFORMATION CONTACT: To We also collect Information from fingerprint cards and set a fee based on request additional information about existing leaseholders who seek to: • fees charged by the Federal Bureau of this IC, contact Ben Erichsen at (202) Sublet a leased property or assign Investigation and costs incurred by the the lease to a new lessee. 513–7156 (telephone) or at Ben • Commission. Commission costs include [email protected] (email). You may Construct or demolish portions of a Commission personnel, supplies, leased property. review the ICR online at http:// • equipment costs, and postage to submit www.reginfo.gov. Follow the Amend a lease to change the type the results to the requesting tribe. Based instructions to review Department of the of activities permitted under the lease. • Encumber (mortgage) the leased on that review, the Commission hereby Interior collections under review by premises. sets the 2014 fingerprint processing fee OMB. We use the information to evaluate at $22 per card. SUPPLEMENTARY INFORMATION: offers, proposed subleases or

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assignments, proposed construction or depending on the complexity of the Type of Request: Revision of a demolition, the merits of proposed lease leasing opportunity. currently approved collection. amendments, and proposed II. Data Description of Respondents: encumbrances. The completion times Individuals and businesses. for each information collection OMB Control Number: 1024–0233. Title: National Park Service Leasing Respondent’s Obligation: Required to requirement vary substantially Program, 36 CFR 18. obtain or retain a benefit. Service Form Number(s): None. Frequency of Collection: On occasion.

Completion Total Number of Number of time per annual Activity respondents annual response burden responses (hours) hours

Proposals, Bids, Qualifications: Complex ...... 10 10 40 400 Simple ...... 10 10 8 80 Requests to Sublet/Assign Lease: Complex ...... 1 1 40 40 Simple ...... 4 4 8 32 Construction/Demolition Requests: Complex ...... 2 2 32 64 Simple ...... 1 1 12 12 Amendments ...... 2 2 4 8 Encumbrance Requests: Complex ...... 2 2 40 80 Simple ...... 2 2 8 16

TOTALS ...... 34 34 ...... 732

Estimated Annual Nonhour Burden information from public review, we by March 14, 2014. Before including Cost: None. cannot guarantee that it will be done. your address, phone number, email address, or other personal identifying III. Comments Dated: February 24, 2014. Ramie Lynch, information in your comment, you should be aware that your entire On October 22, 2013, we published in Acting, Information Collection Clearance the Federal Register (78 FR 62658) a Officer, National Park Service. comment—including your personal identifying information—may be made notice of our intent to request that OMB [FR Doc. 2014–04342 Filed 2–26–14; 8:45 am] renew approval for this information publicly available at any time. While BILLING CODE 4310–EH–P collection. In that notice, we solicited you can ask us in your comment to comments for 60 days, ending on withhold your personal identifying December 23, 2013. We received no DEPARTMENT OF THE INTERIOR information from public review, we comments in response to this notice. cannot guarantee that we will be able to We again invite comments concerning National Park Service do so. this information collection on: [NPS–WASO–NRNHL–15025; Dated: February 11, 2014. • Whether or not the collection of PPWOCRADI0, PCU00RP14.R50000] J. Paul Loether, information is necessary, including Chief, National Register of Historic Places/ whether or not the information will National Register of Historic Places; National Historic Landmarks Program. have practical utility; Notification of Pending Nominations • The accuracy of our estimate of the and Related Actions INDIANA burden for this collection of Nominations for the following Boone County information; properties being considered for listing Oak Hill Cemetery, 935 E. Washington St., • Ways to enhance the quality, utility, or related actions in the National Lebanon, 14000068 and clarity of the information to be Register were received by the National De Kalb County collected; and Park Service before February 8, 2014. • Ways to minimize the burden of the Auburn Community Mausoleum, (Early Pursuant to § 60.13 of 36 CFR Part 60, Community Mausoleum Movement in collection of information on written comments are being accepted Indiana MPS) 1431 Center St., Auburn, respondents. concerning the significance of the 14000069 Comments that you submit in nominated properties under the Butler Community Mausoleum, (Early response to this notice are a matter of National Register criteria for evaluation. Community Mausoleum Movement in public record. Before including your Comments may be forwarded by United Indiana MPS) Cty. Rd. 28 E., Butler, address, phone number, email address, States Postal Service, to the National 14000070 or other personal identifying Register of Historic Places, National Garrett Community Mausoleum, (Early information in your comment, you Park Service, 1849 C St. NW., MS 2280, Community Mausoleum Movement in should be aware that your entire Washington, DC 20240; by all other Indiana MPS) S. Hamsher St., Garrett, comment, including your personal carriers, National Register of Historic 14000071 identifying information, may be made Places, National Park Service,1201 Eye Waterloo Community Mausoleum, (Early publicly available at any time. While St. NW., 8th Floor, Washington, DC Community Mausoleum Movement in you can ask OMB in your comment to 20005; or by fax, 202–371–6447. Written Indiana MPS) N. Center St., Waterloo, withhold your personal identifying or faxed comments should be submitted 14000072

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Lake County INDIANA Y Eskilson Historic District, (Historic Delaware County Y Residential Suburbs in the United States, Valentine, John, House, 1101 Riverside Ave., Map/Official Protraction Diagram 1830–1960 MPS) Roughly bounded by W. Muncie, 83000026 3rd Ave. & alleys between Garfield & Hayes (OPD) Name Sts., W. 4th Pl. & W. 5th Ave, Cleveland Perry County Eugene Island Area & McKinley Sts., Gary, 14000073 Hall of Tell City Lodge, No. 206, IOOF, 701 Eugene Island Area Material Service, Address Restricted, Main St., Tell City, 92001654 Eugene Island Area Whiting, 14000074 [FR Doc. 2014–04238 Filed 2–26–14; 8:45 am] South Marsh Island Area, South Monroe County BILLING CODE 4312–51–P Addition Koontz, John F. and Malissa, House, 7401 S. Map/OPD Number Mount Zion Rd., Bloomington, 14000075 DEPARTMENT OF THE INTERIOR LA4 Millen—Chase—McCalla House, 403 N. LA4 Walnut St., Bloomington, 14000076 Bureau of Ocean Energy Management LA4 St. Joseph County LA3C [MMAA104000] North Liberty Historic District, IN 23 between Block Number Center & Harrison Sts., North Liberty, Central Gulf of Mexico Planning Area 14000077 (CPA) Outer Continental Shelf (OCS) 107 222 MONTANA Oil and Gas Lease Sale 231 (CPA Sale 231); Correction 223 Carbon County 144 AGENCY: Bureau of Ocean Energy Yodeler Motel, 601 S. Broadway Ave., Red A/P Lodge, 14000078 Management (BOEM), Interior. ACTION: Notice; correction. A Fallon County A Cottonwood Creek Bridge, (Montana’s SUMMARY: On February 14, 2014, BOEM A Historic Timber Stringer Bridges, 1915– published in the Federal Register the A 1960 MPS) Mi. 2.2 Ismay Rd., Ismay, Final Notice of Sale (FNOS) for CPA Available Federal Acreage 14000079 Sale 231. The FNOS refers to a Lewis and Clark County document entitled ‘‘List of Blocks 5,000.000000 5,000.010000 Haight—Bridgwater House, 502 Peosta, Available for Leasing.’’ The referenced Helena, 14000080 list was included in the FNOS Package, 5,000.020000 and the FNOS Package was made 5,000.000000 NEW HAMPSHIRE available at the BOEM address and Web Minimum Bid Per Acre Strafford County site set forth in the FNOS. The list identifies blocks to be offered in CPA $25.00 Cocheco Mills, Main & Washington Sts., $25.00 Dover, 14000081 Sale 231; however, due to a clerical error, four blocks, Eugene Island Area, $25.00 OHIO Block Number 107, Eugene Island Area, $25.00 Montgomery County Block Number 222, Eugene Island Area, Lease Term Block Number 223 and South Marsh Linden Community and Recreation Center, 5 334 Norwood Ave., Dayton, 14000082 Island Area, South Addition, Block Number 144, were inadvertently 5 TENNESSEE 5 omitted from the list. 5 Bradley County FOR FURTHER INFORMATION CONTACT: Card, C.C., Auto Company Building, 125 Robert Samuels, Leasing Division Chief, Minimum Bid Per Block Inman & 162 1st Sts., Cleveland, 14000083 [email protected]. $125,000 Davidson County SUPPLEMENTARY INFORMATION: In the $125,025 Tennessee Supreme Court Building, 401 7th Federal Register of February 14, 2014, $125,025 Ave., N., Nashville, 14000084 in FR Doc. 2014–03316, (79 FR 8993), $125,000 on page 8993, the document entitled Knox County ‘‘List of Blocks Available for Leasing’’ is Rent Per Acre Mead Marble Quarry, (Marble Industry of referenced. This document has been $7.00 East Tennessee, ca. 1838–1963 MPS) 2915 corrected to include the information $7.00 Island Home Ave., Knoxville, 14000085 below, which has been inserted between $7.00 Ross Marble Quarry, (Marble Industry of East the entries ‘‘Eugene Island Area, Block $7.00 Tennessee, ca. 1838–1963 MPS) 2915 Number 106’’ and ‘‘Eugene Island Area, Island Home Ave., Knoxville, 14000086 Bid System Block Number 109,’’ ‘‘Eugene Island Sullivan County Area, Block Number 221’’ and ‘‘Eugene RS20 Blountville Historic District (Boundary Island Area, Block Number 225,’’ and RS20 Increase, Decrease), Roughly bounded by ‘‘South Marsh Island Area, South RS20 Blountville Cemetery, Great Stage & Addition, Block Number 143’’ and RS20 Massengill Rds., Blountville Bypass., ‘‘South Marsh Island Area, South Stipulation(s) Blountville, 14000087 Addition, Block Number 145.’’ Martin—Dobyns House, 1434 Watauga St., 3, 8 Kingsport, 14000088 L 3, 8 A request for removal has been made for Y 3, 8 the following resources: Y 3, 8

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The corrected ‘‘List of Blocks INTERNATIONAL TRADE DATES: Effective Date: February 21, Available for Leasing’’ is available at the COMMISSION 2014. BOEM address and Web site set forth in [Investigation Nos. 731–TA–1210–1212 FOR FURTHER INFORMATION CONTACT: Fred the FNOS. (Final)] Ruggles (202–205–3187 or fred.ruggles@ Dated: February 24, 2014. usitc.gov), Office of Investigations, U.S. Welded Stainless Steel Pressure Pipe Tommy P. Beaudreau, International Trade Commission, 500 E From Malaysia, Thailand, and Vietnam; Street SW., Washington, DC 20436. Director, Bureau of Ocean Energy Scheduling of the Final Phase of an Hearing-impaired persons can obtain Management. Antidumping Investigations information on this matter by contacting [FR Doc. 2014–04346 Filed 2–26–14; 8:45 am] AGENCY: the Commission’s TDD terminal on 202– BILLING CODE 4310–MR–P United States International Trade Commission. 205–1810. Persons with mobility impairments who will need special ACTION: Notice. assistance in gaining access to the SUMMARY: The Commission hereby gives Commission should contact the Office INTERNATIONAL TRADE notice of the scheduling of the final of the Secretary at 202–205–2000. COMMISSION phase of antidumping investigation Nos. General information concerning the 731–TA–1210–1212 (Final) under Commission may also be obtained by [Investigation No. 731–TA–1123 (Review)] section 735(b) of the Tariff Act of 1930 accessing its internet server (http:// (19 U.S.C. 1673d(b)) (the Act) to www.usitc.gov). The public record for Steel Wire Garment Hangers From determine whether an industry in the these investigations may be viewed on China United States is materially injured or the Commission’s electronic docket threatened with material injury, or the (EDIS) at http://edis.usitc.gov. Determination establishment of an industry in the SUPPLEMENTARY INFORMATION: On the basis of the record 1 developed United States is materially retarded, by Background.—The final phase of in the subject five-year review, the reason of less-than-fair-value imports these investigations is being scheduled United States International Trade from Malaysia, Thailand, and Vietnam as a result of affirmative preliminary of welded stainless steel pressure pipe, Commission (Commission) determines, determinations by the Department of provided for in in subheadings Commerce that imports of welded pursuant to section 751(c) of the Tariff 7306.40.50 and 7306.40.10 of the stainless steel pressure pipe from Act of 1930 (19 U.S.C. §1675(c)), that Harmonized Tariff Schedule of the Malaysia, Thailand, and Vietnam are revocation of the antidumping duty United States.1 being sold in the United States at less order on steel wire garment hangers For further information concerning than fair value within the meaning of from China would be likely to lead to the conduct of this phase of the section 733 of the Act (19 U.S.C. 1673b). continuation or recurrence of material investigations, hearing procedures, and The investigations were requested in a injury to an industry in the United rules of general application, consult the petition filed on May 16, 2013, by States within a reasonably foreseeable Commission’s Rules of Practice and Bristol Metals, L.P., of Bristol, TN; time. Procedure, part 201, subparts A through Felker Brothers Corp., of Marshfield, E (19 CFR part 201), and part 207, Background WI; and Outokumpu Stainless Pipe, subparts A and C (19 CFR part 207). Inc., of Schaumberg, IL. The Commission instituted this Participation in the investigations and 1 For purposes of these investigations, the public service list.—Persons, including review on September 3, 2013 (78 FR Department of Commerce has defined the subject 54272) and determined on December 20, merchandise as circular welded austenitic stainless industrial users of the subject 2013, that it would conduct an pressure pipe not greater than 14 inches in outside merchandise and, if the merchandise is diameter. For purposes of these investigations, sold at the retail level, representative expedited review (79 FR 1885, January references to size are in nominal inches and include 10, 1014). consumer organizations, wishing to all products within tolerances allowed by pipe participate in the final phase of these The Commission completed and filed specifications. This merchandise includes, but is not limited to, the American Society for Testing and investigations as parties must file an its determination in this review on Materials (ASTM) A–312 or ASTM A–778 entry of appearance with the Secretary February 20, 2014. The views of the specifications, or comparable domestic or foreign to the Commission, as provided in Commission are contained in USITC specifications. ASTM A–358 products are only included when they are produced to meet ASTM section 201.11 of the Commission’s Publication 4453 (February 2014), A–312 or ASTM A–778 specifications, or rules, no later than 21 days prior to the entitled Steel Wire Garment Hangers comparable domestic or foreign specifications. hearing date specified in this notice. A From China: Investigation No. 731–TA– Excluded from the scope are: (1) Welded stainless party that filed a notice of appearance mechanical tubing, meeting ASTM A–554 or 1123 (Review). comparable domestic or foreign specifications; (2) during the preliminary phase of the By order of the Commission. boiler, heat exchanger, superheater, refining investigations need not file an furnace, feedwater heater, and condenser tubing, additional notice of appearance during Issued: February 21, 2014. meeting ASTM A–249, ASTM A–688 or comparable this final phase. The Secretary will Lisa R. Barton, domestic or foreign specifications; and (3) specialized tubing, meeting ASTM A269, ASTM maintain a public service list containing Acting Secretary to the Commission. A–270 or comparable domestic or foreign the names and addresses of all persons, [FR Doc. 2014–04289 Filed 2–26–14; 8:45 am] specifications. The subject imports are normally or their representatives, who are parties classified in subheadings 7306.40.5005, BILLING CODE 7020–02–P to the investigations. 7306.40.5040, 7306.40.5062, 7306.40.5064, and 7306.40.5085 of the Harmonized Tariff Schedule of Limited disclosure of business the United States (HTSUS). They may also enter proprietary information (BPI) under an under HTSUS subheadings 7306.40.1010, administrative protective order (APO) 7306.40.1015, 7306.40.5042, 7306.40.5044, and BPI service list.—Pursuant to 7306.40.5080, and 7306.40.5090. The HTSUS 1 The record is defined in sec. 207.2(f) of the subheadings are provided for convenience and section 207.7(a) of the Commission’s Commission’s Rules of Practice and Procedure (19 customs purposes only; the written description of rules, the Secretary will make BPI CFR §207.2(f)). the scope of these investigations is dispositive. gathered in the final phase of these

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investigations available to authorized the subject of the investigations, ACTION: Request for public comments. applicants under the APO issued in the including statements of support or investigations, provided that the opposition to the petition, on or before SUMMARY: The Department of Labor, as application is made no later than 21 May 30, 2014. On June 18, 2014, the part of its continuing effort to reduce days prior to the hearing date specified Commission will make available to paperwork and respondent burden, in this notice. Authorized applicants parties all information on which they conducts a pre-clearance consultation must represent interested parties, as have not had an opportunity to program to provide the general public defined by 19 U.S.C. 1677(9), who are comment. Parties may submit final and Federal agencies with an parties to the investigations. A party comments on this information on or opportunity to comment on proposed granted access to BPI in the preliminary before June 20, 2014, but such final collections of information in accordance phase of the investigations need not comments must not contain new factual with the Paperwork Reduction Act of reapply for such access. A separate information and must otherwise comply 1995, 44 U.S.C. 3506(c)(2)(A). This service list will be maintained by the with section 207.30 of the Commission’s program helps to assure that requested Secretary for those parties authorized to rules. All written submissions must data can be provided in the desired receive BPI under the APO. conform with the provisions of section format, reporting burden (time and Staff report.—The prehearing staff 201.8 of the Commission’s rules; any financial resources) is minimized, report in the final phase of these submissions that contain BPI must also collection instruments are clearly investigations will be placed in the conform with the requirements of understood, and the impact of collection nonpublic record on May 13, 2014, and sections 201.6, 207.3, and 207.7 of the requirements on respondents can be a public version will be issued Commission’s rules. The Commission’s properly assessed. Currently, the Mine thereafter, pursuant to section 207.22 of Handbook on E-Filing, available on the Safety and Health Administration the Commission’s rules. Commission’s Web site at http:// (MSHA) is soliciting comments on the Hearing.—The Commission will hold edis.usitc.gov, elaborates upon the information collection for Records of a hearing in connection with the final Commission’s rules with respect to Tests and Examinations of Mine phase of these investigations beginning electronic filing. Personnel Hoisting Equipment. at 9:30 a.m. on May 22, 2014, at the U.S. Additional written submissions to the DATES: All comments must be received International Trade Commission Commission, including requests on or before April 28, 2014. Building. Requests to appear at the pursuant to section 201.12 of the ADDRESSES: Comments concerning the hearing should be filed in writing with Commission’s rules, shall not be information collection requirements of the Secretary to the Commission on or accepted unless good cause is shown for this notice may be sent by any of the before May 12, 2014. A nonparty who accepting such submissions, or unless methods listed below. has testimony that may aid the the submission is pursuant to a specific • Federal E-Rulemaking Portal: Commission’s deliberations may request request by a Commissioner or http://www.regulations.gov. Follow the permission to present a short statement Commission staff. online instructions for submitting at the hearing. All parties and In accordance with sections 201.16(c) comments for docket number [MSHA– nonparties desiring to appear at the and 207.3 of the Commission’s rules, 2013–0044]. hearing and make oral presentations each document filed by a party to the • Regular Mail: Send comments to should attend a prehearing conference investigations must be served on all MSHA, Office of Standards, to be held at 9:30 a.m. on May 20, 2014, other parties to the investigations (as Regulations, and Variances, 1100 at the U.S. International Trade identified by either the public or BPI Wilson Boulevard, Room 2350, Commission Building. Oral testimony service list), and a certificate of service Arlington, VA 22209–3939. and written materials to be submitted at must be timely filed. The Secretary will • Hand Delivery: MSHA, 1100 Wilson the public hearing are governed by not accept a document for filing without Boulevard, Room 2350, Arlington, VA. sections 201.6(b)(2), 201.13(f), and a certificate of service. 207.24 of the Commission’s rules. Sign in at the receptionist’s desk on the Parties must submit any request to Authority: These investigations are being 21st floor. present a portion of their hearing conducted under authority of title VII of the FOR FURTHER INFORMATION CONTACT: testimony in camera no later than 7 Tariff Act of 1930; this notice is published Sheila McConnell, Acting Director, pursuant to section 207.21 of the Office of Standards, Regulations, and business days prior to the date of the Commission’s rules. hearing. Variances, MSHA, at Written submissions.—Each party By order of the Commission. [email protected] who is an interested party shall submit Issued: February 24, 2014. (email); 202–693–9440 (voice); or 202– a prehearing brief to the Commission. Lisa R. Barton, 693–9441 (facsimile). Prehearing briefs must conform with the Acting Secretary to the Commission. SUPPLEMENTARY INFORMATION: provisions of section 207.23 of the [FR Doc. 2014–04303 Filed 2–26–14; 8:45 am] I. Background Commission’s rules; the deadline for BILLING CODE 7020–02–P filing is May 12, 2014. Parties may also Section 103(h) of the Federal Mine file written testimony in connection Safety and Health Act of 1977 (Mine with their presentation at the hearing, as DEPARTMENT OF LABOR Act), 30 U.S.C. 813, authorizes MSHA to provided in section 207.24 of the collect information necessary to carry Commission’s rules, and posthearing Mine Safety and Health Administration out its duty in protecting the safety and briefs, which must conform with the health of miners. provisions of section 207.25 of the [OMB Control No. 1219–0034] Under Title 30 of the Code of Federal Commission’s rules. The deadline for Proposed Information Collection; Regulations (CFR), MSHA has filing posthearing briefs is May 30, Records of Tests and Examinations of requirements that address hoists and 2014. In addition, any person who has Mine Personnel Hoisting Equipment appurtenances, including wire rope, not entered an appearance as a party to used for hoisting persons. The the investigations may submit a written AGENCY: Mine Safety and Health requirements address both metal and statement of information pertinent to Administration, Labor. nonmetal surface and underground

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mines (30 CFR parts 56 and 57); and • Evaluate whether the collection of Comments submitted in response to underground coal and surface work information is necessary for the proper this notice will be summarized and areas of underground coal mines (30 performance of the functions of the included in the request for Office of CFR parts 75 and 77). agency, including whether the Management and Budget approval of the Title 30 CFR 56/57.19022 and 30 CFR information has practical utility; information collection request; they will 75/77.1432 requires the diameter of • Evaluate the accuracy of the also become a matter of public record. MSHA’s estimate of the burden of the newly installed wire rope to be Dated: February 21, 2014. collection of information, including the measured at least once in every third Patricia W. Silvey, interval of the rope’s active length to validity of the methodology and Certifying Officer. establish a baseline for subsequent assumptions used; • semiannual measurements. A record of Suggest methods to enhance the [FR Doc. 2014–04249 Filed 2–26–14; 8:45 am] the measurements is required to be quality, utility, and clarity of the BILLING CODE 4510–43–P information to be collected; and made and retained until the rope is • retired from service. Minimize the burden of the collection of information on those who DEPARTMENT OF LABOR Title 30 CFR 56/57.19023 and 30 CFR are to respond, including through the 75/77.1433 require the wire rope to be use of appropriate automated, Mine Safety and Health Administration visually examined at least every electronic, mechanical, or other fourteen days for visible structural technological collection techniques or [OMB Control No. 1219–0048] damage, corrosion, and improper other forms of information technology, lubrication or dressing. If the e.g., permitting electronic submission of Proposed Information Collection; examination reveals weakening portions responses. Respirator Program Records of the rope, the weakened portions must This information collection request is be monitored daily for further AGENCY: Mine Safety and Health available on http://www.msha.gov/regs/ Administration, Labor. deterioration until retirement criteria fedreg/informationcollection/ require that the rope be removed from informationcollection.asp. The ACTION: Request for public comments. service. The person conducting the information collection request will be examination must certify that the SUMMARY: The Department of Labor, as available on MSHA’s Web site and on part of its continuing effort to reduce examination was made and the record http://www.regulations.gov. MSHA must be retained for one year. paperwork and respondent burden, cautions the commenter against conducts a pre-clearance consultation Title 30 CFR 56/57.19121 requires the providing any information in the person conducting the inspection, test program to provide the general public submission that should not be publicly and Federal agencies with an or examination of hoisting equipment disclosed. Full comments, including certify that these activities have been opportunity to comment on proposed personal information provided, will be collections of information in accordance done. Any unsafe conditions must be made available on www.regulations.gov noted in a record and dated. All with the Paperwork Reduction Act of and www.reginfo.gov. 1995, 44 U.S.C. 3506(c)(2)(A). This certifications and records must be The public may also examine publicly program helps to assure that requested retained for one year. available documents at MSHA, 1100 data can be provided in the desired Title 30 CFR 75.1400–2 requires a Wilson Boulevard, Room 2350, format, reporting burden (time and record to be made of tests conducted on Arlington, VA. Sign in at the safety catches. Safety catches are the last receptionist’s desk on the 21st floor. financial resources) is minimized, means to safely stop a falling Questions about the information collection instruments are clearly conveyance in the event of rope or collection requirements may be directed understood, and the impact of collection equipment failure. to the person listed in the FOR FURTHER requirements on respondents can be Title 30 CFR 75.1400–4 and 77.1404 INFORMATION section of this notice. properly assessed. Currently, the Mine Safety and Health Administration require a record to be made of each III. Current Actions daily examination. If any unsafe (MSHA) is soliciting comments on the condition is found during the This request for collection of information collection for Respirator examination, the person conducting the information contains provisions for Program Records. examination must make a record of the Records of Tests and Examinations of DATES: All comments must be received condition. All certifications and records Mine Personnel Hoisting Equipment. on or before April 28, 2014. must be retained for one year. MSHA has updated the data in respect ADDRESSES: Comments concerning the Title 30 CFR 77.1906 requires a daily to the number of respondents, information collection requirements of examination of hoists used for shaft responses, burden hours, and burden this notice may be sent by any of the sinking. If any unsafe condition is found costs supporting this information methods listed below. during the examination, the person collection request. • Federal E-Rulemaking Portal: conducting the examination must make Type of Review: Extension, without http://www.regulations.gov. Follow the a record of the condition. All change, of a currently approved online instructions for submitting certifications and records must be collection. comments for docket number [MSHA– Agency: Mine Safety and Health retained for one year. 2013–0046]. Administration. • Regular Mail: Send comments to II. Desired Focus of Comments OMB Number: 1219–0034. Affected Public: Business or other for- MSHA, Office of Standards, MSHA is soliciting comments profit. Regulations, and Variances, 1100 concerning the proposed information Number of Respondents: 250. Wilson Boulevard, Room 2350, collection related to Records of Tests Frequency: On occasion. Arlington, VA 22209–3939. and Examinations of Mine Personnel Number of Responses: 74,715. • Hand Delivery: MSHA, 1100 Wilson Hoisting Equipment. MSHA is Annual Burden Hours: 5,989 hours. Boulevard, Room 2350, Arlington, VA. particularly interested in comments Annual Respondent or Recordkeeper Sign in at the receptionist’s desk on the that: Cost: $300,000. 21st floor.

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FOR FURTHER INFORMATION CONTACT: Records. MSHA is particularly Annual Respondent or Recordkeeper Sheila McConnell, Acting Director, interested in comments that: Cost: $90,000. Office of Standards, Regulations, and • Evaluate whether the collection of Comments submitted in response to Variances, MSHA, at information is necessary for the proper this notice will be summarized and [email protected] performance of the functions of the included in the request for Office of (email); 202–693–9440 (voice); or 202– agency, including whether the Management and Budget approval of the 693–9441 (facsimile). information has practical utility; information collection request; they will • SUPPLEMENTARY INFORMATION: Evaluate the accuracy of MSHA’s also become a matter of public record. estimate of the burden of the collection Dated: February 21, 2014. I. Background of information, including the validity of Patricia W. Silvey, the methodology and assumptions used; Section 101(a), 30 U.S.C. 811(a), • Certifying Officer. allows MSHA to promulgate standards Suggest methods to enhance the [FR Doc. 2014–04251 Filed 2–26–14; 8:45 am] that would require operators to make quality, utility, and clarity of the information to be collected; and BILLING CODE 4510–43–P and retain records from which MSHA • would then be allowed to collect Minimize the burden of the collection of information on those who information. Section 103(h), 30 U.S.C. DEPARTMENT OF LABOR 813(h), of the Federal Mine Safety and are to respond, including through the use of appropriate automated, Health Act of 1977 (Mine Act), 30 U.S.C. Mine Safety and Health Administration 801 et seq., authorizes MSHA to collect electronic, mechanical, or other technological collection techniques or information necessary to carry out its [OMB Control No. 1219–0046] duty in protecting the safety and health other forms of information technology, of miners. e.g., permitting electronic submission of Proposed Information Collection; Title 30 CFR 56.5005 and 57.5005 responses. Escape and Evacuation Plans (Pertains This information collection request is require, whenever respiratory to Underground Metal and Nonmetal available on http://www.msha.gov/regs/ equipment is used, that metal and Mines) fedreg/informationcollection/ nonmetal mine operators institute a informationcollection.asp. The AGENCY: Mine Safety and Health respirator program governing selection, information collection request will be Administration, Labor. maintenance, training, fitting, available on MSHA’s Web site and on supervision, cleaning, and use of ACTION: Request for public comments. http://www.regulations.gov. MSHA respirators. These standards seek to cautions the commenter against SUMMARY: The Department of Labor, as control miner exposure to harmful providing any information in the part of its continuing effort to reduce airborne contaminants by using submission that should not be publicly paperwork and respondent burden, engineering controls to prevent disclosed. Full comments, including conducts a pre-clearance consultation contamination and vent or dilute the personal information provided, will be program to provide the general public contaminated air. However, where made available on www.regulations.gov and Federal agencies with an accepted engineering control measures and www.reginfo.gov. opportunity to comment on proposed have not been developed or when The public may also examine publicly collections of information in accordance necessary by the nature of work available documents at MSHA, 1100 with the Paperwork Reduction Act of involved (for example, while Wilson Boulevard, Room 2350, 1995, 44 U.S.C. 3506(c)(2)(A). This establishing controls or occasional entry Arlington, VA. Sign in at the program helps to assure that requested into hazardous atmospheres to perform receptionist’s desk on the 21st floor. data can be provided in the desired maintenance or investigation), Questions about the information format, reporting burden (time and employees may work for reasonable collection requirements may be directed financial resources) is minimized, periods of time in concentrations of to the person listed in the FOR FURTHER collection instruments are clearly airborne contaminants exceeding INFORMATION CONTACT section of this understood, and the impact of collection permissible levels if they are protected notice. requirements on respondents can be by appropriate respiratory protective properly assessed. Currently, the Mine equipment. III. Current Actions Safety and Health Administration Sections 56.5005 and 57.5005 This request for collection of (MSHA) is soliciting comments on incorporate by reference, requirements information contains provisions for Escape and Evacuation Plans, 30 CFR of the American National Standards Respirator Program Records. MSHA has 57.11053. Institute’s Practices for Respiratory updated the data with respect to the DATES: All comments must be submitted Protection (ANSI Z88.2–1969). These number of respondents, responses, on or before April 28, 2014. incorporated requirements mandate that burden hours, and burden costs miners who must wear respirators be fit- supporting this information collection ADDRESSES: Comments concerning the tested to the respirators that they will request. information collection requirements of use. Certain records are also required to Type of Review: Extension, without this notice may be sent by any of the be kept in connection with respirators, change, of a currently approved methods listed below. • including: Written standard operating collection. Federal E-Rulemaking Portal: procedures governing the selection and Agency: Mine Safety and Health http://www.regulations.gov. Follow the use of respirators; records of the date of Administration. online instructions for submitting issuance of the respirator; and fit-test OMB Number: 1219–0048. comments for docket number [MSHA– results. Affected Public: Business or other for- 2013–0045]. • Regular Mail: Send comments to II. Desired Focus of Comments profit. Number of Respondents: 300. MSHA, Office of Standards, MSHA is soliciting comments Frequency: On occasion. Regulations, and Variances, 1100 concerning the proposed information Number of Responses: 5,400. Wilson Boulevard, Room 2350, collection related to Respirator Program Annual Burden Hours: 3,074 hours. Arlington, VA 22209–3939.

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• Hand Delivery: MSHA, 1100 Wilson collection related to Escape and Frequency: On occasion. Boulevard, Room 2350, Arlington, VA. Evacuation Plans, 30 CFR 57.11053. Number of Responses: 502. Sign in at the receptionist’s desk on the MSHA is particularly interested in Annual Burden Hours: 4,267 hours. 21st floor. comments that: Annual Respondent or Recordkeeper • FOR FURTHER INFORMATION CONTACT: Evaluate whether the collection of Cost: $2,510. Sheila McConnell, Acting Director, information is necessary for the proper Comments submitted in response to Office of Standards, Regulations, and performance of the functions of the this notice will be summarized and Variances, MSHA, at agency, including whether the included in the request for Office of information has practical utility; Management and Budget approval of the [email protected] • (email); 202–693–9440 (voice); or 202– Evaluate the accuracy of the information collection request; they will 693–9441 (facsimile). MSHA’s estimate of the burden of the also become a matter of public record. collection of information, including the SUPPLEMENTARY INFORMATION: Dated: February 21, 2014. validity of the methodology and Patricia W. Silvey, I. Background assumptions used; • Suggest methods to enhance the Certifying Officer. Section 103(h) of the Federal Mine quality, utility, and clarity of the [FR Doc. 2014–04250 Filed 2–26–14; 8:45 am] Safety and Health Act of 1977 (Mine information to be collected; and BILLING CODE 4510–43–P Act), 30 U.S.C. 813, authorizes MSHA to • Minimize the burden of the collect information necessary to carry collection of information on those who out its duty in protecting the safety and are to respond, including through the DEPARTMENT OF LABOR health of miners. use of appropriate automated, Title 30 of the Code of Federal Mine Safety and Health Administration electronic, mechanical, or other Regulations (30 CFR) 57.11053 requires technological collection techniques or [OMB Control No. 1219–0049] the development of an escape and other forms of information technology, evacuation plan specifically addressing e.g., permitting electronic submission of Proposed Information Collection; Hoist the unique conditions of each responses. Operators’ Physical Fitness underground metal and nonmetal mine. This information collection request is Section 57.11053 also requires that AGENCY: Mine Safety and Health available on http://www.msha.gov/regs/ Administration, Labor. revisions be made as mining progresses. fedreg/informationcollection/ ACTION: Request for public comments. The plan must be available to informationcollection.asp. The representatives of the Mine Safety and information collection request will be SUMMARY: The Department of Labor, as Health Administration (MSHA) and available on MSHA’s Web site and on conspicuously posted at locations part of its continuing effort to reduce http://www.regulations.gov. MSHA paperwork and respondent burden, convenient to all persons on the surface cautions the commenter against and underground. The mine operator conducts a pre-clearance consultation providing any information in the program to provide the general public and MSHA are required to jointly submission that should not be publicly review the plan at least once every six and Federal agencies with an disclosed. Full comments, including opportunity to comment on proposed months. personal information provided, will be The following information is required collections of information in accordance made available on www.regulations.gov with the Paperwork Reduction Act of with each escape and evacuation plan and www.reginfo.gov. submission: 1995, 44 U.S.C. 3506(c)(2)(A). This The public may also examine publicly program helps to assure that requested (1) Mine maps or diagrams showing available documents at MSHA, 1100 directions of principal air flow, location data can be provided in the desired Wilson Boulevard, Room 2350, format, reporting burden (time and of escape routes, and locations of Arlington, VA. Sign in at the existing telephones, primary fans, financial resources) is minimized, receptionist’s desk on the 21st floor. collection instruments are clearly primary fan controls, fire doors, Questions about the information ventilation doors, and refuge chambers; understood, and the impact of collection collection requirements may be directed requirements on respondents can be (2) Procedures to show how the to the person listed in the FOR FURTHER miners will be notified of an emergency; properly assessed. Currently, the Mine INFORMATION CONTACT section of this Safety and Health Administration (3) An escape plan for each working notice. area in the mine, including instructions (MSHA) is soliciting comments on the showing how each working area should III. Current Actions information collection for Hoist Operators’ Physical Fitness. be evacuated; This request for collection of DATES: (4) A firefighting plan; information contains provisions for All comments must be received (5) Surface procedures to be followed Escape and Evacuation Plans, 30 CFR on or before April 28, 2014. in an emergency, including the 57.11053. MSHA has updated the data ADDRESSES: Comments concerning the notification of proper authorities and in respect to the number of respondents, information collection requirements of the preparation of rescue equipment and responses, burden hours, and burden this notice may be sent by any of the other equipment which may be used in costs supporting this information methods listed below. • rescue and recovery operations; and collection request. Federal E-Rulemaking Portal: (6) A statement of the availability of Type of Review: Extension, without http://www.regulations.gov. Follow the emergency communication and change, of a currently approved online instructions for submitting transportation facilities, emergency collection. comments for docket number [MSHA– power, and ventilation, and the location Agency: Mine Safety and Health 2013–0047]. of rescue personnel and equipment. Administration. • Regular Mail: Send comments to OMB Number: 1219–0046. MSHA, Office of Standards, II. Desired Focus of Comments Affected Public: Business or other for- Regulations, and Variances, 1100 MSHA is soliciting comments profit. Wilson Boulevard, Room 2350, concerning the proposed information Number of Respondents: 251. Arlington, VA 22209–3939

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• Hand Delivery: MSHA, 1100 Wilson available on MSHA’s Web site and on SUMMARY: The Department of Labor, as Boulevard, Room 2350, Arlington, VA. http://www.regulations.gov. MSHA part of its continuing effort to reduce Sign in at the receptionist’s desk on the cautions the commenter against paperwork and respondent burden, 21st floor. providing any information in the conducts a pre-clearance consultation FOR FURTHER INFORMATION CONTACT: submission that should not be publicly program to provide the general public Sheila McConnell, Acting Director, disclosed. Full comments, including and Federal agencies with an Office of Standards, Regulations, and personal information provided, will be opportunity to comment on proposed Variances, MSHA, at made available on www.regulations.gov collections of information in accordance [email protected] and www.reginfo.gov. with the Paperwork Reduction Act of (email); 202–693–9440 (voice); or 202– The public may also examine publicly 1995, 44 U.S.C. 3506(c)(2)(A). This 693–9441 (facsimile). available documents at MSHA, 1100 program helps to assure that requested Wilson Boulevard, Room 2350, SUPPLEMENTARY INFORMATION: data can be provided in the desired Arlington, VA. Sign in at the format, reporting burden (time and I. Background receptionist’s desk on the 21st floor. financial resources) is minimized, Sections 101(a) and 103(h) of the Questions about the information collection instruments are clearly Federal Mine Safety and Health Act of collection requirements may be directed understood, and the impact of collection 1977 (Mine Act), 30 U.S.C. 811(a) and to the person listed in the FOR FURTHER requirements on respondents can be 813(h), authorizes MSHA to collect INFORMATION CONTACT section of this properly assessed. Currently, the Mine information necessary to carry out its notice. Safety and Health Administration duty in protecting the safety and health III. Current Actions (MSHA) is soliciting comments on the of miners. Title 30 CFR 56.19057 and information collection for Rock Burst This request for collection of 57.19057 require the examination and Control Plan, 30 CFR 57.3461 (Pertains information contains provisions for certification of hoist operators’ fitness to Underground Metal/Nonmetal Hoist Operators’ Physical Fitness. by a qualified, licensed physician, Mines). MSHA has updated the data in respect within twelve months preceding DATES: All comments must be received to the number of respondents, hoisting duties. The safety of all metal on or before April 28, 2014. responses, burden hours, and burden and nonmetal miners riding hoist costs supporting this information ADDRESSES: Comments concerning the conveyances is largely dependent upon collection request. information collection requirements of the attentiveness and physical Type of Review: Extension, without this notice may be sent by any of the capabilities of the hoist operator. methods listed below. change, of a currently approved • Improper movements, overspeed, and collection. Federal E-Rulemaking Portal: overtravel of a hoisting conveyance can Agency: Mine Safety and Health http://www.regulations.gov. Follow the result in serious physical harm or death Administration. online instructions for submitting to all passengers. OMB Number: 1219–0049. comments for docket number [MSHA– 2013–0048]. II. Desired Focus of Comments Affected Public: Business or other for- • profit. Regular Mail: Send comments to MSHA is soliciting comments Number of Respondents: 75. MSHA, Office of Standards, concerning the proposed information Frequency: On occasion. Regulations, and Variances, 1100 collection related to Hoist Operators’ Number of Responses: 375. Wilson Boulevard, Room 2350, Physical Fitness. MSHA is particularly Annual Burden Hours: 13 hours. Arlington, VA 22209–3939. • interested in comments that: Annual Respondent or Recordkeeper Hand Delivery: MSHA, 1100 Wilson • Evaluate whether the collection of Cost: $187,500. Boulevard, Room 2350, Arlington, VA. information is necessary for the proper Comments submitted in response to Sign in at the receptionist’s desk on the performance of the functions of the this notice will be summarized and 21st floor. agency, including whether the included in the request for Office of FOR FURTHER INFORMATION CONTACT: information has practical utility; Management and Budget approval of the Sheila McConnell, Acting Director, • Evaluate the accuracy of the information collection request; they will Office of Standards, Regulations, and MSHA’s estimate of the burden of the also become a matter of public record. Variances, MSHA, at collection of information, including the Dated: February 21, 2014. [email protected] validity of the methodology and (email); 202–693–9440 (voice); or 202– Patricia W. Silvey, assumptions used; 693–9441 (facsimile). • Certifying Officer. Suggest methods to enhance the SUPPLEMENTARY INFORMATION: quality, utility, and clarity of the [FR Doc. 2014–04252 Filed 2–26–14; 8:45 am] information to be collected; and BILLING CODE 4510–43–P I. Background • Minimize the burden of the Section 101(a), 30 U.S.C. 811(a), collection of information on those who allows MSHA to promulgate standards are to respond, including through the DEPARTMENT OF LABOR that would require operators to make use of appropriate automated, Mine Safety and Health Administration and retain records from which MSHA electronic, mechanical, or other would then be allowed to collect technological collection techniques or [OMB Control No. 1219–0097] information. Section 103(h), 30 U.S.C. other forms of information technology, 813(h), of the Federal Mine Safety and e.g., permitting electronic submission of Proposed Information Collection; Rock Health Act of 1977 (Mine Act), 30 U.S.C. responses. Burst Control Plan, (Pertains to 801 et seq., authorizes MSHA to collect This information collection request is Underground Metal/Nonmetal Mines) information necessary to carry out its available on http://www.msha.gov/regs/ AGENCY: Mine Safety and Health duty in protecting the safety and health fedreg/informationcollection/ Administration, Labor. of miners. informationcollection.asp. The Title 30 CFR 57.3461 requires ACTION: Request for public comments. information collection request will be operators of underground metal and

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nonmetal mines to develop and informationcollection.asp. The DEPARTMENT OF LABOR implement a rock burst control plan information collection request will be within 90 days after a rock burst has available on MSHA’s Web site and on Mine Safety and Health Administration been experienced. Plans are required to http://www.regulations.gov. MSHA [OMB Control No. 1219–0009] include: Mining and operating cautions the commenter against procedures designed to reduce the providing any information in the Proposed Information Collection; occurrence of rock bursts; monitoring submission that should not be publicly Training Plans and Records of procedures where detection methods are disclosed. Full comments, including Training, for Underground Miners and used; and other measures to minimize personal information provided, will be Miners Working at Surface Mines and exposure of persons to areas prone to made available on www.regulations.gov Surface Areas of Underground Mines rock bursts. Plans are also required to be and www.reginfo.gov. updated as conditions warrant and are AGENCY: Mine Safety and Health to be made available to MSHA The public may also examine publicly Administration, Labor. inspectors and to miners or their available documents at MSHA, 1100 ACTION: Request for public comments. representatives. The standard does not Wilson Boulevard, Room 2350, require that all underground metal and Arlington, VA. Sign in at the SUMMARY: The Department of Labor, as nonmetal mines develop these receptionist’s desk on the 21st floor. part of its continuing effort to reduce paperwork and respondent burden, preventative measures, but it does Questions about the information require that all mines with a rock burst conducts a pre-clearance consultation collection requirements may be directed program to provide the general public history develop and implement a rock to the person listed in the FOR FURTHER burst control plan. and Federal agencies with an INFORMATION CONTACT section of this When rock bursts occur in an opportunity to comment on proposed underground mine, they pose a serious notice. collections of information in accordance threat to the safety of miners in the area III. Current Actions with the Paperwork Reduction Act of affected by the burst. These bursts may 1995, 44 U.S.C. 3506(c)(2)(A). This reasonably be expected to result in the This request for collection of program helps to assure that requested entrapment of miners, death, and information contains provisions for data can be provided in the desired serious physical harm. Recent mining Rock Burst Control Plan, 30 CFR format, reporting burden (time and technology has disclosed scientific 57.3461 (Pertains to Underground financial resources) is minimized, methods of monitoring rock stresses Metal/Nonmetal Mines). MSHA has collection instruments are clearly which will allow for the prediction of updated the data in respect to the understood, and the impact of collection an oncoming burst. These predictions number of respondents, responses, requirements on respondents can be can be used by the mine operator to burden hours, and burden costs properly assessed. Currently, the Mine move miners to safer locations and to supporting this information collection Safety and Health Administration establish areas which need relief request. (MSHA) is soliciting comments on the drilling. information collection for Training Type of Review: Extension, without Plans and Records of Training, for II. Desired Focus of Comments change, of a currently approved Underground Miners and Miners MSHA is soliciting comments collection. Working at Surface Mines and Surface concerning the proposed information Agency: Mine Safety and Health Areas of Underground Mines. collection related to Rock Burst Control Administration. DATES: All comments must be received Plan, 30 CFR 57.3461 (Pertains to OMB Number: 1219–0097. on or before April 28, 2014. Underground Metal/Nonmetal Mines). ADDRESSES: Comments concerning the Affected Public: Business or other for- MSHA is particularly interested in information collection requirements of comments that: profit. • this notice may be sent by any of the Evaluate whether the collection of Number of Respondents: 2. methods listed below. information is necessary for the proper Frequency: On occasion. • Federal E-Rulemaking Portal: performance of the functions of the http://www.regulations.gov. Follow the Number of Responses: 2. agency, including whether the online instructions for submitting information has practical utility; Annual Burden Hours: 24 hours. comments for docket number [MSHA– • Evaluate the accuracy of MSHA’s Annual Respondent or Recordkeeper 2013–0043]. estimate of the burden of the collection • Cost: None. Regular Mail: Send comments to of information, including the validity of MSHA, Office of Standards, the methodology and assumptions used; Comments submitted in response to Regulations, and Variances, 1100 • Suggest methods to enhance the this notice will be summarized and Wilson Boulevard, Room 2350, quality, utility, and clarity of the included in the request for Office of Arlington, VA 22209–3939. information to be collected; and Management and Budget approval of the • • Minimize the burden of the Hand Delivery: MSHA, 1100 Wilson information collection request; they will Boulevard, Room 2350, Arlington, VA. collection of information on those who also become a matter of public record. are to respond, including through the Sign in at the receptionist’s desk on the use of appropriate automated, Dated: February 21, 2014. 21st floor. electronic, mechanical, or other Patricia W. Silvey, FOR FURTHER INFORMATION CONTACT: technological collection techniques or Certifying Officer. Sheila McConnell, Acting Director, Office of Standards, Regulations, and other forms of information technology, [FR Doc. 2014–04253 Filed 2–26–14; 8:45 am] Variances, MSHA, at e.g., permitting electronic submission of BILLING CODE 4510–43–P responses. [email protected] This information collection request is (email); 202–693–9440 (voice); or 202– available on http://www.msha.gov/regs/ 693–9441 (facsimile). fedreg/informationcollection/ SUPPLEMENTARY INFORMATION:

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I. Background determine the effectiveness of the Wilson Boulevard, Room 2350, training. Arlington, VA. Sign in at the Section 103(h) of the Federal Mine Title 30 CFR 48.9 and 48.29 require receptionist’s desk on the 21st floor. Safety and Health Act of 1977 (Mine records of training for underground and Questions about the information Act), 30 U.S.C. 813(h), authorizes surface mines, respectively. Upon collection requirements may be directed MSHA to collect information necessary completion of each training program, to the person listed in the FOR FURTHER to carry out its duty in protecting the the mine operator certifies on a form INFORMATION CONTACT section of this safety and health of miners. Further, approved by the Secretary (MSHA Form notice. Section 101(a) of the Mine Act, 30 5000–23) that the miner has received III. Current Actions U.S.C. 811 authorizes the Secretary to the specified training in each subject develop, promulgate, and revise as may area of the approved health and safety This request for collection of be appropriate, improved mandatory training plan. information contains provisions for health or safety standards for the The certificates are to be maintained Training Plans and Records of Training, protection of life and prevention of by the operator for a period of two years for Underground Miners and Miners injuries in coal or other mines. for current employees and sixty days for Working at Surface Mines and Surface The Mine Act, as amended, 30 U.S.C. terminated employees and must be Areas of Underground Mines. MSHA 801 et seq., recognizes that education available for inspection at the mine site. has updated the data with respect to the and training in the improvement of In addition, the miner is entitled to a number of respondents, responses, miner health and safety is an important copy of the certificate upon completion burden hours, and burden costs element of federal efforts to make the of the training and when he/she leaves supporting this information collection nation’s mines safe. Section 115(a) of the operator’s employment. request. Type of Review: Extension, without the Mine Act states that ‘‘each operator II. Desired Focus of Comments of a coal or other mine shall have a change, of a currently approved health and safety training program MSHA is soliciting comments collection. which shall be approved by the concerning the proposed information Agency: Mine Safety and Health Secretary.’’ Title 30 CFR 48.3 and 48.23 collection related to Training Plans and Administration. require training plans for underground Records of Training, for Underground OMB Number: 1219–0009. and surface mines, respectively. The Miners and Miners Working at Surface Affected Public: Business or other for- standards are intended to assure that Mines and Surface Areas of profit. miners will be effectively trained in Underground Mines. MSHA is Number of Respondents: 2,399. matters affecting their health and safety, particularly interested in comments Frequency: On occasion. Number of Responses: 143,263. with the ultimate goal of reducing the that: • Evaluate whether the collection of Annual Burden Hours: 17,741 hours. occurrence of injury and illness in the Annual Respondent or Recordkeeper nation’s mines. information is necessary for the proper performance of the functions of the Cost: $465,617. Training plans are required to be agency, including whether the MSHA Forms: MSHA Form 5000–23, submitted for approval to the MSHA information has practical utility; Certificate of Training. District Manager for the area in which • Evaluate the accuracy of MSHA’s Comments submitted in response to the mine is located. Plans must contain estimate of the burden of the collection this notice will be summarized and the following: (1) Company name, (2) of information, including the validity of included in the request for Office of mine name, (3) MSHA identification the methodology and assumptions used; Management and Budget approval of the number of the mine, (4) the name and • Suggest methods to enhance the information collection request; they will position of the person designated by the quality, utility, and clarity of the also become a matter of public record. operator who is responsible for health information to be collected; and Dated: February 21, 2014. and safety training at the mine, (5) a list • Minimize the burden of the Patricia W. Silvey, of MSHA-approved instructors with collection of information on those who Certifying Officer. whom the operator proposes to make are to respond, including through the arrangements to teach the courses and use of appropriate automated, [FR Doc. 2014–04248 Filed 2–26–14; 8:45 am] the courses each instructor is qualified electronic, mechanical, or other BILLING CODE 4510–43–P to teach, (6) the location where training technological collection techniques or will be given for each course, (7) a other forms of information technology, DEPARTMENT OF LABOR description of the teaching methods and e.g., permitting electronic submission of the course materials which are to be responses. Mine Safety and Health Administration used in training, (8) the approximate This information collection request is number of miners employed at the mine available on http://www.msha.gov/regs/ [OMB Control No. 1219–0007] and the maximum number who will fedreg/informationcollection/ Proposed Information Collection; Mine attend each session of training, (9) the informationcollection.asp. The Accident, Injury, and Illness Report predicted time or periods of time when information collection request will be and Quarterly Mine Employment and regularly scheduled refresher training available on MSHA’s Web site and on Coal Production Report (MSHA Forms will be given including the titles of http://www.regulations.gov. MSHA 7000–1 and 7000–2) courses to be taught, (10) the total cautions the commenter against number of instruction hours for each providing any information in the AGENCY: Mine Safety and Health course, and (11) the predicted time and submission that should not be publicly Administration, Labor. length of each session of training for disclosed. Full comments, including ACTION: Request for public comments. new task training including a complete personal information provided, will be list of task assignments, the titles of made available on www.regulations.gov SUMMARY: The Department of Labor, as personnel conducting the training, the and www.reginfo.gov. part of its continuing effort to reduce outline of training procedures used, and The public may also examine publicly paperwork and respondent burden, the evaluation procedures used to available documents at MSHA, 1100 conducts a pre-clearance consultation

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program to provide the general public Records of Accidents, Injuries and representative and the appropriate State and Federal agencies with an Illnesses, Employment and Coal agency. Section 103(h) requires opportunity to comment on proposed Production in Mines, are essential operators to keep any records and make collections of information in accordance elements in MSHA’s Congressional any reports that are reasonably with the Paperwork Reduction Act of mandate to reduce work-related injuries necessary for MSHA to perform its 1995, 44 U.S.C. 3506(c)(2)(A). This and illnesses among the nation’s miners. duties under the Mine Act. Section program helps to assure that requested Section 50.10 requires mine operators 103(j) requires operators to notify data can be provided in the desired and independent contractors to MSHA of the occurrence of an accident format, reporting burden (time and immediately notify MSHA in the event and to take appropriate measures to financial resources) is minimized, of an accident. This immediate preserve any evidence that would assist collection instruments are clearly notification is critical to MSHA’s timely in the investigation into the causes of understood, and the impact of collection investigation and assessment of the the accident. cause of the accident. requirements on respondents can be II. Desired Focus of Comments properly assessed. Currently, the Mine Section 50.11 requires that the mine Safety and Health Administration operator or independent contractor MSHA is soliciting comments (MSHA) is soliciting comments on the investigate each accident and concerning the proposed information information collection for Mine occupational injury and prepare a collection related to Mine Accident, Accident, Injury, and Illness Report and report. The mine operator or Injury, and Illness Report and Quarterly Quarterly Mine Employment and Coal independent contractor may not use Mine Employment and Coal Production Production Report (MSHA Forms 7000– MSHA Form 7000–1 as the investigation Report (MSHA Forms 7000–1 and 7000– 1 and 7000–2), 30 CFR 50.10, 50.11, report, except if the operator or 2), 30 CFR 50.10, 50.11, 50.20, 50.30. 50.20, 50.30. contractor employs fewer than 20 MSHA is particularly interested in miners and the injury is not related to DATES: All comments must be received comments that: an accident. • Evaluate whether the collection of on or before April 28, 2014. Section 50.20 requires mine operators information is necessary for the proper ADDRESSES: Comments concerning the and independent contractors to report performance of the functions of the information collection requirements of each accident, injury, and illness to agency, including whether the this notice may be sent by any of the MSHA on Form 7000–1 within 10 information has practical utility; methods listed below. working days after an accident or injury • • Evaluate the accuracy of the Federal E-Rulemaking Portal: has occurred or an occupational illness MSHA’s estimate of the burden of the http://www.regulations.gov. Follow the has been diagnosed. The use of MSHA collection of information, including the online instructions for submitting Form 7000–1 provides for uniform validity of the methodology and comments for docket number [MSHA– information gathering across the mining assumptions used; 2013–0042]. industry. • • Suggest methods to enhance the Regular Mail: Send comments to Section 50.30 requires that all mine quality, utility, and clarity of the MSHA, Office of Standards, operators and independent contractors information to be collected; and Regulations, and Variances, 1100 working on mine property report • Minimize the burden of the Wilson Boulevard, Room 2350, employment to MSHA quarterly on collection of information on those who Arlington, VA 22209–3939. Form 7000–2, and that coal mine • are to respond, including through the Hand Delivery: MSHA, 1100 Wilson operators and independent contractors use of appropriate automated, Boulevard, Room 2350, Arlington, VA. also report coal production. electronic, mechanical, or other Sign in at the receptionist’s desk on the Accident, injury, and illness data, technological collection techniques or 21st floor. when correlated with employment and other forms of information technology, FOR FURTHER INFORMATION CONTACT: production data, provide information e.g., permitting electronic submission of Sheila McConnell, Acting Director, that allows MSHA to improve its safety responses. Office of Standards, Regulations, and and health enforcement programs, focus This information collection request is Variances, MSHA, at its education and training efforts, and available on http://www.msha.gov/regs/ [email protected] establish priorities for its technical fedreg/informationcollection/ (email); 202–693–9440 (voice); or 202– assistance activities in mine safety and informationcollection.asp. The 693–9441 (facsimile). health. Maintaining a current database information collection request will be SUPPLEMENTARY INFORMATION: allows MSHA to identify and direct available on MSHA’s Web site and on increased attention to those mines, http://www.regulations.gov. MSHA I. Background industry segments, and geographical cautions the commenter against Section 103(h) of the Federal Mine areas where hazardous trends are providing any information in the Safety and Health Act of 1977 (Mine developing. This could not be done submission that should not be publicly Act), 30 U.S.C. 813(h), authorizes effectively using historical data. The disclosed. Full comments, including MSHA to collect information necessary information collected under Part 50 is personal information provided, will be to carry out its duty in protecting the the most comprehensive and reliable made available on www.regulations.gov safety and health of miners. Further, occupational data available concerning and www.reginfo.gov. Section 101(a) of the Mine Act, 30 the mining industry. The public may also examine publicly U.S.C. 811 authorizes the Secretary to Section 103(d) of the Federal Mine available documents at MSHA, 1100 develop, promulgate, and revise as may Safety and Health Act of 1977 (Mine Wilson Boulevard, Room 2350, be appropriate, improved mandatory Act) mandates that each accident be Arlington, VA. Sign in at the health or safety standards for the investigated by the operator to receptionist’s desk on the 21st floor. protection of life and prevention of determine the cause and means of Questions about the information injuries in coal or other mines. preventing a recurrence. Records of collection requirements may be directed The reporting and recordkeeping such accidents and investigations must to the person listed in the FOR FURTHER provisions in 30 CFR part 50, be kept and made available to the INFORMATION CONTACT section of this Notification, Investigation, Reports and Secretary or his authorized notice.

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III. Current Actions http://www.msha.gov/indexes/ Mine: White Oak Mine No. 1, MSHA This request for collection of petition.htm The public may inspect the I.D. No. 11–03203, located in Hamilton information contains provisions for petitions and final decisions during County, Illinois. Mine Accident, Injury, and Illness normal business hours in MSHA’s Regulation Affected: 30 CFR Report and Quarterly Mine Employment Office of Standards, Regulations and 75.1909(b)(6) (Nonpermissible diesel- and Coal Production Report (MSHA Variances, 1100 Wilson Boulevard, powered equipment; design and Forms 7000–1 and 7000–2) 30 CFR Room 2349, Arlington, Virginia 22209. performance requirements). • Docket Number: M–2012–062–C. 50.10, 50.11, 50.20, 50.30. MSHA has All visitors must first stop at the FR Notice: 77 FR 27086 (5/8/2012). updated the data in respect to the receptionist desk on the 21st Floor to Petitioner: Signal Peak Energy, LLC, number of respondents, responses, sign-in. 100 Portal Drive, Roundup, Montana burden hours, and burden costs FOR FURTHER INFORMATION CONTACT: 59072. supporting this information collection Roslyn B. Fontaine, Office of Standards, Mine: Bull Mountain Mine No. 1, request. Regulations and Variances at 202–693– MSHA I.D. No. 24–01950, located in Type of Review: Extension, without 9475 (Voice), [email protected] (Email), or 202–693–9441 (Telefax), or Musselshell County, Montana. change, of a currently approved Regulation Affected: 30 CFR 75.500(d) Barbara Barron at 202–693–9447 collection. (Permissible electric equipment). (Voice), [email protected] Agency: Mine Safety and Health • Docket Number: M–2012–063–C. (Email), or 202–693–9441 (Telefax). Administration. FR Notice: 77 FR 27087 (5/8/2012). OMB Number: 1219–0007. [These are not toll-free numbers]. Petitioner: Sebree Mining, LLC, 2668 Affected Public: Business or other for- SUPPLEMENTARY INFORMATION: State Route 120E, Providence, Kentucky profit. I. Introduction 42450. Number of Respondents: 29,910. Mine: Sebree Mine #1, MSHA I.D. No. Frequency: On occasion. Under section 101 of the Federal Mine 15–19264, located in Webster County, Number of Responses: 132,179. Safety and Health Act of 1977, a mine Kentucky. Annual Burden Hours: 180,535 hours. operator may petition and the Secretary Regulation Affected: 30 CFR 75.1700 Annual Respondent or Recordkeeper of Labor (Secretary) may modify the (Oil and gas wells). Cost: $5,706. application of a mandatory safety • Docket Number: M–2012–072–C. MSHA Forms: MSHA Form 7000–1, standard to that mine if the Secretary FR Notice: 77 FR 27094 (5/8/2012) Mine Accident, Injury and Illness determines that: (1) An alternative Petitioner: Consolidation Coal Report; MSHA Form 7000–2, Quarterly method exists that will guarantee no Company, 1000 CONSOL Energy Drive, Mine Employment and Coal Mine less protection for the miners affected Canonsburg, Pennsylvania 15317–6506. Production Report. than that provided by the standard; or Mine: Loveridge #22 Mine, MSHA I.D. Comments submitted in response to (2) that the application of the standard No. 46–01433, located in Marion this notice will be summarized and will result in a diminution of safety to County, West Virginia. included in the request for Office of the affected miners. Regulation Affected: 30 CFR 75.503 Management and Budget approval of the MSHA bases the final decision on the (Permissible electric face equipment; information collection request; they will petitioner’s statements, any comments maintenance) and 30 CFR 18.35(a)(5)(i) also become a matter of public record. and information submitted by interested (Portable trailing cables and cords). Dated: February 21, 2014. persons, and a field investigation of the • Docket Number: M–2012–081–C. Patricia W. Silvey, conditions at the mine. In some FR Notice: 77 FR 37927 (6/25/2012). Certifying Officer. instances, MSHA may approve a Petitioner: White Oaks Resources, LLC, 121 S. Jackson Street, [FR Doc. 2014–04247 Filed 2–26–14; 8:45 am] petition for modification on the condition that the mine operator McLeansboro, Illinois 62859. BILLING CODE 4510–43–P complies with other requirements noted Mine: White Oak Mine No. 1, MSHA in the decision. Mine I.D. No. 11–03203, located in DEPARTMENT OF LABOR Hamilton County, Illinois. II. Granted Petitions for Modification Regulation Affected: 30 CFR 75.500(d) Mine Safety and Health Administration On the basis of the findings of (Permissible electric equipment). • MSHA’s investigation, and as designee Docket Number: M–2012–082–C. Affirmative Decisions on Petitions for of the Secretary, MSHA has granted or FR Notice: 77 FR 37927 (6/25/2012). Modification Granted in Whole or in partially granted the following petitions Petitioner: White Oak Resources, LLC, Part for modification: 121 S. Jackson Street, McLeansboro, • Docket Number: M–2012–002–C. Illinois 62859. AGENCY: Mine Safety and Health Mine: White Oak Mine No. 1, MSHA FR Notice: 77 FR 14427 (3/9/2012). Administration (MSHA), Labor. I.D. No. 11–03203, located in Hamilton Petitioner: Wolf Run Mining ACTION: Notice. County, Illinois. Company, 99 Edmiston Way, Regulation Affected: 30 CFR SUMMARY: Section 101(c) of the Federal Buckhannon, West Virginia 26201. 75.1002(a) (Installation of electric Mine Safety and Health Act of 1977 and Mine: Sentinel Mine, MSHA Mine I.D. equipment and conductors; 30 CFR part 44 govern the application, No. 46–04168, located in Barbour permissibility). processing, and disposition of petitions County, West Virginia. • Docket Number: M–2013–002–C. for modification. This Federal Register Regulation Affected: 30 CFR 75.1700 FR Notice: 78 FR 11231 (2/15/2013). Notice notifies the public that MSHA (Oil and gas wells). Petitioner: Wheels Coal Company, 59 has investigated and issued a final • Docket Number: M–2012–031–C. Main Street, Tremont, Pennsylvania decision on certain mine operator FR Notice: 77 FR 19723 (4/2/2012). 17981. petitions to modify a safety standard. Petitioner: White Oak Resources, LLC, Mine: No. 5 Vein Mine, MSHA I.D. ADDRESSES: Copies of the final decisions 121 S. Jackson Street, P.O. Box 339, No. 36–08679, located in Schuylkill are posted on MSHA’s Web site at McLeansboro, Illinois 62859. County, Pennsylvania.

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Regulation Affected: 30 CFR powered equipment; design and MSHA will consider only comments 75.1200(d) & (i) (Mine map). performance requirements). postmarked by the U.S. Postal Service or • Docket Number: M–2013–017–C. • Docket Number: M–2013–031–C. proof of delivery from another delivery FR Notice: 78 FR 23309 (4/18/2013). FR Notice: 78 FR 49777 (8/15/2013). service such as UPS or Federal Express Petitioner: Highland Mining Petitioner: Oak Grove Resources, LLC, on or before the deadline for comments. Company, LLC, 12312 Olive Boulevard, 8360 Taylor’s Ferry Road, Hueytown, FOR FURTHER INFORMATION CONTACT: Suite 425, St. Louis, Missouri 63141. Alabama 35023. Barbara Barron, Office of Standards, Mine: Oak Grove Mine, MSHA I.D. Mine: Highland 9 Mine, MSHA I.D. Regulations and Variances at 202–693– No. 01–00851, located in Jefferson No. 15–02709, located in Union County, 9447 (Voice), [email protected] County, Alabama. Kentucky. (Email), or 202–693–9441 (Facsimile). Regulation Affected: 30 CFR 75.1100– Regulation Affected: 30 CFR 75.507 [These are not toll-free numbers.] 3 (Condition and examination of (Power connection points). firefighting equipment). SUPPLEMENTARY INFORMATION: • Dated: February 21, 2014. Docket Number: M–2013–018–C. Patricia W. Silvey, I. Background FR Notice: 78 FR 23310 (4/18/2013). Petitioner: Gibson County Coal, LLC, Certifying Officer. Section 101(c) of the Federal Mine P.O. Box 1269, Princeton, Indiana [FR Doc. 2014–04245 Filed 2–26–14; 8:45 am] Safety and Health Act of 1977 (Mine 47670. BILLING CODE 4510–43–P Act) allows the mine operator or Mine: Gibson North Mine, MSHA I.D. representative of miners to file a No. 12–02215, located in Gibson petition to modify the application of any County, Indiana. DEPARTMENT OF LABOR mandatory safety standard to a coal or Regulation Affected: 30 CFR 75.503 other mine if the Secretary of Labor Mine Safety and Health Administration (Permissible electric face equipment; determines that: maintenance) and 30 CFR 18.35(a)(5)(i) Petitions for Modification of 1. An alternative method of achieving (Portable trailing cables and cords). the result of such standard exists which • Application of Existing Mandatory Docket Number: M–2013–020–C. Safety Standards will at all times guarantee no less than FR Notice: 78 FR 29385 (5/20/2013). the same measure of protection afforded Petitioner: Liberty Fuels Company, AGENCY: Mine Safety and Health the miners of such mine by such LLC, 4707 Highway 493, DeKalb, Administration, Labor. standard; or Mississippi 39328. ACTION: Notice. 2. That the application of such Mine: Liberty Mine, MSHA I.D. No. standard to such mine will result in a 22–00803, located in Kemper County, SUMMARY: Section 101(c) of the Federal diminution of safety to the miners in Mississippi. Mine Safety and Health Act of 1977 and such mine. Regulation Affected: 30 CFR 77.803 30 CFR Part 44 govern the application, In addition, the regulations at 30 CFR (Fail safe ground check circuits on high- processing, and disposition of petitions 44.10 and 44.11 establish the voltage resistance grounded systems). for modification. This notice is a requirements and procedures for filing • Docket Number: M–2013–021–C. summary of petitions for modification petitions for modification. FR Notice: 78 FR 35977 (6/14/2013). submitted to the Mine Safety and Health Petitioner: Peabody Energy Company, Administration (MSHA) by the parties II. Petitions for Modification 115 Grayson Lane, Eldorado, Illinois listed below to modify the application Docket Number: M–2014–001–C. 62930. of existing mandatory safety standards Petitioner: CONSOL Buchanan Mine: Wildcat Hills Underground codified in Title 30 of the Code of Mining Company, 1000 CONSOL Mine, MSHA I.D. No. 11–03156, located Federal Regulations. Energy Drive, Canonsburg, Pennsylvania in Saline County, Illinois. DATES: All comments on the petitions 15317–6506. Regulation Affected: 30 CFR must be received by the Office of Mine: Buchanan Mine #1 Mine, 75.1909(b)(6) (Nonpermissible diesel- Standards, Regulations and Variances MSHA I.D. No. 44–04856, located in powered equipment; design and on or before March 31, 2014. Buchanan County, Virginia. performance requirements). Regulation Affected: 30 CFR 75.503 • Docket Number: M–2013–023–C. ADDRESSES: You may submit your (Permissible electric face equipment; FR Notice: 78 FR 35979 (6/14/2013). comments, identified by ‘‘docket Petitioner: San Juan Coal Company, number’’ on the subject line, by any of maintenance), (18.35(a)(5)(i) (Portable P.O. Box 561, Waterflow, New Mexico the following methods: (trailing) cables and cords)). 87421. 1. Electronic Mail: zzMSHA- Modification Request: The petitioner Mine: San Juan Mine 1, MSHA I.D. [email protected]. Include the docket requests a modification of the existing No. 29–02170, located in San Juan number of the petition in the subject standard to permit maximum length of County, New Mexico. line of the message. trailing cables to be increased to 1,000 Regulation Affected: 30 CFR 75.503 2. Facsimile: 202–693–9441. feet for supplying power to mining (Permissible electric face equipment; 3. Regular Mail or Hand Delivery: machines, section ventilation fans and maintenance) and 30 CFR 18.35(a)(5)(i) MSHA, Office of Standards, Regulations roof bolters. The petitioner states that: (Portable trailing cables and cords). and Variances, 1100 Wilson Boulevard, (1) This petition will apply only to • Docket Number: M–2013–028–C. Room 2350, Arlington, Virginia 22209– trailing cables supplying three-phase, FR Notice: 78 FR 36602 (6/18/2013). 3939, Attention: George F. Triebsch, 995-volt power to mining machines and Petitioner: Brody Mining, LLC, 33207 Director, Office of Standards, trailing cables supplying three-phase, Pond Fork Rd., Wharton, West Virginia Regulations and Variances. Persons 575-volt power to roof bolters and 25208. delivering documents are required to section ventilation fans. Mine: Brody Mine No. 1, MSHA I.D. check in at the receptionist’s desk on (2) The maximum lengths of the 995- No. 46–09086, located in Boone County, the 21st floor. Individuals may inspect volt trailing cables and 575-volt trailing West Virginia. copies of the petitions and comments cables will be 1,000 feet. Regulation Affected: 30 CFR during normal business hours at the (3) The 995-volt mining machine 75.1909(b)(6) (Nonpermissible diesel- address listed above. trailing cables will not be smaller than

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2.0. The 575-volt trailing cables for workmanlike manner and in accordance Mine: BMX Mine, MSHA I.D. No. 36– section ventilation fans will not be with the instructions of the 10045, located in Greene County, smaller than No. 1 American Wire manufacturer of the splice or repair Pennsylvania. Gauge (AWG). The 575-volt trailing materials. The outer jacket of each Regulation Affected: 30 CFR 75.500(d) cables for roof bolters will not be splice or repair will be vulcanized with (Permissible electric equipment). smaller than No. 2 AWG. flame-resistant material or made with Modification Request: The petitioner (4) All circuit breakers used to protect material that has been accepted by requests a modification of the existing the 2.0 trailing cables exceeding 850 feet MSHA as flame-resistant. standard to permit an alternative in length will have instantaneous trip (13) In the event the mining methods method of compliance to allow the use units calibrated to trip at 1,500 amperes. or operating procedures cause or of battery-powered nonpermissible The trip setting of these circuit breakers contribute to the damage of any trailing surveying equipment in or inby the last will be sealed or locked, and these cable, the cable will be removed from open crosscut, including, but not circuit breakers will have permanent, service immediately and repaired or limited to, portable battery-operated legible labels. Each label will identify replaced. Additional precautions will be mine transits, total station surveying the circuit breaker as being suitable for taken to ensure that in the future, the equipment, distance meters, and data protecting 2.0 cables. This label will be cable is protected and maintained in loggers. The petitioner states that: maintained legible. safe operating condition. (1) To comply with requirements for (5) Replacement instantaneous trip (14) Permanent warning labels will be mine ventilation maps and mine maps units, used to protect 2.0 trailing cables installed and maintained on the cover(s) in 30 CFR 75.372 and 75.1200, use of will be calibrated to trip at 1,500 of the power center identifying the the most practical and accurate amperes and this setting will be sealed location of each sealed or locked short- surveying equipment is necessary. or locked. circuit protection device. These labels (2) Application of the existing (6) All circuits breaker used to protect will warn miners not to change or alter standard would result in a diminution No. 1 AWG trailing cables exceeding these short-circuit settings. of safety to the miners. Underground 750 feet in length will have (15) The petitioner’s alternative mining by its nature and size, and the instantaneous trip units calibrated to method will not be implemented until complexity of mine plans, requires that trip at 1,000 amperes. The trip setting of all miners who have been designated to accurate and precise measurements be these circuit breakers will be sealed or examine the integrity of the seals or completed in a prompt and efficient locked, will have permanent legible locks, and to verify the short-circuit manner. The petitioner proposes the labels. Each label will identify the settings and proper procedures for following as an alternative to the circuit breaker being suitable for examining trailing cables for defects and existing standard: protecting No. 1 AWG cables. This label damage, have received the elements of (a) Nonpermissible electronic will be maintained legible. training specified in Item No. 16. surveying equipment may be used. Such (7) Replacement instantaneous trip (16) Within 60 days after this nonpermissible surveying equipment units used to protect No. 1 AWG trailing proposed decision and order becomes includes portable battery-operated total cables will be calibrated to trip at 1,000 final, the proposed revisions for the station surveying equipment, mine amperes and this setting will be sealed petitioner’s approved 30 CFR part 48 transits, distance meters, and data or locked. training plan will be submitted to the loggers. (8) All circuits used to protect #2 District Manager. The training plan will AWG trailing cables exceeding 700 feet (b) All nonpermissible electronic include the following: surveying equipment to be used in or in length will have instantaneous trip (i) The mining methods and operating inby the last open crosscut will be units calibrated to trip at 800 amperes. procedures that will protect the trailing examined prior to use to ensure the The trip setting of these circuit breakers cables against damage; equipment is being maintained in a safe will be sealed or locked and will have (ii) The proper procedures for operating condition. These permanent legible labels. Each label will examining the trailing cables to ensure examinations will include the following identify the circuit breaker as being that the cables are in safe operating steps: suitable for protecting No. 2 AWG condition; cables. This label will be maintained (iii) The hazards of setting the (i) Checking the instrument for any legible. instantaneous circuit breakers too high physical damage and the integrity of the (9) Replacement instantaneous trip to adequately protect the trailing cables; case. units used to protect No. 2 AWG trailing and (ii) Removing the battery and cables will be calibrated to trip at 800 (iv) How to verify that the circuit inspecting for corrosion. amperes and this setting will be sealed interrupting device(s) protecting the (iii) Inspecting the contact points to or locked. trailing cable(s) are properly set and ensure a secure connection to the (10) During each production day, maintained. battery. persons designated by the operator will The petitioner further states that (iv) Reinserting the battery and visually examine the trailing cables to procedures specified in 30 CFR 48.3 for powering up and shutting down to ensure that the cables are in safe proposed revisions to approved training ensure proper connections. operating condition and that the plans will apply. (v) Checking the battery compartment instantaneous settings of the specially The petitioner asserts that the cover to ensure that it is securely calibrated breakers do not have seals or alternative method will guarantee no fastened. locks removed and that they do not less than the same measure of protection (c) The results of such examinations exceed the stipulated settings. for all miners afforded by the existing will be recorded and retained for one (11) Any trailing cable that is not in standard. year and made available to MSHA on safe operating conditions will be Docket Number: M–2014–002–C. request. removed from service immediately and Petitioner: Consol Pennsylvania Coal (d) A qualified person as defined in repaired or replaced. Company, LLC, Three Gateway Center, 30 CFR 75.151 will continuously (12) Each splice or repair in the Suite 1500, 401 Liberty Avenue, monitor for methane immediately before trailing cable will be made in a Pittsburgh, Pennsylvania 15222. and during the use of nonpermissible

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surveying equipment in or inby the last (2) Application of the existing trained to recognize the hazards and open crosscut. standard would result in a diminution limitations associated with the use of (e) Nonpermissible surveying of safety to the miners. Underground nonpermissible surveying equipment in equipment will not be used if methane mining, by its nature and size and the areas where methane could be present. is detected in concentrations at or above complexity of mine plans, requires that (i) The nonpermissible surveying one percent for the area being surveyed. accurate and precise measurements be equipment will not be put into service When methane is detected at such levels completed in a prompt and efficient until MSHA has initially inspected the while the nonpermissible surveying manner. The petitioner proposes the equipment and determined that it is in equipment is being used, the equipment following as an alternative to the compliance with all the terms and will be deenergized immediately and existing standard: conditions in this petition. the nonpermissible electronic (a) Nonpermissible electronic The petitioner asserts that the equipment withdrawn outby the last surveying equipment may be used. Such proposed alternative method will at all open crosscut. nonpermissible surveying equipment times guarantee no less than the same (f) All hand-held methane detectors includes portable battery-operated total measure of protection as that afforded will be MSHA-approved and station surveying equipment, mine by the existing standard. maintained in permissible and proper transits, distance meters, and data Docket Number: M–2014–004–C. operating condition as defined in 30 loggers. Petitioner: Consol Pennsylvania Coal CFR 75.320. (b) All nonpermissible electronic Company, LLC, Three Gateway Center, (g) Batteries in the surveying surveying equipment to be used in Suite 1500, 401 Liberty Avenue, equipment will be changed out or return airways will be examined by Pittsburgh, Pennsylvania 15222. charged in fresh air outby the last open surveying personnel prior to use to Mine: BMX Mine, MSHA I.D. No. 36– crosscut. ensure the equipment is being 10045, located in Greene County, (h) Qualified personnel who use maintained in a safe operating Pennsylvania. surveying equipment will be properly condition. These examinations will Regulation Affected: 30 CFR trained to recognize the hazards and include the following steps: 75.1002(a) (Installation of electric limitations associated with the use of (i) Checking the instrument for any equipment and conductors; nonpermissible surveying equipment in physical damage and the integrity of the permissibility). areas where methane could be present. case. Modification Request: The petitioner (i) The nonpermissible surveying (ii) Removing the battery and requests a modification of the existing equipment will not be put into service inspecting for corrosion. standard to permit an alternative until MSHA has initially inspected the (iii) Inspecting the contact points to method of compliance to allow the use equipment and determined that it is in ensure a secure connection to the of battery-powered nonpermissible compliance with all the terms and battery. surveying equipment within 150 feet of (iv) Reinserting the battery and conditions in this petition. longwall faces and pillar workings, powering up and shutting down to The petitioner asserts that the including, but not limited to, portable ensure proper connections. proposed alternative method will at all (v) Checking the battery compartment battery-operated mine transits, total times guarantee no less than the same cover to ensure that it is securely station surveying equipment, distance measure of protection as that afforded fastened. meters, and data loggers. The petitioner by the existing standard. (c) The results of such examinations states that: Docket Number: M–2014–003–C. will be recorded and retained for one (1) To comply with requirements for Petitioner: Consol Pennsylvania Coal year and made available to MSHA on mine ventilation maps and mine maps Company, LLC, Three Gateway Center, request. in 30 CFR 75.372, 75.1002(a), and Suite 1500, 401 Liberty Avenue, (d) A qualified person as defined in 75.1200, use of the most practical and Pittsburgh, Pennsylvania 15222. 30 CFR 75.151 will continuously accurate surveying equipment is Mine: BMX Mine, MSHA I.D. No. 36– monitor for methane immediately before necessary. To ensure the safety of the 10045, located in Greene County, and during the use of nonpermissible miners in active mines and to protect Pennsylvania. surveying equipment in return airways. miners in future mines that may mine Regulation Affected: 30 CFR 75.507– (e) Nonpermissible surveying in close proximity to these same active 1(a) (Electric equipment other than equipment will not be used if methane mines, it is necessary to determine the power-connection points; outby the last is detected in concentrations at or above exact location and extent of the mine open crosscut; return air; permissibility one percent for the area being surveyed. workings. requirements). When methane is detected at such levels (2) Application of the existing Modification Request: The petitioner while the nonpermissible surveying standard would result in a diminution requests a modification of the existing equipment is being used, the equipment of safety to the miners. Underground standard to permit an alternative will be deenergized immediately and mining by its nature and size, and the method of compliance to allow the use the nonpermissible electronic complexity of mine plans, requires that of battery-powered nonpermissible equipment withdrawn out of the return accurate and precise measurements be surveying equipment in return airways, airways. completed in a prompt and efficient including, but not limited to, portable (f) All hand-held methane detectors manner. The petitioner proposes the battery-operated mine transits, total will be MSHA-approved and following as an alternative to the station surveying equipment, distance maintained in permissible and proper existing standard: meters, and data loggers. The petitioner operating condition as defined in 30 (a) Nonpermissible electronic states that: CFR 75.320. surveying equipment may be used. Such (1) To comply with requirements for (g) Batteries in the surveying nonpermissible surveying equipment mine ventilation maps and mine maps equipment will be changed out or includes portable battery-operated total in 30 CFR 75.372 and 75.1200, use of charged in fresh air out of the return. station surveying equipment, mine the most practical and accurate (h) Qualified personnel who use transits, distance meters, and data surveying equipment is necessary. surveying equipment will be properly loggers.

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(b) All nonpermissible electronic Docket Number: M–2014–001–M. (1) The nonpermissible low-voltage or surveying equipment to be used within Petitioner: DMC Mining Services, 488 battery-powered electronic testing 150 feet of pillar workings or longwall East 6400 South, Suite 250, Murray, equipment would be limited to laptop faces will be examined prior to use to Utah 84107. computers, oscilloscopes, vibration ensure the equipment is being Mine: Tata Chemicals Mine, MSHA analysis machines, cable fault detectors, maintained in a safe operating I.D. No. 48–00155, 324 Allied Chemical infrared temperature devices, signal condition. These examinations will Road, Green River, Wyoming 82935, analyzer devices, ultrasonic measuring include the following steps: located in Sweetwater County, devices, electronic component testers, (i) Checking the instrument for any Wyoming. infrared cameras, multi-meters and physical damage and the integrity of the Regulation Affected: 30 CFR electronic megometers. case. 57.22606(a) & (c) (Explosive Materials (2) All nonpermissible low-voltage or (ii) Removing the battery and and blasting units (III mines)). battery-powered equipment to be used inspecting for corrosion. Modification Request: The petitioner in or inby the last open crosscut will be (iii) Inspecting the contact points to requests a modification of the existing examined prior to use by a competent ensure a secure connection to the standard to permit the use of person as defined in 30 CFR 57.22002 battery. nonpermissible detonators to detonate to ensure the equipment is being (iv) Reinserting the battery and explosives in the blast hole during work maintained in a safe operating powering up and shutting down to at the construction of the Tata condition. ensure proper connections. Chemicals Number 7 Ventilation Shaft. (3) A competent person as defined in (v) Checking the battery compartment The petitioner states that: 30 CFR 57.22002 will monitor for cover to ensure that it is securely (1) The construction will be for a 20- methane immediately before and during fastened. foot finished diameter ventilation shaft the use of nonpermissible low-voltage (c) The results of such examinations that will be constructed in two phases. battery-operated electronic testing and will be recorded and retained for one Phase one will include the use of a raise diagnostic equipment in or inby the last year and made available to MSHA on boring drill to complete an 8-foot open crosscut. All hand-held methane request. diameter raise. This raise will remain detectors will be MSHA-approved and (d) A qualified person as defined in intact during both phases of the project maintained in permissible and proper 30 CFR 75.151 will continuously for ventilation and material handling. operating condition as defined in 30 monitor for methane immediately before Phase two will consist of sinking CFR 22227. and during the use of nonpermissible through the shaft by slashing to 22 feet (4) Nonpermissible low-voltage or surveying equipment within 150 feet of in diameter and installing a concrete battery-operated testing or diagnostic pillar workings. liner to a final diameter of 20 feet. equipment will not be used if methane (e) Nonpermissible surveying (2) The geological ground conditions is detected in concentrations at or above equipment will not be used if methane in the Green River basin are highly one percent. When methane is detected is detected in concentrations at or above conductive and interfere with at such levels while the nonpermissible one percent for the area being surveyed. permissible electric detonators. The electronic testing and diagnostic When methane is detected at such levels ground inhibits the ability to safely equipment is being used, the equipment while the nonpermissible surveying conduct electricity to detonate a blast will be deenergized immediately and equipment is being used, the equipment round. The resultant potential for the nonpermissible electronic will be deenergized immediately and misfires and partial round detonation equipment withdrawn outby the last the nonpermissible electronic introduces a safety risk to workers and open crosscut as defined in 30 CFR equipment withdrawn further than 150 the mine. 57.22234. feet from pillar workings. (3) To mitigate the risk, only blasting (5) Production will cease except for (f) All hand-held methane detectors detonators will be nonpermissible, the time necessary to trouble shoot will be MSHA-approved and explosives will be permissible, and under actual mining conditions. maintained in permissible and proper rounds will be in either four or eight (6) All low-voltage and battery- operating condition as defined in 30 foot lifts. operated electronic and diagnostic CFR 75.320. The petitioner asserts that the equipment will be used in accordance (g) Batteries in the surveying proposed alternative method will at all with the manufacturer’s recommended equipment will be changed out or times guarantee no less than the same safe use procedures. charged in fresh air more than 150 feet measure or protection afforded by the (7) Competent personnel engaged in from pillar workings. existing standard. the use of nonpermissible low-voltage or (h) Qualified personnel who use Docket Number: M–2014–002–M. battery-operated testing and diagnostic surveying equipment will be properly Petitioner: FMC Minerals, 580 equipment will be properly trained to trained to recognize the hazards and Westvaco Road, Box 872, Green River, recognize the hazards and limitations limitations associated with the use of Wyoming 82935. associated with the use of nonpermissible surveying equipment in Mine: Westvaco Underground Trona nonpermissible testing and diagnostic areas where methane could be present. Mine, MSHA I.D. No. 48–00152, located equipment in areas where methane (i) The nonpermissible surveying in Sweetwater County, Wyoming. could be present. equipment will not be put into service Regulation Affected: 30 CFR 57.22305 The petitioner further states that the until MSHA has initially inspected the (Approved equipment (III Mines)). nonpermissible equipment will be used equipment and determined that it is in Modification Request: The petitioner in preventive maintenance to monitor compliance with all the terms and requests a modification of the existing machine condition to detect problems conditions in this petition. standard to allow the use of low-voltage before failure occurs so that it can be The petitioner asserts that the or battery-powered nonpermissible repaired at a predetermined time and proposed alternative method will at all electronic testing and diagnostic place to minimize the risk to miners. times guarantee no less than the same equipment in or inby the last open The nonpermissible equipment will also measure of protection as that afforded crosscut in the Westvaco Underground be used to diagnose equipment failures by the existing standard. Trona Mine. The petitioner states that: without having to move failed

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equipment with other equipment outby service such as UPS or Federal Express (gangway), which is regularly traveled the last open crosscut minimizing the on or before the deadline for comments. and examined. risk to miners. FOR FURTHER INFORMATION CONTACT: (3) The use of drags on less than The petitioner asserts that the Barbara Barron, Office of Standards, moderate pitching veins (less than 20 proposed alternative method will at all Regulations and Variances at 202–693– degree pitch) is the only practical times guarantee no less than the same 9447 (Voice), [email protected] system of mining in use. measure or protection afforded by the (Email), or 202–693–9441 (Facsimile). (4) Permissible drags are not existing standard. [These are not toll-free numbers.] commercially available, and due in part to their small size, permissible Dated: February 21, 2014. SUPPLEMENTARY INFORMATION: locomotives are not commercially Patricia W. Silvey, I. Background available. Certifying Officer. Section 101(c) of the Federal Mine (5) As a result of low daily production [FR Doc. 2014–04244 Filed 2–26–14; 8:45 am] Safety and Health Act of 1977 (Mine rates and full timbering support, in- BILLING CODE 4510–43–P Act) allows the mine operator or rushes of methane due to massive pillar representative of miners to file a falls are unlikely to occur. (6) Recovery of the pillars above the DEPARTMENT OF LABOR petition to modify the application of any mandatory safety standard to a coal or first miner heading is usually accomplished on the advance within Mine Safety and Health Administration other mine if the Secretary of Labor determines that: 150 feet of the section intake (gangway) Petitions for Modification of 1. An alternative method of achieving and the remaining minable pillars are Application of Existing Mandatory the result of such standard exists which recovered from the deepest point of Safety Standards will at all times guarantee no less than penetration outby. the same measure of protection afforded (7) The 5,000 cubic feet per minute of AGENCY: Mine Safety and Health the miners of such mine by such required intake air flow is measured just Administration, Labor. standard; or outby the nonpermissible equipment ACTION: Notice. 2. That the application of such with the ventilating air passing over the standard to such mine will result in a equipment to ventilate the pillar being SUMMARY: Section 101(c) of the Federal diminution of safety to the miners in mined. Mine Safety and Health Act of 1977 and such mine. (8) The electrical equipment is 30 CFR Part 44 govern the application, In addition, the regulations at 30 CFR attended during operation, and either processing, and disposition of petitions 44.10 and 44.11 establish the power to the unit is deenergized at the for modification. This notice is a requirements and procedures for filing intersection of the working gangway and summary of petitions for modification petitions for modification. intake slope or the equipment is moved submitted to the Mine Safety and Health to that area when production ceases, Administration (MSHA) by the parties II. Petitions for Modification minimizing any ignition potential from listed below to modify the application Docket Number: M–2013–056–C. the pillar recovery area. of existing mandatory safety standards Petitioner: Kimmel Mining, Inc., P.O. (9) Where more than one active line codified in Title 30 of the Code of Box 8, Williamstown, Pennsylvania of pillar breast recovery exists, the Federal Regulations. 17098. locomotive may travel to a point just Mine: Williamstown Mine #1, MSHA DATES: All comments on the petitions outby the deepest active chute/breast I.D. No. 36–09435, located in Schuylkill must be received by the Office of (room) workings or last open crosscut in County, Pennsylvania. Standards, Regulations and Variances a developing set of entries. Regulation Affected: 30 CFR on or before March 31, 2014. The petitioner asserts that the 75.1002(a) (Installation of electric proposed alternative method will at all ADDRESSES: You may submit your equipment and conductors; times guarantee no less than the same comments, identified by ‘‘docket permissibility). measure of protection as that afforded number’’ on the subject line, by any of Modification Request: The petitioner by the existing standard. the following methods: requests a modification of the existing Docket Number: M–2013–057–C. 1. Electronic Mail: zzMSHA- standard to permit the use of Petitioner: Kimmel Mining, Inc., P.O. [email protected]. Include the docket nonpermissible electronic equipment Box 8, Williamstown, Pennsylvania number of the petition in the subject within 150 feet of pillar workings to 17098. line of the message. include drags and battery locomotives. Mine: Williamstown Mine #1, MSHA 2. Facsimile: 202–693–9441. The petitioner asserts that the request is I.D. No. 36–09435, located in Schuylkill 3. Regular Mail or Hand Delivery: due in part to the method of mining County, Pennsylvania. MSHA, Office of Standards, Regulations used in pitching anthracite mines and Regulation Affected: 30 CFR 75.1100– and Variances, 1100 Wilson Boulevard, the alternative evaluation of mine air 2(a) (2) (Quantity and location of Room 2350, Arlington, Virginia 22209– quality for methane will be conducted firefighting equipment). 3939, Attention: Sheila McConnell, on an hourly basis during operation, Modification Request: The petitioner Acting Director, Office of Standards, with one of the gas tests results recorded requests a modification of the existing Regulations and Variances. Persons in the on-shift examination record. The standard to permit the use of only delivering documents are required to petitioner states that: portable fire extinguishers where the check in at the receptionist’s desk on (1) Equipment operation will be use of rock dust, water cars, and other the 21st floor. Individuals may inspect suspended any time methane water storage equipped with three 10- copies of the petitions and comments concentration at the equipment reaches quart pails required by the standard is during normal business hours at the 0.5 percent methane either during not practical. The petitioner states that: address listed above. operation or when found during a pre- (1) Equipping its small anthracite MSHA will consider only comments shift examination. mine with two portable fire postmarked by the U.S. Postal Service or (2) The equipment will be operated in extinguishers near the slope bottom and proof of delivery from another delivery the working section’s only intake entry an additional portable fire extinguisher

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within 500 feet of the working face will veins and proximity to other mine whenever either a drilling program provide equivalent fire protection. workings, which fluctuate considerably. under § 75.388 or a plan for mining into (2) Anthracite coal is low in volatile (3) The vast majority of current inaccessible areas under § 75.389 is matter and dust is not explosive. underground anthracite mining involves required. The petitioner states that: (3) The working section is at or below either second mining of remnant pillars (1) The low production and slow rate mine pool elevation, with frequent from previous mining or the mining of of advance in anthracite mining make pumping is required to de-water the veins of lower quality in proximity to surveying on 6-month intervals work area. inaccessible and frequently flooded impractical. In most cases annual (4) All up-pitch workings of moderate abandoned mine workings that may or development is frequently limited to to steep pitch are accessed only through may not be mapped. less than 500 feet of gangway advance ladders making the carrying of water in (4) All mapping for mines above and with associated up-pitch development. pails impractical. below is researched by the petitioner’s (2) The vast majority of small (5) Electric face equipment is contract engineer for the presence of anthracite mines are non-mechanized nonexistent in this hand-loading interconnecting rock tunnels between and use hand-loading mining methods. anthracite mine and only air-operated veins in relation to the mine, and a (3) Development above the active equipment is used in or inby the last hazard analysis is done when mapping gangway is designed to mine into the open crosscut. indicates the presence of known or level above at designated intervals (6) The history of underground potentially flooded workings. thereby maintaining sufficient control anthracite mines shows that fires (5) When no rock tunnel connections between both surveyed gangways. occurring in the working faces are are found, mine workings that exist (4) The available engineering/ nonexistent in recent years due to beyond 100 feet from the mine, are surveyor resources are limited in the improved explosives and low volatile recognized as presenting no hazard to anthracite coal fields and surveying on matter in anthracite coal. the mine due to the pitch of the vein an annual basis is difficult to achieve (7) This anthracite mine produces far and rock separation. with four individual contractors less than the 300 ton per shift criteria (6) Additionally, the mine workings currently available. using the hand-loading method. above and below are usually inactive The petitioner asserts that the proposed alternative method will (8) Belt conveyor haulage is not used and abandoned and, therefore, are not provide no less than the same measure in this underground mine for section/ subject to changes during the life of the of protection afforded the miners under main haulage, minimizing fire potential. mine. (7) Where evidence indicates prior the existing standard. The petitioner asserts that the mining was conducted on a vein above Docket Number: M–2013–060–C. proposed alternative method will or below and research exhausts the Petitioner: Kimmel Mining, Inc., P.O. provide no less than the same measure availability of mine mapping, the vein Box 8, Williamstown, Pennsylvania of protection afforded the miners under will be considered mined and flooded 17098. the existing standard. and appropriate precautions will be Mine: Williamstown Mine #1, MSHA Docket Number: M–2013–058–C. taken through § 75.388, which addresses I.D. No. 36–09435, located in Schuylkill Petitioner: Kimmel Mining, Inc., P.O. drilling boreholes in advance of mining, County, Pennsylvania. Box 8, Williamstown, Pennsylvania where possible. Regulation Affected: 30 CFR 75.1400 17098. (8) Where potential hazards exist and (Hoisting equipment; general). Mine: Williamstown Mine #1, MSHA in-mine drilling capabilities limit Modification Request: The petitioner I.D. No. 36–09435, located in Schuylkill penetration, surface boreholes may be seeks to permit the use of a slope County, Pennsylvania. used to intercept the workings and the conveyance (gunboat) to transport Regulation Affected: 30 CFR results analyzed prior to beginning persons without safety catches or other 75.1200(d) & (i) (Mine maps). mining in the affected area. no less effective devices but instead use Modification Request: The petitioner The petitioner asserts that the an increased rope strength/safety factor requests a modification of the existing proposed alternative method will and secondary safety rope connection in standard to permit the use of cross- provide no less than the same measure place of such devices. The petitioner sections in lieu of contour lines on mine of protection afforded the miners under states that: maps through the intake slope, at the existing standard. (1) The haulage slope of this mine is locations of rock tunnel connections Docket Number: M–2013–059–C. typical of those in the anthracite region, between veins, and at 1,000 feet Petitioner: Kimmel Mining, Inc., P.O. having a relatively high angle and intervals of advance from the intake Box 8, Williamstown, Pennsylvania frequently changing pitches. slope. In addition, the petitioner 17098. (2) A functional safety catch capable proposes to limit the required mapping Mine: Williamstown Mine #1, MSHA of working in slopes with knuckles and of mine workings above and below to I.D. No. 36–09435, located in Schuylkill curves is not commercially available. If those present within 100 feet of the County, Pennsylvania. a makeshift device is installed, it could vein(s) being mined unless the veins are Regulation Affected: 30 CFR 75.1202– activate on knuckles or curves when no interconnected to other veins beyond 1(a) (Temporary notations, revisions and emergency existed. The activation of a the 100 feet limit through rock tunnels. supplements). safety catch could damage the haulage The petitioner states that: Modification Request: The petitioner system and subject persons being (1) Due to the steep pitch encountered requests a modification of the existing transported to hazards such as being in mining anthracite coal veins, standard to permit the interval of survey battered about within the conveyance. contours provide no useful information to be established on an annual basis (3) A safer alternative is to provide and their presence would make portions from the initial survey in lieu of every secondary safety connections securely of the map illegible. 6 months as required. The petitioner fastened around the gunboat and to the (2) The use of cross-sections in lieu of proposes to continue to update the mine hoisting rope above the main connecting contour lines has been practiced since map by hand notations on a daily basis, device. Additionally, the petitioner will the late 1800’s and provides critical and conduct subsequent surveys prior to use hoisting ropes having a factor of information about spacing between commencing retreat mining and safety greater than recommended in the

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American Standards Specifications for Dated: February 21, 2014. and suggestions should address one or the Use of Wire Rope in Mines or at Patricia W. Silvey, more of the following points: (a) least three times greater than the Certifying Officer. Whether the proposed information strength required under § 75.1431(a). [FR Doc. 2014–04243 Filed 2–26–14; 8:45 am] collections are necessary for the proper (4) Furthermore, the slope and BILLING CODE 4510–43–P performance of the functions of NARA; haulage system at this mine are (b) the accuracy of NARA’s estimate of essentially the same as those for which the burden of the proposed information petitions granting the use of the collections; (c) ways to enhance the NATIONAL ARCHIVES AND RECORDS alternative suggestion have been quality, utility, and clarity of the ADMINISTRATION approved since 1973. information to be collected; and (d) The petitioner asserts that the [NARA–2014–016] ways to minimize the burden of the proposed alternative method will collection of information on provide no less than the same measure Agency Information Collection respondents, including the use of of protection afforded the miners under Activities: Proposed Collection; information technology; and (e) whether the existing standard. Comment Request small businesses are affected by these Docket Number: M–2013–061–C. collections. The comments that are AGENCY: National Archives and Records Petitioner: S & J Coal Mine, Inc., 15 submitted will be summarized and Administration (NARA). Motter Drive, Pine Grove, Pennsylvania included in the NARA request for Office 17963. ACTION: Information collection notice. of Management and Budget (OMB) Mine: Slope #2 Mine, MSHA I.D. No. approval. All comments will become a 36–09963, located in Schuylkill County, SUMMARY: NARA is giving public notice that the agency proposes to request matter of public record. In this notice, Pennsylvania. NARA is soliciting comments Regulation Affected: 30 CFR 75.1400 extension of two currently approved information collections. The first is an concerning the following information (Hoisting equipment; general). collection: Modification Request: The petitioner application that is submitted to a 1. Title: Application and Permit for seeks to permit the use of a slope Presidential library to request the use of Use of Space in Presidential Library and conveyance (gunboat) to transport space in the library for a privately sponsored activity. The second is a Grounds. persons without safety catches or other OMB number: 3095–0024. voluntary survey of visitors to the no less effective devices but instead use Agency form number: NA Form public vaults, which is part of the an increased rope strength/safety factor 16011. and secondary safety rope connection in National Archives Experience in Type of review: Regular. place of such devices. The petitioner Washington, DC. The information will Affected public: Private organizations. states that: be used to determine how the various Estimated number of respondents: (1) The haulage slope of this mine is components of the public vaults affect 1,000. typical of those in the anthracite region, visitors’ level of satisfaction with the Estimated time per response: 20 having a relatively high angle and public vaults and how effectively the minutes. frequently changing pitches. venue communicates that records Frequency of response: On occasion. (2) A functional safety catch capable matter. The information will support Estimated total annual burden hours: of working in slopes with knuckles and adjustments in this offering that will 333 hours. curves is not commercially available. If improve the overall visitor experience. Abstract: The information collection a makeshift device is installed, it could The public is invited to comment on the is prescribed by 36 CFR 1280.94. The activate on knuckles or curves when no proposed information collection application is submitted to a emergency existed. The activation of a pursuant to the Paperwork Reduction Presidential library to request the use of safety catch could damage the haulage Act of 1995. space in the library for a privately system and subject persons being DATES: Written comments must be sponsored activity. NARA uses the transported to hazards such as being received on or before April 28, 2014 to information to determine whether use battered about within the conveyance. be assured of consideration. will meet the criteria in 36 CFR 1280.94 (3) A safer alternative is to provide ADDRESSES: Comments should be sent and to schedule the date. secondary safety connections securely to: Paperwork Reduction Act Comments 2.Title: National Archives Public fastened around the gunboat and to the (ISSD), Room 4400, National Archives Vaults Survey. hoisting rope above the main connecting and Records Administration, 8601 OMB number: 3095–0062 device. Additionally, the petitioner will Adelphi Rd., College Park, MD 20740– (reinstatement of previously approved use hoisting ropes having a factor of 6001; or faxed to 301–713–7409; or information collection). safety greater than recommended in the electronically mailed to Agency form number: N/A. American Standards Specifications for [email protected]. Type of review: Regular. the Use of Wire Rope in Mines or at Affected public: Individuals who visit least three times greater than the FOR FURTHER INFORMATION CONTACT: the Public Vaults in Washington, DC. strength required under § 75.1431(a). Requests for additional information or Estimated number of respondents: (4) Furthermore, the slope and copies of the proposed information 1,050. haulage system at this mine are collection and supporting statement Estimated time per response: 10 essentially the same as those for which should be directed to Tamee Fechhelm minutes. petitions granting the use of the at telephone number 301–837–1694, or Frequency of response: On occasion alternative suggestion have been fax number 301–713–7409. (when an individual visits the Public approved since 1973. SUPPLEMENTARY INFORMATION: Pursuant Vaults in Washington, DC). The petitioner asserts that the to the Paperwork Reduction Act of 1995 Estimated total annual burden hours: proposed alternative method will (Pub. L. 104–13), NARA invites the 175 hours. provide no less than the same measure general public and other Federal Abstract: The information collection of protection afforded the miners under agencies to comment on proposed is prescribed by EO 12862 issued the existing standard. information collections. The comments September 11, 1993, which requires

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Federal agencies to survey their Description of Permit Modification access to SUNSI is necessary to respond customers concerning customer service. Requested: The Foundation issued a to this notice must request document The general purpose of this voluntary permit (ACA 2013–013) to Celia Lang on access by March 10, 2014. data collection is to measure customer August 20, 2012. The issued permit ADDRESSES: You may submit comment satisfaction with the Public Vaults and allows the applicant to enter Ross Sea by any of the following methods (unless identify additional opportunities for Region protected areas for the purpose this document describes a different improving the customers’ experience. of education and outreach activities. method for submitting comments on a Dated: February 19, 2014. The applicant proposes a specific subject): modification to his permit to add ASPA • Michael L. Wash, Federal rulemaking Web site: Go to 172 Blood Falls. This ASPA did not Executive for Information Services/CIO. http://www.regulations.gov and search exist when the permit was issued. All for Docket ID NRC–2014–0029. Address [FR Doc. 2014–04306 Filed 2–26–14; 8:45 am] activities would be as described in the questions about NRC dockets to Carol BILLING CODE 7515–01–P original permit. Gallagher; telephone: 301–287–3422; Location: ASPA 172 Blood Falls. email: [email protected]. Dates: March 10, 2014 to August 31, • Mail comments to: Cindy Bladey, NATIONAL SCIENCE FOUNDATION 2017. Chief, Rules, Announcements, and Nadene G. Kennedy, Directives Branch (RADB), Office of Notice of Permit Modification Received Administration, Mail Stop: 3WFN–06– Under the Antarctic Conservation Act Polar Coordination Specialist, Division of Polar Programs. A44MP, U.S. Nuclear Regulatory of 1978 (Pub. L. 95–541) [FR Doc. 2014–04292 Filed 2–26–14; 8:45 am] Commission, Washington, DC 20555– 0001. AGENCY: National Science Foundation. BILLING CODE 7555–01–P For additional direction on accessing ACTION: Notice of Permit Modification information and submitting comments, Request Received under the Antarctic see ‘‘Accessing Information and NUCLEAR REGULATORY Conservation Act of 1978, Public Law Submitting Comments’’ in the COMMISSION 95–541. SUPPLEMENTARY INFORMATION section of [NRC–2014–0029] SUMMARY: The National Science this document. SUPPLEMENTARY INFORMATION: Foundation (NSF) is required to publish Applications and Amendments to a notice of requests to modify permits Facility Operating Licenses and I. Accessing Information and issued to conduct activities regulated Combined Licenses Involving Submitting Comments under the Antarctic Conservation Act of Proposed No Significant Hazards A. Accessing Information 1978. NSF has published regulations Considerations and Containing under the Antarctic Conservation Act at Sensitive Unclassified Non-Safeguards Please refer to Docket ID NRC–2014– Title 45 Part 670 of the Code of Federal Information and Order Imposing 0029 when contacting the NRC about Regulations. This is the required notice Procedures for Access to Sensitive the availability of information regarding of a requested permit modification. Unclassified Non-Safeguards this document. You may access DATES: Interested parties are invited to Information publicly-available information related to submit written data, comments, or this action by the following methods: views with respect to this permit AGENCY: Nuclear Regulatory • Federal Rulemaking Web site: Go to application by March 31, 2014. Permit Commission. http://www.regulations.gov and search applications may be inspected by ACTION: License amendment request; for Docket ID NRC–2014–0029. interested parties at the Permit Office, opportunity to comment, request a • NRC’s Agencywide Documents address below. hearing, and petition for leave to Access and Management System ADDRESSES: Comments should be intervene; order. (ADAMS): You may access publicly available documents online in the NRC addressed to Permit Office, Room 755, SUMMARY: The U.S. Nuclear Regulatory Division of Polar Programs, National Library at http://www.nrc.gov/reading- Commission (NRC) received and is rm/adams.html. To begin the search, Science Foundation, 4201 Wilson considering approval of six amendment Boulevard, Arlington, Virginia 22230. select ‘‘ADAMS Public Documents’’ and requests. The amendment requests are then select ‘‘Begin Web-based ADAMS FOR FURTHER INFORMATION CONTACT: for Palo Verde Nuclear Generating Search.’’ For problems with ADAMS, Polly A. Penhale, ACA Permit Officer, at Station, Units 1, 2, and 3; Catawba please contact the NRC’s Public the above address or ACApermits@ Nuclear Station, Units 1 and 2; McGuire Document Room (PDR) reference staff at nsf.gov or (703) 292–7420. Nuclear Station, Units 1 and 2; Indian 1–800–397–4209, 301–415–4737, or by SUPPLEMENTARY INFORMATION: The Point Nuclear Generating, Units 1, 2, email to [email protected]. The National Science Foundation, as and 3; Palisades Nuclear Plant; and ADAMS accession number for each directed by the Antarctic Conservation Vermont Yankee Nuclear Power Station. document referenced in this notice (if Act of 1978 (Pub. L. 95–541), as For each amendment request, the NRC that document is available in ADAMS) amended by the Antarctic Science, proposes to determine that they involve is provided the first time that a Tourism and Conservation Act of 1996, no significant hazards consideration. In document is referenced. has developed regulations for the addition, each amendment request • NRC’s PDR: You may examine and establishment of a permit system for contains sensitive unclassified non- purchase copies of public documents at various activities in Antarctica and safeguards information (SUNSI). the NRC’s PDR, Room O1–F21, One designation of certain animals and DATES: Comments must be filed by White Flint North, 11555 Rockville certain geographic areas a requiring March 31, 2014. A request for a hearing Pike, Rockville, Maryland, 20852. special protection. The regulations must be filed by April 28, 2014. Any establish such a permit system to potential party, as defined in § 2.4 of B. Submitting Comments designate Antarctic Specially Protected Title 10 of the Code of Federal Please include Docket ID NRC–2014– Areas. Regulations (10 CFR), who believes 0029 in the subject line of your

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comment submission, in order to ensure accident previously evaluated, or (3) rule on the request and/or petition; and that the NRC is able to make your involve a significant reduction in a the Secretary or the Chief comment submission available to the margin of safety. The basis for this Administrative Judge of the Atomic public in this docket. proposed determination for each Safety and Licensing Board will issue a The NRC cautions you not to include amendment request is shown below. notice of a hearing or an appropriate identifying or contact information that The Commission is seeking public order. you do not want to be publicly comments on this proposed As required by 10 CFR 2.309, a disclosed in your comment submission. determination. Any comments received petition for leave to intervene shall set The NRC posts all comment within 30 days after the date of forth with particularity the interest of submissions at http:// publication of this notice will be the petitioner in the proceeding, and www.regulations.gov as well as entering considered in making any final how that interest may be affected by the the comment submissions into ADAMS. determination. results of the proceeding. The petition The NRC does not routinely edit Normally, the Commission will not should specifically explain the reasons comment submissions to remove issue the amendment until the why intervention should be permitted identifying or contact information. expiration of 60 days after the date of with particular reference to the If you are requesting or aggregating publication of this notice. The following general requirements: (1) The comments from other persons for Commission may issue the license name, address, and telephone number of submission to the NRC, then you should amendment before expiration of the 60- the requestor or petitioner; (2) the inform those persons not to include day period provided that its final nature of the requestor’s/petitioner’s identifying or contact information that determination is that the amendment right under the Act to be made a party they do not want to be publicly involves no significant hazards to the proceeding; (3) the nature and disclosed in their comment submission. consideration. In addition, the extent of the requestor’s/petitioner’s Your request should state that the NRC Commission may issue the amendment property, financial, or other interest in does not routinely edit comment prior to the expiration of the 30-day the proceeding; and (4) the possible submissions to remove such information comment period should circumstances effect of any decision or order which before making the comment change during the 30-day comment may be entered in the proceeding on the submissions available to the public or period such that failure to act in a requestor’s/petitioner’s interest. The entering the comment submissions into timely way would result, for example in petition must also set forth the specific ADAMS. derating or shutdown of the facility. contentions which the requestor/ Should the Commission take action petitioner seeks to have litigated at the II. Background prior to the expiration of either the proceeding. Pursuant to Section 189a.(2) of the comment period or the notice period, it Each contention must consist of a Atomic Energy Act of 1954, as amended will publish in the Federal Register a specific statement of the issue of law or (the Act), the NRC is publishing this notice of issuance. Should the fact to be raised or controverted. In notice. The Act requires the Commission make a final No Significant addition, the requestor/petitioner shall Commission to publish notice of any Hazards Consideration Determination, provide a brief explanation of the bases amendments issued, or proposed to be any hearing will take place after for the contention and a concise issued and grants the Commission the issuance. The Commission expects that statement of the alleged facts or expert authority to issue and make the need to take this action will occur opinion which support the contention immediately effective any amendment very infrequently. and on which the requestor/petitioner to an operating license or combined Within 60 days after the date of intends to rely in proving the contention license, as applicable, upon a publication of this notice, any person(s) at the hearing. The requestor/petitioner determination by the Commission that whose interest may be affected by this must also provide references to those such amendment involves no significant action may file a request for a hearing specific sources and documents of hazards consideration, notwithstanding and a petition to intervene with respect which the petitioner is aware and on the pendency before the Commission of to issuance of the amendment to the which the requestor/petitioner intends a request for a hearing from any person. subject facility operating license or to rely to establish those facts or expert This notice includes notices of combined license. Requests for a opinion. The petition must include amendments containing SUNSI. hearing and petitions for leave to sufficient information to show that a intervene shall be filed in accordance genuine dispute exists with the Notice of Consideration of Issuance of with the Commission’s ‘‘Agency Rules applicant on a material issue of law or Amendments to Facility Operating of Practice and Procedure’’ in 10 CFR fact. Contentions shall be limited to Licenses and Combined Licenses, Part 2. Interested person(s) should matters within the scope of the Proposed No Significant Hazards consult a current copy of 10 CFR 2.309, amendment under consideration. The Consideration Determination, and which is available at the NRC’s PDR, contention must be one which, if Opportunity for a Hearing located at One White Flint North, Room proven, would entitle the requestor/ The Commission has made a O1–F21, 11555 Rockville Pike (first petitioner to relief. A requestor/ proposed determination that the floor), Rockville, Maryland 20852. The petitioner who fails to satisfy these following amendment requests involve NRC’s regulations are accessible requirements with respect to at least one no significant hazards consideration. electronically from the NRC Library on contention will not be permitted to Under the Commission’s regulations in the NRC’s Web site at http:// participate as a party. 10 CFR 50.92, this means that operation www.nrc.gov/reading-rm/doc- Those permitted to intervene become of the facility in accordance with the collections/cfr/. If a request for a hearing parties to the proceeding, subject to any proposed amendment would not (1) or petition for leave to intervene is filed limitations in the order granting leave to involve a significant increase in the within 60 days, the Commission or a intervene, and have the opportunity to probability or consequences of an presiding officer designated by the participate fully in the conduct of the accident previously evaluated, or (2) Commission or by the Chief hearing. create the possibility of a new or Administrative Judge of the Atomic If a hearing is requested, and the different kind of accident from any Safety and Licensing Board Panel, will Commission has not made a final

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determination on the issue of no apply-certificates.html. System system may seek assistance by significant hazards consideration, the requirements for accessing the E- contacting the NRC Meta System Help Commission will make a final Submittal server are detailed in the Desk through the ‘‘Contact Us’’ link determination on the issue of no NRC’s ‘‘Guidance for Electronic located on the NRC’s Web site at significant hazards consideration. The Submission,’’ which is available on the http://www.nrc.gov/site-help/e- final determination will serve to decide agency’s public Web site at http:// submittals.html, by email at when the hearing is held. If the final www.nrc.gov/site-help/e- [email protected], or by a toll- determination is that the amendment submittals.html. Participants may free call at 1–866–672–7640. The NRC request involves no significant hazards attempt to use other software not listed Meta System Help Desk is available consideration, the Commission may on the Web site, but should note that the between 8 a.m. and 8 p.m., Eastern issue the amendment and make it NRC E-Filing system does not support Time, Monday through Friday, immediately effective, notwithstanding unlisted software, and the NRC Meta excluding government holidays. the request for a hearing. Any hearing System Help Desk will not be able to Participants who believe that they held would take place after issuance of offer assistance in using unlisted have a good cause for not submitting the amendment. If the final software. documents electronically must file an determination is that the amendment If a participant is electronically exemption request, in accordance with request involves a significant hazards submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper consideration, then any hearing held accordance with the E-Filing rule, the filing requesting authorization to would take place before the issuance of participant must file the document continue to submit documents in paper any amendment. using the NRC’s online, Web-based format. Such filings must be submitted All documents filed in NRC submission form. In order to serve by: (1) First class mail addressed to the adjudicatory proceedings, including a documents through the Electronic Office of the Secretary of the request for hearing, a petition for leave Information Exchange System, users Commission, U.S. Nuclear Regulatory to intervene, any motion or other will be required to install a Web Commission, Washington, DC 20555– document filed in the proceeding prior browser plug-in from the NRC’s Web 0001, Attention: Rulemaking and to the submission of a request for site. Further information on the Web- Adjudications Staff; or (2) courier, hearing or petition to intervene, and based submission form, including the express mail, or expedited delivery documents filed by interested installation of the Web browser plug-in, service to the Office of the Secretary, governmental entities participating is available on the NRC’s public Web Sixteenth Floor, One White Flint North, under 10 CFR 2.315(c), must be filed in site at http://www.nrc.gov/site-help/e- 11555 Rockville Pike, Rockville, accordance with the NRC’s E-Filing rule submittals.html. Maryland, 20852, Attention: (72 FR 49139; August 28, 2007). The E- Once a participant has obtained a Rulemaking and Adjudications Staff. Filing process requires participants to digital ID certificate and a docket has Participants filing a document in this submit and serve all adjudicatory been created, the participant can then manner are responsible for serving the documents over the internet, or in some submit a request for hearing or petition document on all other participants. cases to mail copies on electronic for leave to intervene. Submissions Filing is considered complete by first- storage media. Participants may not should be in Portable Document Format class mail as of the time of deposit in submit paper copies of their filings (PDF) in accordance with the NRC the mail, or by courier, express mail, or unless they seek an exemption in guidance available on the NRC’s public expedited delivery service upon accordance with the procedures Web site at http://www.nrc.gov/site- depositing the document with the described below. help/e-submittals.html. A filing is provider of the service. A presiding To comply with the procedural considered complete at the time the officer, having granted an exemption requirements of E-Filing, at least 10 documents are submitted through the request from using E-Filing, may require days prior to the filing deadline, the NRC E-Filing system. To be timely, an a participant or party to use E-Filing if participant should contact the Office of electronic filing must be submitted to the presiding officer subsequently the Secretary by email at the E-Filing system no later than 11:59 determines that the reason for granting [email protected], or by telephone p.m. Eastern Time on the due date. the exemption from use of E-Filing no at 301–415–1677, to request (1) a digital Upon receipt of a transmission, the E- longer exists. identification (ID) certificate, which Filing system time-stamps the document Documents submitted in adjudicatory allows the participant (or its counsel or and sends the submitter an email notice proceedings will appear in the NRC’s representative) to digitally sign confirming receipt of the document. The electronic hearing docket which is documents and access the E-Submittal E-Filing system also distributes an email available to the public at http:// server for any proceeding in which it is notice that provides access to the ehd1.nrc.gov/ehd/, unless excluded participating; and (2) advise the document to the NRC’s Office of the pursuant to an order of the Commission, Secretary that the participant will be General Counsel and any others who or the presiding officer. Participants are submitting a request or petition for have advised the Office of the Secretary requested not to include personal hearing (even in instances in which the that they wish to participate in the privacy information, such as social participant, or its counsel or proceeding, so that the filer need not security numbers, home addresses, or representative, already holds an NRC- serve the documents on those home phone numbers in their filings, issued digital ID certificate). Based upon participants separately. Therefore, unless an NRC regulation or other law this information, the Secretary will applicants and other participants (or requires submission of such establish an electronic docket for the their counsel or representative) must information. However, a request to hearing in this proceeding if the apply for and receive a digital ID intervene will require including Secretary has not already established an certificate before a hearing request/ information on local residence in order electronic docket. petition to intervene is filed so that they to demonstrate a proximity assertion of Information about applying for a can obtain access to the document via interest in the proceeding. With respect digital ID certificate is available on the the E-Filing system. to copyrighted works, except for limited NRC’s public Web site at http:// A person filing electronically using excerpts that serve the purpose of the www.nrc.gov/site-help/e-submittals/ the agency’s adjudicatory E-Filing adjudicatory filings and would

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constitute a Fair Use application, on possible amendments adopting analysis presented in the Topical Report participants are requested not to include TSTF–486, Revision 2, including a determined that the EOC MTC will be within copyrighted materials in their model safety evaluation and model no limits if the BOC measured MTC values are submission. significant hazards consideration within a given tolerance of the measured Petitions for leave to intervene must (NSHC) determination, using the values. Therefore, the EOC MTC will be filed no later than 60 days from the continue to be within limits and the consolidated line item improvement consequences of accidents will continue to date of publication of this notice. process (CLIIP). The NRC staff be as previously evaluated. Therefore, the Requests for hearing, petitions for leave subsequently issued a notice of consequences of an accident previously to intervene, and motions for leave to availability of the models for referencing evaluated are not significantly increased by file new or amended contentions that in license amendment applications in this change. are filed after the 60-day deadline will the Federal Register on September 6, Based on the above, the proposed not be entertained absent a 2007 (72 FR 51259). The licensee amendment does not involve a significant determination by the presiding officer affirmed the applicability of the model increase in the probability or consequences that the filing demonstrates good cause NSHC determination in its application of an accident previously evaluated. by satisfying the three factors in 10 CFR 2. Do the proposed changes create the dated November 20, 2013. possibility of a new or different kind of 2.309(c)(1)(i)–(iii). Additionally, the proposed For further details with respect to this accident from any accident previously amendment would eliminate the evaluated? amendment action, see the application measurement of an end-of-cycle (EOC) TSTF–486 for amendment which is available for MTC if the beginning-of-cycle (BOC) public inspection at the NRC’s PDR, measurements are within a given Response: No. located at One White Flint North, Room tolerance to the predicted value as The proposed change does not involve a O1–F21, 11555 Rockville Pike (first physical alteration of the plant (no new or described in TSTF–406, Revision 2, different type of equipment will be installed) floor), Rockville, Maryland 20852. ‘‘Predicting End-of-Cycle MTC and Publicly available documents created or or a change in the methods governing normal Deleting Need for End-of-Cycle MTC plant operation. The proposed change will received at the NRC are accessible Verification.’’ Regarding TSTF–406, not introduce new failure modes or effects electronically through ADAMS in the Revision 2, the licensee included a and will not, in the absence of other NRC Library at http://www.nrc.gov/ proposed NSHC in the license unrelated failures, lead to an accident whose reading-rm/adams.html. If you do not amendment request. consequences exceed the consequences of have access to ADAMS or if there are Basis for proposed no significant accidents previously analyzed. problems in accessing the documents hazards consideration determination: Thus, this change does not create the possibility of a new or different kind of located in ADAMS, contact the PDR’s As required by 10 CFR 50.91(a), the Reference staff at 1–800–397–4209, 301– accident from any accident previously licensee has provided its analysis of the evaluated. 415–4737, or by email to pdr.resource@ issue of no significant hazards TSTF–406 nrc.gov. consideration. Each of the two items Arizona Public Service Company, et al., described above is addressed Response: No. individually under each of the three A change is proposed to eliminate the Docket No. 50–528, 50–529, and 50–530, measurement of EOC MTC if the BOC Palo Verde Nuclear Generating Station, standards, as presented below: measurements are within a given tolerance to Units 1, 2, and 3, Maricopa County, 1. Do the proposed changes involve a the predicted value. The proposed change Arizona significant increase in the probability or does not involve a physical alteration of the Date of amendment request: consequences of an accident previously plant (no new or different type of equipment November 20, 2013, which is publicly evaluated? will be installed) or a change in the methods TSTF–486 governing normal plant operation. available in ADAMS under Accession Based on the above, the proposed No. ML13329A036, as supplemented by Response: No. amendment does not create the possibility of letter dated November 20, 2013, The proposed change generically a new or different kind of accident from any portions of which are publicly available implements MTC SR changes associated with accident previously evaluated. in ADAMS under Accession Nos. implementation of WCAP–16011–P–A, STAR 3. Do the proposed changes involve a ML13329A700 and ML13365A207. Program. WCAP–16011–P–A describes significant reduction in a margin of safety? Description of amendment request: methods to reduce the time required for startup testing. The consequences of an TSTF–486 This amendment request contains accident after adopting TSTF–486 are no Response: No. sensitive unclassified non-safeguards different than the consequences of an TSTF–486 provides the means and information (SUNSI). The proposed accident prior to adoption. standardized wording for [Combustion amendment would modify the Palo Therefore, this change does not involve a Engineering (CE) Standard Technical Verde Nuclear Generating Station, Units significant increase in the probability or Specification (STS)] plants implementing the 1, 2, and 3, moderator temperature consequences of an accident previously previously approved WCAP–16011–P–A coefficient (MTC) technical evaluated. alternate MTC verification at startup. MTC is specification (TS) surveillance TSTF–406 a parameter controlled in the licensee’s TS, requirements (SR) associated with including surveillance requirements. As Response: No. stated previously WCAP–16011–P–A implementation of WCAP–16011–P–A, A change is proposed to eliminate the describes methods to reduce the time ‘‘Startup Test Activity Reduction measurement of end-of-cycle (EOC) required for startup testing. The changes to Program,’’ February 2005, as described moderator temperature coefficient (MTC) if NUREG–1432 proposed by TSTF–486 have in Technical Specification Task Force the beginning-of-cycle (BOC) measurements been reviewed for and found to be consistent (TSTF) change traveler TSTF–486, are within a given tolerance to the predicted with the current NUREG–1432 and WCAP– Revision 2, ‘‘Revise MTC Surveillance value. MTC is not an initiator of any accident 16011–P–A. previously evaluated. Consequently, the Therefore, the proposed changes are for Startup Test Activity Reduction probability of an accident previously (STAR) Program (WCAP–16011).’’ The acceptable and do not involve a significant evaluated is not significantly increased. reduction in a margin of safety. NRC staff published a notice of The EOC MTC value is an important opportunity for comment in the Federal assumption in determining the consequences TSTF–406 Register on July 27, 2007 (72 FR 41360), of accidents previously evaluated. The Response: No.

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A change is proposed to eliminate the transients and accidents are bounded by Attorney for licensee: Lara S. Nichols, measurement of EOC MTC if the BOC values assumed in the licensing analyses. Associate General Counsel, Duke Energy measurements are within a given tolerance to The methodology report revision will be Corporation, 526 South Church Street— the predicted value. The Topical Report approved by the NRC prior to EC07H, Charlotte, North Carolina 28202. concluded that the risk of not measuring the implementation. The proposed amendments EOC MTC is acceptably small provided that will have no impact upon the probability of NRC Branch Chief: Robert J. the BOC measured values are within a occurrence of any design basis accident. The Pascarelli. specific tolerance of the predicted values. proposed amendments will not affect the Entergy Nuclear Operations, Inc., Therefore, the proposed amendment does performance of any plant equipment used to Docket Nos. 50–03, 50–247, and 50–286, not involve a significant reduction in a mitigate the consequences of an analyzed margin of safety. accident. There will be no significant impact Indian Point Nuclear Generating, Units 1, 2, and 3, Westchester County, New The NRC staff has reviewed the on the source term or pathways assumed in accidents previously evaluated. No analysis York licensee’s analysis and, based on this assumptions will be violated and there will review, it appears that the three Date of amendment request: August be no adverse effects on offsite or onsite dose 20, 2013. A publicly available version is standards of 10 CFR 50.92(c) are as the result of an accident. satisfied. Therefore, the NRC staff Therefore, the proposed amendments do available in ADAMS under Accession proposes to determine that the not involve a significant increase in the No. ML13239A447. amendment request involves no probability or consequences of an accident Description of amendment request: significant hazards consideration. previously evaluated. This amendment request contains Attorney for licensee: Michael G. 2. Does the proposed amendment create sensitive unclassified non-safeguards Green, Associate General Counsel— the possibility of a new or different kind of information (SUNSI). The amendment accident from any accident previously would modify the operating license, Nuclear and Environmental, Pinnacle evaluated? West Capital Corporation, P.O. Box pursuant to Section 161A of the Atomic Response: No. Energy Act, to permit the licensee’s 52034, Mail Stop 7602, Phoenix, The proposed amendments do not change Arizona, 85072–2034. the methods governing normal plant security personnel to possess and use NRC Branch Chief: Michael T. operation; nor are the methods utilized to weapons, devices, ammunition, or other Markley. respond to plant transients altered. In firearms, notwithstanding state, local, addition, the proposed methodology changes and certain federal firearms laws that Duke Energy Carolinas, LLC, Docket will not create the potential for any new may prohibit such use. The NRC refers Nos. 50–413 and 50–414, Catawba initiating events or transients to occur in the to this authority as ‘‘stand-alone Nuclear Station, Units 1 and 2, York actual physical plant. preemption authority.’’ The licensee is County, South Carolina; and Docket Therefore, the proposed amendments do seeking stand-alone preemption not create the possibility of a new or different Nos. 50–369 and 50–370, McGuire authority for standard weapons Nuclear Station, Units 1 and 2, kind of accident from any accident previously evaluated. presently in use at the Indian Point Mecklenburg County, North Carolina 3. Does the proposed amendment involve facility in accordance with the Indian Date of amendment request: a significant reduction in the margin of Point security plans, namely semi- November 14, 2013. A publicly safety? automatic assault rifles and extended available version is available in ADAMS Response: No. magazines. The weapons that are the under Accession No. ML13325B142. Margin of safety is related to the subject of this amendment request do Description of amendment request: confidence in the ability of the fission not include enhanced weapons. product barriers to perform their design Basis for proposed no significant This amendment request contains functions during and following an accident. sensitive unclassified non-safeguards These barriers include the fuel cladding, the hazards consideration determination: information (SUNSI). The amendments reactor coolant system, and the containment As required by 10 CFR 50.91(a), the would revise Methodology Report DPC– system. The proposed methodology revision licensee has provided its analysis of the NE–3001–P, Revision 1, will assure the acceptability of analytical issue of no significant hazards ‘‘Multidimensional Reactor Transients limits under normal, transient, and accident consideration, which is presented and Safety Analysis Physics Parameters conditions. The use of the proposed below: methodology revision once it has been Methodology.’’ 1. Does the proposed change involve a approved by the NRC will ensure that all Basis for proposed no significant significant increase in the probability or applicable design and safety limits are hazards consideration determination: consequences of an[y] accident previously satisfied such that the fission product evaluated? As required by 10 CFR 50.91(a), the barriers will continue to perform their design Response: No. licensee has provided its analysis of the functions. The LAR [license amendment request] does issue of no significant hazards Therefore, the proposed amendments do not require any plant modifications, alter the consideration, which is presented not involve a significant reduction in a plant configuration, require new plant below: margin of safety. equipment to be installed, alter accident 1. Does the proposed amendment involve Based on the preceding discussion, Duke analysis assumptions, add any initiators, or a significant increase in the probability or Energy concludes that the proposed affect the function of plant systems or the consequences of an accident previously amendments do not involve a significant manner in which systems are operated, evaluated? hazards consideration under the standards maintained, modified, tested, or inspected. Response: No. set forth in 10 CFR 50.92(c), and, The proposed change adds a sentence to The proposed amendments involving accordingly, a finding of ‘‘no significant the IPEC [Indian Point Energy Center] methodology report DPC–NE–3001–P, hazards consideration’’ is justified. licenses to reflect the Section 161A Multidimensional Reactor Transients and The NRC staff has reviewed the preemption authority granted by the Safety Analysis Physics Parameters licensee’s analysis and, based on this Commission. The change is administrative Methodology, support the use of revised review, it appears that the three and has no impact on the probability or methodologies for simulating the Updated standards of 10 CFR 50.92(c) are consequences of an[y] accident previously Final Safety Analysis Report (UFSAR) evaluated. Chapter 15 events characterized by satisfied. Therefore, the NRC staff Therefore, it is concluded that this change multidimensional reactor transients, and for proposes to determine that the does not involve a significant increase in the systematically confirming that reload physics amendment request involves no probability or consequences of an[y] accident parameters important to UFSAR Chapter 15 significant hazards consideration. previously evaluated.

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2. Does the proposed change create the October 24, and December 2, 2013; the The purpose of the proposed amendment possibility of a new or different kind of publicly-available version of each letter is to permit PNP to adopt a new risk- accident from any accident previously are available in ADAMS under informed, performance based fire protection evaluated? licensing basis that complies with the Response: No. Accession Nos. ML12348A455, requirements of 10 CFR 50.48(a) and (c), as The LAR does not require any plant ML13079A090, ML13273A469, well as the guidance in RG 1.205. The NRC modifications, alter the plant configuration, ML13298A044, and ML13336A649. considers that NFPA 805 provides an require new plant equipment to be installed, Description of amendment request: acceptable methodology and performance alter accident analysis assumptions, add any This amendment request contains criteria for licensees to identify fire initiators, or affect the function of plant protection requirements that are an systems or the manner in which systems are sensitive unclassified non-safeguards acceptable alternative to the 10 CFR Part 50, operated, maintained, modified, tested, or information (SUNSI). The proposed Appendix R, fire protection features (69 FR inspected. amendment would provide the NRC’s 33536; June 16, 2004). Engineering analyses, The proposed change adds a sentence to approval for adoption of a new fire including engineering evaluations, the IPEC licenses to reflect the Section 161A protection licensing basis which probabilistic safety assessments, and fire preemption authority granted by the complies with the requirements in modeling calculations, have been performed Commission. The change is administrative §§ 50.48(a) and 50.48(c); and the to demonstrate that the performance based and has no impact on the possibility or [of] requirements of NFPA 805 have been met. guidance in Regulatory Guide (RG) The NFPA 805, taken as a whole, provides a new or different kind of accident from any 1.205, Revision 1, ‘‘Risk-Informed, accident previously evaluated. an acceptable alternative for satisfying Therefore, it is concluded that this change Performance Based Fire Protection for General Design Criterion 3 (GDC 3) of does not create the possibility of a new or Existing Light-Water Nuclear Power Appendix A to 10 CFR Part 50, meets the different kind of accident from any accident Plants.’’ This amendment request also underlying intent of the NRC’s existing fire previously evaluated. follows the guidance in Nuclear Energy protection regulations and guidance, and 3. Does the proposed change involve a Institute (NEI) 04–02, Revision 2, achieves defense-in-depth along with the significant reduction in a margin of safety? ‘‘Guidance for Implementing a Risk- goals, performance objectives, and Response: No. performance criteria specified in NFPA 805, Informed, Performance-Based Fire Chapter 1. In addition, if there are any The LAR does not require any plant Protection Program Under 10 CFR modifications, alter the plant configuration, increases in core damage frequency (CDF) or require new plant equipment to be installed, 50.48(c).’’ Upon approval, the PNP’s fire risk as a result of the transition to NFPA 805, alter accident analysis assumptions, add any protection program will transition to a the increase will be small, governed by the initiators, or affect the function of plant new Risk-Informed, Performance-Based delta risk requirements of NFPA 805, and systems or the manner in which systems are (RI–PB) alternative in accordance with consistent with the intent of the operated, maintained, modified, tested, or 10 CFR 50.48(c), which incorporates by Commission’s Safety Goal Policy. Based on the above, the implementation of inspected. reference the National Fire Protection Plant safety margins are established the proposed amendment to transition the Association Standard 805 (NFPA 805). fire protection plan at PNP to one based on through Limiting Conditions for Operation, The NFPA 805 fire protection program Limiting Safety System Settings and Safety NFPA 805, in accordance with 10 CFR limits specified in the Technical will supersede the current fire 50.48(c), does not result in a significant Specifications. Because there is no change to protection program licensing basis in increase in the probability of any accident these established safety margins, the accordance with 10 CFR Part 50, previously evaluated. In addition, equipment proposed change does not involve a Appendix R. Basis for proposed no required to mitigate an accident remains significant reduction in a margin of safety. significant hazards consideration capable of performing the assumed function. Therefore, the consequences of any The proposed change adds a sentence to determination: As required by 10 CFR the IPEC licenses to reflect the Section 161A accident previously evaluated are not 50.91(a), the licensee has provided its significantly increased with the preemption authority granted by the analysis of the issue of no significant Commission. The change is administrative implementation of this amendment. and does not involve a significant reduction hazards consideration, which is 2. Does the proposed amendment create in a margin of safety. presented below: the possibility of a new or different kind of accident from any kind of accident Therefore, the proposed change does not 1. Does the proposed amendment involve previously evaluated? involve a significant reduction in a margin of a significant increase in the probability or safety. Response: No. consequences of an accident previously Operation of PNP in accordance with the The NRC staff has reviewed the evaluated? proposed amendment does not create the licensee’s analysis and, based on this Response: No. possibility of a new or different kind of review, it appears that the three Operation of PNP in accordance with the accident from any accident previously standards of 10 CFR 50.92(c) are proposed amendment does not result in a evaluated. Any scenario or previously significant increase the probability or analyzed accident with offsite dose was satisfied. Therefore, the NRC staff consequences of accidents previously proposes to determine that the included in the evaluation of DBAs evaluated. The proposed amendment does documented in the UFSAR. The proposed amendment request involves no not affect accident initiators or precursors as change does not alter the requirements or significant hazards consideration. described in the PNP Updated Final Safety function for systems required during accident Attorney for licensee: Ms. Jeanne Cho, Analysis Report (UFSAR), nor does it conditions. Implementation of the new fire Assistant General Counsel, Entergy adversely alter design assumptions, protection licensing basis which complies Nuclear Operations, Inc., 440 Hamilton conditions, or configurations of the facility, with the requirements in 10 CFR 50.48(a) and Avenue, White Plains, New York 10601. and it does not adversely impact the ability (c) and the guidance in RG 1.205, Revision NRC Branch Chief: Benjamin G. of structures, systems, or components (SSCs) 1 will not result in new or different Beasley. to perform their intended function to mitigate accidents. The proposed amendment does the consequences of an initiating event not adversely affect accident initiators nor Entergy Nuclear Operations, Inc., within the assumed acceptance limits. The alter design assumptions, conditions, or Docket No. 50–255, Palisades Nuclear proposed changes do not affect the way in configurations of the facility. The proposed Plant (PNP), Van Buren County, which safety related systems perform their amendment does not adversely affect the Michigan functions as required by the accident ability of SSCs to perform their design analysis. The SSCs required to safely shut function. SSCs required to safely shut down Date of amendment request: down the reactor and to maintain it in a safe the reactor and maintain it in a safe December 12, 2012, supplemented by shutdown condition will remain capable of shutdown condition remain capable of letters dated February 21, September 30, performing their design functions. performing their design functions.

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The purpose of this amendment is to review, it appears that the three in nature. This change does not alter accident permit ENO to adopt a new fire protection standards of 10 CFR 50.92(c) are analysis assumptions, add any initiators, or licensing basis which complies with the satisfied. Therefore, the NRC staff affect the function of plant systems or the requirements in 10 CFR 50.48(a) and (c) and proposes to determine that the manner in which systems are operated, the guidance in RG 1.205, Revision 1. The maintained, modified, tested, or inspected. NRC considers that NFPA 805 provides an amendment request involves no The proposed change does not require any acceptable methodology and performance significant hazards consideration. criteria for licensees to identify fire Attorney for licensee: Mr. William plant modifications which affect the protection systems and features that are an Dennis, Assistant General Counsel, performance capability of the structures, acceptable alternative to the 10 CFR Part 50, Entergy Nuclear Operations, Inc., 440 systems, and components relied upon to Appendix R fire protection features (69 FR Hamilton Ave., White Plains, New York mitigate the consequences of postulated 33536; June 16, 2004). 10601. accidents and does not create the possibility The requirements in NFPA 805 address NRC Branch Chief: Robert D. Carlson. of a new or different kind of accident only fire protection and the impacts of fire previously evaluated. on the plant that have already been Entergy Nuclear Vermont Yankee, LLC., Therefore, the proposed change does not evaluated. Based on this, the implementation and Entergy Nuclear Operations, Inc., create the possibility of a new or different of this amendment does not create the Docket No. 50–271, Vermont Yankee kind of accident from any accident possibility of a new or different kind of accident from any kind of accident Nuclear Power Station, Vernon, previously evaluated. previously evaluated. The proposed changes Vermont 3. Does the proposed change involve a do not involve new failure mechanisms or Date of amendment request: significant reduction in a margin of safety? malfunctions that can initiate a new accident. December 19, 2013. A publicly-available Response: No. Therefore, the possibility of a new or version is available in ADAMS under Plant safety margins are established different kind of accident from any kind of Accession No. ML13358A338. through limiting conditions for operation, accident previously evaluated is not created limiting safety system settings, and safety with the implementation of this amendment. Description of amendment request: This amendment request contains limits specified in the Technical 3. Does the proposed amendment involve Specifications. The proposed change to the a significant reduction in the margin of sensitive unclassified non-safeguards CSP Implementation Schedule is safety? information (SUNSI). The proposed administrative in nature. In addition, the Response: No. amendment would change the Vermont milestone date delay for full implementation Operation of PNP in accordance with the Yankee Cyber Security Plan of the CSP has no substantive impact because proposed amendment does not involve a Implementation Schedule Milestone 8 significant reduction in the margin of safety. other measures have been taken which The proposed amendment does not alter the full implementation date from provide adequate protection during this manner in which safety limits, limiting safety December 15, 2014, to June 30, 2016. period of time. Because there is no change to system settings or limiting conditions for The proposed amendment would also established safety margins as a result of this operation are determined. The safety analysis revise the existing operating license change, the proposed change does not acceptance criteria are not affected by this Security Plan license condition. involve a significant reduction in a margin of change. The proposed amendment does not Basis for proposed no significant adversely affect existing plant safety margins safety. hazards consideration determination: Therefore, the proposed change does not or the reliability of equipment assumed to As required by 10 CFR 50.91(a), the mitigate accidents in the UFSAR. The involve a significant reduction in a margin of proposed amendment does not adversely licensee has provided its analysis of the safety. affect the ability of SSCs to perform their issue of no significant hazards design function. SSCs required to safely shut consideration which is presented below: The NRC staff has reviewed the down the reactor and to maintain it in a safe 1. Does the proposed change involve a licensee’s analysis and, based on this shutdown condition remain capable of significant increase in the probability or review, it appears that the three performing their design function. consequences of an accident previously standards of 10 CFR 50.92(c) are The purpose of this amendment is to evaluated? satisfied. Therefore, the NRC staff permit ENO to adopt a new fire protection Response: No. licensing basis which complies with the proposes to determine that the The proposed change to the CSP [Cyber amendment request involves no requirements in 10 CFR 50.48(a) and (c) and Security Plan] Implementation Schedule is the guidance in RG 1.205, Revision 1. The administrative in nature. This change does significant hazards consideration. NRC considers that NFPA 805 provides an not alter accident analysis assumptions, add Attorney for licensee: Ms. Jeanne Cho, acceptable methodology and performance any initiators, or affect the function of plant criteria for licensees to identify fire Assistant General Counsel, Entergy systems or the manner in which systems are Nuclear Operations, Inc., 440 Hamilton protection systems and features that are an operated, maintained, modified, tested, or acceptable alternative to the 10 CFR Part 50, inspected. The proposed change does not Avenue, White Plains, New York, Appendix R fire protection features (69 FR require any plant modifications which affect 10601. 33536; June 16, 2004). Engineering analyses, the performance capability of the structures, including engineering evaluations, NRC Branch Chief: Benjamin G. systems, and components relied upon to probabilistic safety assessments, and fire Beasley. mitigate the consequences of postulated modeling calculations, have been performed accidents and has no impact on the to demonstrate that the performance-based probability or consequences of an accident methods do not result in a significant previously evaluated. Therefore, the reduction in the margin of safety. proposed change does not involve a Based on this, the implementation of this significant increase in the probability or amendment does not significantly reduce the margin of safety. The proposed changes are consequences of an accident previously evaluated to ensure that the risk and safety evaluated. margins are kept within acceptable limits. 2. Does the proposed change create the Therefore, the transition does not involve possibility of a new or different kind of a significant reduction in the margin of accident from any accident previously safety. evaluated? Response: No. The NRC staff has reviewed the The proposed change to the CSP licensee’s analysis and, based on this Implementation Schedule is administrative

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Order Imposing Procedures for Access [email protected], respectively.1 between the date the petitioner is to Sensitive Unclassified Non- The request must include the following granted access to the information and Safeguards Information for Contention information: the deadline for filing all other Preparation; Arizona Public Service (1) A description of the licensing contentions (as established in the notice Company, et al., Docket Nos. 50–528, action with a citation to this Federal of hearing or opportunity for hearing), 50–529, and 50–530, Palo Verde Register notice; the petitioner may file its SUNSI Nuclear Generating Station, Units 1, 2, (2) The name and address of the contentions by that later deadline. This and 3, Maricopa County, Arizona; Duke potential party and a description of the provision does not extend the time for Energy Carolinas, LLC, Docket Nos. 50– potential party’s particularized interest filing a request for a hearing and 413 and 50–414, Catawba Nuclear that could be harmed by the action petition to intervene, which must Station, Units 1 and 2, York County, identified in C.(1); and comply with the requirements of 10 CFR South Carolina; and Docket Nos. 50– (3) The identity of the individual or 2.309. 369 and 50–370, McGuire Nuclear entity requesting access to SUNSI and G. Review of Denials of Access. Station, Units 1 and 2, Mecklenburg the requestor’s basis for the need for the (1) If the request for access to SUNSI County, North Carolina; Entergy information in order to meaningfully is denied by the NRC staff after a Nuclear Operations, Inc., Docket Nos. participate in this adjudicatory determination on standing and need for 50–03, 50–247, and 50–286, Indian proceeding. In particular, the request access, the NRC staff shall immediately Point Nuclear Generating, Units 1, 2, must explain why publicly available notify the requestor in writing, briefly and 3, Westchester County, New York; versions of the information requested stating the reason or reasons for the would not be sufficient to provide the Entergy Nuclear Operations, Inc., denial. basis and specificity for a proffered (2) The requestor may challenge the Docket No. 50–255, Palisades Nuclear contention. NRC staff’s adverse determination by Plant, Van Buren County, Michigan; D. Based on an evaluation of the filing a challenge within 5 days of Entergy Nuclear Vermont Yankee, LLC. information submitted under paragraph receipt of that determination with: (a) and Entergy Nuclear Operations, Inc., C.(3) the NRC staff will determine The presiding officer designated in this Docket No. 50–271, Vermont Yankee within 10 days of receipt of the request proceeding; (b) if no presiding officer Nuclear Power Station, Vernon, whether: has been appointed, the Chief Vermont (1) There is a reasonable basis to Administrative Judge, or if he or she is A. This Order contains instructions believe the petitioner is likely to unavailable, another administrative regarding how potential parties to this establish standing to participate in this judge, or an administrative law judge proceeding may request access to NRC proceeding; and with jurisdiction pursuant to 10 CFR (2) The requestor has established a documents containing SUNSI. 2.318(a); or (c) if another officer has legitimate need for access to SUNSI. been designated to rule on information B. Within 10 days after publication of E. If the NRC staff determines that the access issues, with that officer. this notice of hearing and opportunity to requestor satisfies both D.(1) and D.(2) H. Review of Grants of Access. A petition for leave to intervene, any above, the NRC staff will notify the party other than the requestor may potential party who believes access to requestor in writing that access to challenge an NRC staff determination SUNSI is necessary to respond to this SUNSI has been granted. The written granting access to SUNSI whose release notice may request such access. A notification will contain instructions on would harm that party’s interest ‘‘potential party’’ is any person who how the requestor may obtain copies of independent of the proceeding. Such a intends to participate as a party by the requested documents, and any other challenge must be filed with the Chief demonstrating standing and filing an conditions that may apply to access to Administrative Judge within 5 days of admissible contention under 10 CFR those documents. These conditions may the notification by the NRC staff of its 2.309. Requests for access to SUNSI include, but are not limited to, the grant of access. submitted later than 10 days after signing of a Non-Disclosure Agreement If challenges to the NRC staff publication of this notice will not be or Affidavit, or Protective Order 2 setting determinations are filed, these considered absent a showing of good forth terms and conditions to prevent procedures give way to the normal cause for the late filing, addressing why the unauthorized or inadvertent process for litigating disputes the request could not have been filed disclosure of SUNSI by each individual concerning access to information. The earlier. who will be granted access to SUNSI. availability of interlocutory review by F. Filing of Contentions. Any C. The requestor shall submit a letter the Commission of orders ruling on contentions in these proceedings that requesting permission to access SUNSI such NRC staff determinations (whether are based upon the information received to the Office of the Secretary, U.S. granting or denying access) is governed as a result of the request made for 3 Nuclear Regulatory Commission, by 10 CFR 2.311. SUNSI must be filed by the requestor no Washington, DC 20555–0001, Attention: I. The Commission expects that the later than 25 days after the requestor is Rulemakings and Adjudications Staff, NRC staff and presiding officers (and granted access to that information. and provide a copy to the Associate any other reviewing officers) will However, if more than 25 days remain General Counsel for Hearings, consider and resolve requests for access to SUNSI, and motions for protective Enforcement and Administration, Office 1 While a request for hearing or petition to orders, in a timely fashion in order to of the General Counsel, Washington, DC intervene in this proceeding must comply with the minimize any unnecessary delays in 20555–0001. The expedited delivery or filing requirements of the NRC’s ‘‘E-Filing Rule,’’ identifying those petitioners who have courier mail address for both offices is: the initial request to access SUNSI under these U.S. Nuclear Regulatory Commission, procedures should be submitted as described in this paragraph. 3 Requestors should note that the filing 11555 Rockville Pike, Rockville, 2 Any motion for Protective Order or draft Non- requirements of the NRC’s E-Filing Rule (72 FR Maryland 20852. The email address for Disclosure Affidavit or Agreement for SUNSI must 49139; August 28, 2007), apply to appeals of NRC the Office of the Secretary and the be filed with the presiding officer or the Chief staff determinations (because they must be served Office of the General Counsel are Administrative Judge if the presiding officer has not on a presiding officer or the Commission, as yet been designated, within 30 days of the deadline applicable), but not to the initial SUNSI request [email protected] and for the receipt of the written access request. submitted to the NRC staff under these procedures.

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standing and who have propounded processing and resolving requests under For the Nuclear Regulatory Commission. contentions meeting the specificity and these procedures. Annette L. Vietti-Cook, It is so ordered. basis requirements in 10 CFR Part 2. Secretary of the Commission. Attachment 1 to this Order summarizes Dated at Rockville, Maryland, this 21st day the general target schedule for of February 2014.

ATTACHMENT 1—GENERAL TARGET SCHEDULE FOR PROCESSING AND RESOLVING REQUESTS FOR ACCESS TO SENSITIVE UNCLASSIFIED NON-SAFEGUARDS INFORMATION IN THIS PROCEEDING

Day Event/activity

0 ...... Publication of Federal Register notice of hearing and opportunity to petition for leave to intervene, including order with instructions for access requests. 10 ...... Deadline for submitting requests for access to Sensitive Unclassified Non-Safeguards Information (SUNSI) with information: Sup- porting the standing of a potential party identified by name and address; describing the need for the information in order for the potential party to participate meaningfully in an adjudicatory proceeding. 60 ...... Deadline for submitting petition for intervention containing: (i) Demonstration of standing; and (ii) all contentions whose formulation does not require access to SUNSI (+25 Answers to petition for intervention; +7 petitioner/requestor reply). 20 ...... Nuclear Regulatory Commission (NRC) staff informs the requestor of the staff’s determination whether the request for access pro- vides a reasonable basis to believe standing can be established and shows need for SUNSI. (NRC staff also informs any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information.) If NRC staff makes the finding of need for SUNSI and likelihood of standing, NRC staff begins document processing (preparation of redactions or review of redacted documents). 25 ...... If NRC staff finds no ‘‘need’’ or no likelihood of standing, the deadline for requestor/petitioner to file a motion seeking a ruling to re- verse the NRC staff’s denial of access; NRC staff files copy of access determination with the presiding officer (or Chief Adminis- trative Judge or other designated officer, as appropriate). If NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. 30 ...... Deadline for NRC staff reply to motions to reverse NRC staff determination(s). 40 ...... (Receipt +30) If NRC staff finds standing and need for SUNSI, deadline for NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agreement for SUNSI. A ...... If access granted: Issuance of presiding officer or other designated officer decision on motion for protective order for access to sen- sitive information (including schedule for providing access and submission of contentions) or decision reversing a final adverse determination by the NRC staff. A + 3 ...... Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI consistent with decision issuing the protective order. A + 28 ...... Deadline for submission of contentions whose development depends upon access to SUNSI. However, if more than 25 days re- main between the petitioner’s receipt of (or access to) the information and the deadline for filing all other contentions (as estab- lished in the notice of hearing or opportunity for hearing), the petitioner may file its SUNSI contentions by that later deadline. A + 53 ...... (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI. A + 60 ...... (Answer receipt +7) Petitioner/Intervenor reply to answers. >A + 60 .... Decision on contention admission.

[FR Doc. 2014–04302 Filed 2–26–14; 8:45 am] BILLING CODE 7590–01–P

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SECURITIES AND EXCHANGE 2013.5 The Commission received six requirements for the consolidated audit COMMISSION comment letters from five commenters trail, the Rule provides flexibility to the in response to the proposal.6 On January SROs to draft the requirements of the [Release No. 34–71596; File No. 4–668] 31, 2014, the Participants to the Plan CAT NMS Plan in a way that best responded to the comment letters.7 This achieves the objectives of the Rule. Joint Industry Plan; BATS Exchange, order approves the Plan. Specifically, Rule 613 incorporates a Inc., BATS–Y Exchange, Inc., BOX II. Background series of twelve ‘‘considerations’’ that Options Exchange LLC, C2 Options the Participants must address in the Exchange, Incorporated, Chicago On July 11, 2012, the Commission CAT NMS Plan, including: Board Options Exchange, adopted Rule 613 under the Act to • The specific details and features of Incorporated, Chicago Stock require the SROs to jointly submit an the CAT NMS Plan; Exchange, Inc., EDGA Exchange, Inc., NMS plan (‘‘CAT NMS Plan’’) to create, • The Participants’ analysis of the EDGX Exchange, Inc., Financial implement, and maintain a consolidated CAT NMS Plan’s costs and impact on Industry Regulatory Authority, Inc., order tracking system, or consolidated Competition, efficiency, and capital International Securities Exchange, audit trail (‘‘CAT’’), with respect to the formation; • LLC, Miami International Securities trading of NMS securities, that would The process in developing the CAT Exchange LLC, NASDAQ OMX BX, Inc., capture customer and order event NMS Plan; • NASDAQ OMX PHLX LLC, The information for orders in NMS Information about the NASDAQ Stock Market LLC, National securities, across all markets, from the implementation of the CAT NMS Plan; time of order inception through routing, Stock Exchange, Inc., New York Stock and cancellation, modification, or • Exchange LLC, NYSE MKT LLC, NYSE Milestones for the creation of the execution.8 Rule 613 outlines a broad 9 Arca, Inc. and Topaz Exchange, LLC; consolidated audit trail. framework for the creation, Order Approving Proposed National As part of the discussion of these implementation, and maintenance of the Market System Plan Governing the ‘‘considerations,’’ the Participants must consolidated audit trail, including the Process of Selecting a Plan Processor include cost estimates for the proposed minimum elements the Commission and Developing a Plan for the solution, and a discussion of the costs believes are necessary for an effective Consolidated Audit Trail and benefits of alternate solutions consolidated audit trail. In instances considered but not proposed.10 In February 21, 2014. where Rule 613 sets forth minimum addition, Rule 613 requires that the Participants: (1) Provide an estimate of I. Introduction 5 See Securities Exchange Act Release No. 70892 the costs associated with creating, (November 15, 2013), 78 FR 69910 (‘‘Notice’’). implementing, and maintaining the On September 3, 2013, BATS 6 See letters to Elizabeth M. Murphy, Secretary, Exchange, Inc., BATS–Y Exchange, Inc., Commission, from Marcia E. Asquith, Senior Vice consolidated audit trail under the terms BOX Options Exchange LLC, C2 Options President and Corporate Secretary, Financial of the CAT NMS Plan submitted to the Exchange, Incorporated, Chicago Board Industry Regulatory Authority, Inc. (‘‘FINRA’’), Commission for its consideration; (2) dated December 20, 2013 (‘‘FINRA Letter’’); from discuss the costs, benefits, and rationale Options Exchange, Incorporated, Anonymous (‘‘Anonymous 1’’), dated December 23, Chicago Stock Exchange, Inc., EDGA 2013 (‘‘Anonymous 1 Letter’’); from Theodore R. for the choices made in developing the Exchange, Inc., EDGX Exchange, Inc., Lazo, Managing Director and Associate General CAT NMS Plan submitted; and (3) Financial Industry Regulatory Counsel, Securities Industry and Financial Markets provide their own analysis of the Association (‘‘SIFMA’’), dated December 23, 2013 Authority, Inc., International Securities (‘‘SIFMA Letter’’); from Manisha Kimmel, Executive submitted CAT NMS Plan’s potential Exchange, LLC, Miami International Director, Financial Information Forum (‘‘FIF’’), impact on competition, efficiency, and Securities Exchange LLC, NASDAQ dated December 23, 2013 (‘‘FIF Letter’’); capital formation.11 These detailed OMX BX, Inc., NASDAQ OMX PHLX Anonymous (‘‘Anonymous 2’’), dated December 23, requirements are intended to ensure that 2013 (‘‘Anonymous 2 Letter’’) from Manisha LLC, The NASDAQ Stock Market LLC, Kimmel, Executive Director, FIF, dated January 24, the Commission and the public have National Stock Exchange, Inc., New 2014 (‘‘FIF Letter II’’). sufficiently detailed information to York Stock Exchange LLC, NYSE MKT FINRA notes that it has two roles with respect to carefully consider all aspects of the CAT LLC, NYSE Arca, Inc., and Topaz the development of the consolidated audit trail: (1) NMS Plan ultimately submitted by the A role as a Participant in developing the CAT NMS 12 Exchange, LLC (collectively, ‘‘SROs’’ or Plan (as defined below) (‘‘SRO Side’’) and (2) a role Participants. ‘‘Participants’’) filed with the Securities as an entity that has submitted an intent to submit In light of the numerous specific and Exchange Commission a Bid (as defined below) in response to the RFP (as requirements of Rule 613, the (‘‘Commission’’ or ‘‘SEC’’) pursuant to defined below) (‘‘Bid Side’’). FINRA notes that it Participants concluded that publication has implemented a communications firewall Section 11A of the Securities Exchange between the SRO Side and the Bid Side, including of a request for proposal (‘‘RFP’’) was Act of 1934 (‘‘Act’’),1 and Rule 608 policies and procedures designed to prevent the necessary to ensure that potential thereunder,2 a proposed National members of the SRO Side and the Bid Side from alternative solutions to creating the communicating with one another about non-public consolidated audit trail can be Market System (‘‘NMS’’) Plan Governing matters involving the consolidated audit trail. The the Process of Selecting a Plan Processor FINRA Letter was submitted by the Bid Side. See presented and considered by the and Developing a Plan for the FINRA Letter at 1. Participants and that a detailed and Consolidated Audit Trail (‘‘Plan’’).3 The Copies of all comments received on the proposed meaningful cost/benefit analysis can be Participants requested that the Plan are available on the Commission’s Web site, performed, both of which are required located at http://www.sec.gov/comments/4-668/4- 4 Commission approve the Plan. The 668.shtml. Comments are also available for Web site considerations to be addressed in the 13 Plan was published for comment in the viewing and printing in the Commission’s Public CAT NMS Plan. The Participants Federal Register on November 21, Reference Room, 100 F Street NE., Washington, DC published the RFP on February 26, 20549, on official business days between the hours 2013, and requested that any potential of 10:00 a.m. and 3:00 p.m. ET. 1 15 U.S.C. 78k–1. 7 See letter to Elizabeth M. Murphy, Secretary, 9 2 17 CFR 242.608. Commission, from the Participants, dated January See Rule 613(a)(1)(i)–(xii). 3 See letter to Elizabeth M. Murphy, Secretary, 31, 2014 (‘‘Response Letter’’). 10 See Rule 613(a)(1)(vii); Rule 613(a)(1)(xii). Commission, from the SROs dated August 23, 2013 8 See Securities Exchange Act Release No. 67457 11 See Rule 613(a)(1)(viii). (‘‘Submission Letter’’). (July 18, 2012), 77 FR 45722 (August 1, 2013) 12 See Adopting Release, supra note 8, at 45725. 4 Id. at 1. (‘‘Adopting Release’’). 13 See Submission Letter, supra note 3, at 3.

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bidders notify the Participants of their Participants’ voting rights, and voting noted that, because of the potential intent to bid by March 5, 2013. Thirty- requirements. conflicts of interest noted above, the one firms submitted an intent to bid in Plan includes multiple requirements to B. Conflicts of Interest response to the publication of the RFP; increase the independence of the Voting four of the firms were Participants or The Participants recognize their Senior Officer who participates on the Affiliates of Participants.14 important regulatory obligations with Selection Committee on behalf of a respect to the development of the CAT Bidding Participant.24 The criteria set III. Description of the Proposal NMS Plan, and ultimately the creation forth in Section V(D) of the Plan include The Participants filed the Plan to and operation of the consolidated audit requirements concerning the Voting govern how the SROs will proceed with trail.18 However, they also recognize Senior Officer’s job responsibilities, formulating and submitting the CAT that Participants or Affiliates of decision-making authority, and NMS Plan—and, as part of that process, Participants may also be Bidders reporting, and require that the Bidding how to review, evaluate, and narrow seeking to serve as the Plan Processor or Participant establishes functional down the bids submitted in response to may be a subcontractor to Bidders separation between its Plan the RFP (‘‘Bids’’) 15—and ultimately seeking to serve as the Plan Processor.19 responsibilities and its business/ choosing the plan processor that will Accordingly, the Participants have commercial (including market build, operate, and maintain the sought to mitigate these potential operations) functions. In addition, the consolidated audit trail (‘‘Plan conflicts of interest by including in the criteria prohibit any disclosure of 16 Processor’’). Plan multiple provisions, which are information regarding the Bid to the A. Governance described below, designed to balance Voting Senior Officer and prohibit the these competing factors. The Voting Senior Officer from disclosing Section III of the Plan establishes the Participants believe that the Plan any non-public information gained in overall governance structure the achieves this balance by allowing all his or her role as such. According to the Participants have chosen.17 Specifically, Participants to participate meaningfully SROs, these criteria are intended to the Participants propose establishing an in the process of creating the CAT NMS insulate the Voting Senior Officer from Operating Committee responsible for Plan and choosing the Plan Processor any inside knowledge regarding the Bid formulating, drafting, and filing with the (while also preventing any information Commission the CAT NMS Plan and for while imposing strict requirements to about the evaluation process from being ensuring the Participants’ joint ensure that the participation is independent and that the process is fair shared with staff preparing the Bidding obligations under Rule 613 are met in a 20 timely and efficient manner. As set forth and transparent. Participant’s Bid) and to reduce any potential personal motivation that may in Section III(B) of the Plan, each C. Plan Processor Selection Process exist that could improperly influence a Participant will select one individual 25 and one substitute to serve on the 1. Bidder Shortlist Determination Voting Senior Officer’s decisions. Any action requiring a vote by the Operating Committee; however, other 21 Sections V and VI of the Plan set Selection Committee under the Plan can representatives of each Participant are forth the process for the Participants’ only be taken in a meeting in which all permitted to attend Operating evaluation, and narrowing down, of the Participants entitled to vote are Committee meetings. Section III of the Bids, and choosing the Plan Processor.22 present.26 All votes taken by the Plan also establishes the procedures for Pursuant to these Sections, the Selection Committee are confidential the Operating Committee, including evaluation of Bids and selection of the and non-public, and a Participant’s provisions regarding meetings, Plan Processor will be performed by a individual votes will not be disclosed to Selection Committee composed of one other Participants or to the public.27 For 14 Since that time, 13 firms—including two senior officer from each Participant Participants and one Affiliate of a Participant—have (‘‘Voting Senior Officer’’).23 The SROs formally notified the Participants that they will not Voting Senior Officer for more than one or all of the submit bids as primary bidders. A list of firms that Affiliated Participants. submitted an intent to bid is located on the 18 See Notice, supra note 5, at 69911. 24 The Plan defines a ‘‘Bidding Participant’’ Participants’ Web site at www.catnmsplan.com 19 Id. broadly to include any Participant that: (1) submits (‘‘CAT NMS Plan Web site’’). According to the Plan, 20 Id. a Bid; (2) is an Affiliate of an entity that submits ‘‘[a]n ‘Affiliate’ of an entity means any entity 21 Section IV of the Plan governs amendments to a Bid; or (3) is included, or is an Affiliate of an controlling, controlled by, or under common the Plan. In general, except with respect to the entity that is included, as a Material Subcontractor control with such entity.’’ See Section I(A) of the addition of new Participants, any change to the Plan as part of a Bid. See Section I(E) of the Plan. A Plan. requires a written amendment that sets forth the ‘‘Material Subcontractor’’ is ‘‘any entity that is 15 See Section I(C) of the Plan. change, is executed by over two-thirds of the known to the Participant to be included as part of 16 See Submission Letter, supra note 3, at 4. Participants, and is approved by the Commission a Bid as a vendor, subcontractor, service provider, 17 Section I sets forth the definitions used pursuant to Rule 608 of the Act or otherwise or in any other similar capacity and, excluding throughout the Plan, and Section II lists the becomes effective under Rule 608. products or services offered by the Participant to Participants and establishes the requirements for 22 Initial steps in the evaluation and selection one or more Bidders on terms subject to a fee filing admission of new, or withdrawal of existing, process will be performed pursuant to the Plan; the approved by the SEC, (1) is anticipated to derive Participants. Each currently approved national final two rounds of evaluation and voting, as well 5% or more of its annual revenue in any given year securities exchange and national securities as the final selection of the Plan Processor, will be from services provided in such capacity; or (2) association subject to Rule 613(a)(1) is a Participant performed pursuant to the CAT NMS Plan. The accounts for 5% or more of the total estimated in the Plan. Section II(B) of the Plan provides that sections of the CAT NMS Plan governing these final annual cost of the Bid for any given year.’’ See any entity approved by the Commission as a two voting rounds are set forth in Sections VI(D) Section I(J) of the Plan. The Plan provides that ‘‘[a]n national securities exchange or national securities and (E) of the Plan and will be incorporated into entity will not be considered a ‘Material association under the Act after the effectiveness of the CAT NMS Plan. The Participants believe it is Subcontractor’ solely due to the entity providing the Plan shall become a Participant by satisfying essential that the entire process be laid out in the services associated with any of the entity’s each of the following requirements: (1) effecting an Plan so that the Commission can consider and regulatory functions as a self-regulatory amendment to the Plan by executing a copy of the approve the entire evaluation and selection process, organization registered with the SEC.’’ See id. Plan as then in effect (with the only change being even though the final two voting rounds, including 25 See Notice, supra note 5, at 69912. As the addition of the new Participant’s name in the selection of the Plan Processor, will not be described below, even with the independence Section II of the Plan) and submitting such conducted until after the approval of the CAT NMS criteria in place, the Plan also requires recusal by amendment to the Commission for approval; and (2) Plan. See Submission Letter, supra note 3, at 4. the Voting Senior Officer from certain votes. providing each then-current Participant with a copy 23 In the case of Affiliated Participants, one 26 See Section V(C)(1) of the Plan. of such executed Plan. individual may be (but is not required to be) the 27 See Section V(B)(4) of the Plan.

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this reason, the Plan provides that votes Committee will choose 50% of the the advisory committee required and of the Selection Committee will be Qualified Bids as Shortlisted Bids.36 established by Rule 613 (‘‘Advisory tabulated by an independent third party When voting to select the Shortlisted Committee’’). If the Commission approved by the Operating Bids from among the Qualified Bids, approves the CAT NMS Plan, the Committee.28 Moreover, the Participants each Voting Senior Officer must rank Selection Committee will determine, by do not anticipate that aggregate votes or his or her selections, and the points majority vote, which Shortlisted Bidders anonymized voting distribution assigned to the rankings increase in will have the opportunity to revise their numbers will be provided to the single-point increments.37 Thus, for Bids in light of the provisions in the Participants following votes by the example, if five Shortlisted Bids are to final, approved CAT NMS Plan.44 In Selection Committee.29 be chosen, each Participant will vote for making a decision whether to permit a The Plan divides the processes for its top five choices in rank order, with Shortlisted Bidder to revise its Bid, the review and evaluation of Bids, and the first choice being given five points, Selection Committee will consider the selection of the Plan Processor, into four the second choice four points, the third provisions in the CAT NMS Plan as well separate stages. After Bids are choice three points, the fourth choice as the content of the Shortlisted submitted,30 Section VI(A) of the Plan two points, and the fifth choice one Bidder’s initial Bid. According to the provides that the Selection Committee point. The Plan also provides that at SROs, to reduce potential conflicts of will review them to determine which least two Non-SRO Bids must be interest, the Plan also provides that, if are Qualified Bids (i.e., Bids that contain included as Shortlisted Bids, provided a Bid submitted by or including a sufficient information to allow the there are two Non-SRO Bids that are Bidding Participant or an Affiliate of a Voting Senior Officers to meaningfully Qualified Bids.38 According to the Bidding Participant is a Shortlisted assess and evaluate them).31 At this SROs, this provision further reduces the Bidder, that Bidding Participant must initial stage, if two-thirds or more of the impact of potential conflicts of interest recuse itself from all votes regarding Participants determine that a Bid does in choosing Shortlisted Bids.39 If, whether a Shortlisted Bidder will be not meet the threshold for a Qualified following the vote, no Non-SRO Bids permitted to revise its Bid.45 Bid, the Bid will be eliminated from have been selected as Shortlisted Bids, Section VI(E) provides that, after the further consideration. The Participants the Plan requires that the two Non-SRO permitted Shortlisted Bidders submit believe this initial step will ensure that Bids receiving the highest cumulative any revisions, the Selection Committee only those Bids meeting a minimum votes be added as Shortlisted Bids.40 If, will select the Plan Processor from the level of detail and sufficiency will move in this scenario, a single Non-SRO Bid Shortlisted Bids in two rounds of voting forward in the process, and insufficient was a Qualified Bid, that Non-SRO Bid where, subject to the recusal provision Bids can be eliminated.32 would be added as a Shortlisted Bid.41 described below, each Participant has Following the elimination of Bids that The Participants believe selecting one vote. In the first round, each are not Qualified Bids, each Qualified Shortlisted Bids is appropriate both to Participant will select a first and second Bidder will be provided the opportunity ensure that Bidders submit a complete choice, with the first choice receiving to present its Bid to the Selection and thorough Bid initially and so that two points and the second choice Committee.33 After the Qualified Qualified Bidders will know whether receiving one point. The two Shortlisted Bidders have made their presentations, they have a realistic opportunity to be Bids receiving the highest cumulative the Selection Committee will establish a selected as the Plan Processor after the scores in the first round will advance to subset of Bids that will move on in the CAT NMS Plan is approved.42 the second round.46 In the event of a tie process (‘‘Shortlisted Bids’’).34 The Plan resulting in more than two Shortlisted 2. Bid Revision and Selection of Plan provides that, if there are six or fewer Bids advancing to the second round, the Processor Qualified Bids submitted, all of those tie will be broken by assigning one point Bids will be selected as Shortlisted Following the selection of Shortlisted per vote to the tied Shortlisted Bids, and Bids.35 If there are more than six but Bids, the Participants will identify the the one with the most votes will fewer than eleven Qualified Bids, the optimal proposed solution(s) for the advance. If this procedure fails to break Selection Committee will choose five consolidated audit trail for inclusion in the tie, a revote will be taken on the tied Shortlisted Bids, and, if there are eleven the CAT NMS Plan for submission to Shortlisted Bids with each vote or more Qualified Bids, the Selection the Commission.43 As a part of this receiving one point. If the tie persists, process, and the overall review and the Participants will identify areas for 28 Id. evaluation of Shortlisted Bids, the discussion, and revotes will be taken 29 See Notice, supra note 5, at 69912. Selection Committee may consult with until the tie is broken.47 30 The Participants anticipate that Bids must be Once two Shortlisted Bids have been submitted four weeks after the Commission 36 See Sections VI(B)(3)–(4) of the Plan. The Plan approves the Plan. See id. chosen, the Participants will vote for a provides that, if there is an odd number of Qualified 31 The Plan defines a Qualified Bid as ‘‘a Bid that single Shortlisted Bid from the final two Bids, the number of Shortlisted Bids to be chosen 48 is deemed by the Selection Committee to include will be rounded up to the next whole number (e.g., to determine the Plan Processor. If one sufficient information regarding the Bidder’s ability if there are thirteen Qualified Bids, seven or both of the final Bids is submitted by to provide the necessary capabilities to create, Shortlisted Bids will be selected). See Section implement, and maintain a consolidated audit trail or includes a Bidding Participant or an VI(B)(4) of the Plan. In the event of a tie to select so that such Bid can be effectively evaluated by the Affiliate of a Bidding Participant, the the Shortlisted Bids, all such tied Qualified Bids Selection Committee.’’ See Section I(Q) of the Plan. will be Shortlisted Bids. See Section VI(B)(3)(c) of Bidding Participant must recuse itself The Plan provides that, ‘‘[w]hen evaluating whether 49 the Plan. from the final vote. In the event of a a Bid is a Qualified Bid, each member of the 37 Selection Committee shall consider whether the Bid See Section VI(B)(3) of the Plan. adequately addresses the evaluation factors set forth 38 Id. The Plan defines a ‘‘Non-SRO Bid’’ as ‘‘a 44 See Section IV(D)(1) of the Plan. in the RFP, and apply such weighting and priority Bid that does not include a Bidding Participant.’’ 45 See Notice, supra note 5, at 69913. See Section to the factors as such member of the Selection See Section I(L) of the Plan. V(B)(2) of the Plan. Committee deems appropriate in his or her 39 See Notice, supra note 5, at 69912–13 46 See Section VI(E)(3) of the Plan. Each round of professional judgment.’’ See id. 40 See Section VI(B)(3)(d) of the Plan. voting throughout the Plan is independent of other 32 See Notice, supra note 5, at 69912. 41 Id. rounds. 33 See Section VI(B)(1) of the Plan. 42 See Notice, supra note 5, at 69912. 47 Id. 34 See Section VI(B)(2) of the Plan. 43 See Submission Letter, supra note 3, at 7; 48 See Section VI(E)(4)(b) of the Plan. 35 See id. Section VI(D) of the Plan. 49 See Section V(B)(2) of the Plan.

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tie, a revote will be taken. If the tie A. Industry Participation that the SROs should be required to persists, the Participants will identify As proposed in the Plan, only the consult the Advisory Committee when areas for discussion and, following these SROs will participate in the selection reviewing the Shortlisted Bids to select discussions, revotes will be taken until process, and they may consult with the the Plan Processor.64 the tie is broken.50 As set forth in Advisory Committee when reviewing In response to these comments, the Section VII of the Plan, following the and evaluating the Shortlisted Bids.57 SROs indicate how the Operating selection of the Plan Processor, the Three commenters believe that industry Committee has provided, and will Participants will file with the participation in the selection process is continue to provide, for industry Commission a statement identifying the important, and they suggest varying participation in the development of the Plan Processor and including the solutions to ensure that such CAT NMS Plan.65 In response to the information required by Rule 608. participation is required by the Plan.58 comment that Advisory Committee One commenter states that the process D. Implementation consultation should be mandatory as should include the integrated part of the review of Shortlisted The terms of the Plan will be involvement and meaningful Bidders, the SROs noted that they will participation of representatives of the consult proactively with the industry for operative immediately upon approval of 59 the Plan by the Commission. The broker-dealer community. input on key aspects of the Bids, so long Specifically, the commenter states that Participants have announced that Bids as the selection process is not impaired, there should be public representation on must be submitted four weeks after the especially with regard to maintaining the Operating Committee, and that non- Commission’s approval of the Plan.51 Bidder confidential information.66 The SRO, industry members should be SROs also note that they created the The Participants will begin reviewing involved in the evaluation of Bidders and evaluating the Bids pursuant to CAT Development Advisory Group and the selection of the Plan (‘‘DAG’’) and that the DAG has been, Section VI of the Plan upon receipt of Processor.60 The commenter believes the Bids, and anticipate that it will take and will continue to be, a valuable that ‘‘[t]he unique expertise and insight source of input for the development of seven months to evaluate the Bids and of the broker-dealer community the CAT NMS Plan.67 The SROs state submit the CAT NMS Plan to the complements that of the SROs and that they will continue to engage the Commission pursuant to Sections VI(A) would bring the perspective of the 52 industry on key topics pertaining to and (B) of the Plan. As noted above, entities that will be providing the ‘lion’s aspects of the Bids that directly affect upon approval of the CAT NMS Plan, share’ of the reported data to the the industry.68 The SROs further state the Plan will automatically terminate. CAT.’’ 61 This commenter additionally that, after Bids are received in response The review of revised Shortlisted Bids recommends that the Participants and the selection of the Plan Processor to the RFP, they are committed to amend the Plan to establish the providing the DAG with anonymized will be undertaken as set forth in Advisory Committee as part of this Plan, Sections VI(D) and (E) of the Plan as information taken from Bids that will as opposed to waiting for the provide the DAG members with enough those sections are incorporated into the submission of the CAT NMS Plan, with CAT NMS Plan. specificity to allow them to understand safeguards and procedural protections the comparative advantages and IV. Comment Letters and Response to assure that the SROs fully consider 62 disadvantages of the options being Letter the views of the committee. Another considered by the SROs, so that they commenter states that it supports can contribute in a meaningful way to The Commission received six consultation with the Advisory the SROs’ analysis of such Committee as part of the selection comment letters from five commenters information.69 The SROs further note 53 process so long as safeguards are put in on the proposed Plan. Three of the that they intend to work with the DAG place to ensure the confidentiality of the commenters generally supported the to identify the particular sections of the 54 Bidders’ information is protected.63 Plan. All of the commenters had A RFP that will benefit from industry third commenter believes that the concerns with, and/or questions input during the evaluation of Bids.70 regarding, specific details on the terms Advisory Committee’s scope of participation is extremely limited and of the Plan, collectively identifying 64 should be expanded and it recommends See FIF Letter at 4. three main issues—(1) industry 65 See Response Letter, supra note 7, at 2–4. participation in the evaluation of 66 Id. The SROs, however, note that the creation Bidders, the selection of the Plan 57 See Sections II and VI(D)(2) of the Plan. of the Advisory Committee that is required by Rule Processor, and the drafting of the CAT 58 See SIFMA Letter; FINRA Letter; and FIF 613(b)(7) (‘‘Rule 613 Advisory Committee’’) is not Letter. germane to the Plan. The SROs state that the NMS Plan; (2) transparency in SRO 59 See SIFMA Letter at 1. requirement in Rule 613(b)(7) is that the CAT NMS decision-making; and (3) conflicts of 60 Id. at 2–4. Plan establish an Advisory Committee to advise the interest—and offering suggestions as to 61 Id. at 3. SROs on the implementation, operation and how those concerns and/or questions 62 Id. at 4–5. In particular, the commenter administration of the consolidated audit trail. The 55 suggests that the Plan should require the SROs: (1) SROs then state that the Rule 613 Advisory could be addressed. The Participants Committee will be established in the CAT NMS responded to the comments regarding to document and provide the Advisory Committee with a written statement, explaining the reasons for Plan, and that the CAT NMS Plan will provide 56 the proposal. any SRO rejection of a written recommendation specifics as to the role of the Rule 613 Advisory submitted by the committee; and (2) to prepare Committee in the process of reviewing and evaluating Bids. Id. at 2. 50 See Section VI(E)(4)(c) of the Plan. agendas for meetings and provide documents to be discussed at the meetings in advance to give 67 Id. at 2–4. The SROs also note their previous 51 See Notice, supra note 5, at 69913. committee members sufficient time to analyze engagement with industry through posting industry 52 Id. information and formulate views. Id. questions on the CAT NMS Plan Web site and 53 See supra note 6. 63 See FINRA Letter at 4. The commenter requests conducting open meetings. Id. at n.5. 54 See FINRA Letter at 1; SIFMA Letter at 1; FIF clarification on whether members of the Advisory 68 Id. at 2. Letter at 1. Committee would be required to sign a non- 69 Id. at 3. The SROs note that this information 55 See FINRA Letter at 1–2; Anonymous 1 Letter disclosure agreement (‘‘NDA’’) if they are given sharing will occur only after executed NDAs are in at 1; SIFMA Letter at 1; FIF Letter at 1–2; access to confidential information as part of any place with the appropriate industry members. Id. at Anonymous 2 Letter at 1; FIF Letter II at 2–3. consultation with the Selection Committee. Id. at 3– n. 7. 56 See Response Letter, supra, note 7. 4. 70 Id. at 3.

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The SROs also explain that they the alternatives to the solution selected SROs and members of the Advisory understand that broad industry input by the SROs.79 The commenter also Committee or the DAG.89 during the development of the CAT argues that because Bids cannot be Three commenters recommend that NMS Plan is critical to selecting optimal revised prior to the submission of the the selection criteria used to evaluate proposed solutions, and that they will CAT NMS Plan pursuant to the the Bids be publicly available.90 continue to hold discussions with the proposed Plan, information leakage Specifically, one commenter states that, DAG at the greatest level of detail should not be a concern.80 if the evaluation criteria are thorough possible without compromising a fair The commenter also opines that if the and known to all parties (i.e., SROs, selection process and confidential Bid SROs deem it necessary to require DAG Bidders, the industry and the information.71 members to sign NDAs in order to share Commission), the process will be more confidential portions of Bidders’ transparent and fair.91 This commenter B. Transparency responses, any such NDAs should be suggests that the evaluation process and Several commenters stress the targeted and finite in nature, specifically criteria used in the final two rounds of importance of transparency in the noting that DAG discussions on CAT voting be published prior to each round Bidder selection process and the Reporter functionality should not be of voting, or at a minimum reviewed standards the SROs will employ for subject to an NDA.81 The commenter with the industry via the DAG.92 review of Bids.72 One commenter states states that only confidential portions of Another commenter requests that the Commission should not Bids should be covered by NDAs, and clarification regarding the criteria that approve the Plan unless it is amended that to the greatest extent possible, Voting Senior Officers will employ to provide public disclosure of the information relating to Bidders’ when reviewing and ranking Bids, both selection process.73 The commenter responses should be publicly available when selecting the Shortlisted Bids recommends that the SROs publish the to facilitate critical outreach from the from the Qualified Bids and when Bidders and the contents of the Bids, DAG.82 selecting the Plan Processor from the explaining that the Bids should be In response to these comments, the Shortlisted Bids.93 A third commenter available to the public to inform the SROs state that they do not intend to suggests that the SROs should publish discussion regarding the costs and publish the content of the Bids in order information about the results of each benefits, and technological feasibility of to manage a fair process and to address round of voting (e.g., the total votes different solutions.74 The commenter Bidders’ concerns regarding the received by each Bidder or a ranking of believes that these responses to the RFP confidentiality of proprietary and other the Bidders by voting result).94 and the SROs’ rationale for eliminating sensitive information during the In response to these comments, the them from consideration as the Plan selection process.83 The SROs represent SROs agree to publish more detailed Processor will be important for the that this is standard industry practice.84 descriptions of the evaluation criteria industry to consider in commenting on The SROs further indicate that, as listed in the RFP, which will be used by the CAT NMS Plan.75 required by Rule 613, the CAT NMS each SRO as a guideline when Another commenter recommends that Plan submitted will discuss appropriate evaluating Bids.95 The SROs note that the SROs share information contained and anonymized elements of the Bids the evaluation criteria can be broadly in the Bids, specifically relating to the that were not selected, including the grouped into the following five areas: (1) functions and interfaces of the entities relative advantages and disadvantages of technical architecture, (2) operations— (i.e., broker-dealers and SROs) that are each solution, an assessment of the costs technical (processing capability), (3) required to report to the CAT (‘‘CAT and benefits, and the basis upon which operations—non-technical, (4) company Reporters’’), so that the industry can the SROs selected the optimal proposed information, and (5) contract and terms. provide feedback to the SROs for solutions in the CAT NMS Plan.85 The The SROs further provide lists of assessment of Bidder responses.76 The SROs also note that the CAT NMS Plan criteria within each of the five areas in commenter believes that broad input will be subject to notice and comment.86 the Response Letter.96 The SROs explain from the DAG during the CAT NMS However, the SROs state that they will that each SRO’s assessment will be Plan development process is critical to seek industry feedback on proposed informed by the defined criteria noted ensure that the SROs consider issues approaches and key themes of the RFP above but that an individual SRO may from the CAT Reporter perspective.77 responses.87 determine that other factors are The commenter maintains that this The SROs also state that, prior to any important in making its independent information would represent an external consultation with the Advisory evaluation of a Bid.97 The SROs do not description of the Plan Processor and Committee or the DAG about intend to publish voting results.98 The should not require any disclosure of information contained in a Bid, the SROs state that this approach is internal implementations or proprietary SROs will require the execution of an considered standard industry practice information from the Bidders.78 Further, NDA.88 In response to the comment and there is no articulated benefit to the commenter argues that this level of regarding the scope of NDAs, the SROs making this information publicly information will be public information state that NDAs will be appropriately available. The SROs state that they are once the CAT NMS Plan is published as drafted to protect confidential concerned that the public disclosure of Rule 613 requires that the CAT NMS information while allowing for such information may incorrectly and Plan be sufficiently detailed to describe meaningful discussion between the 89 Id. 71 Id. 79 See FIF Letter II at 2–3. 90 See FINRA Letter at 2; SIFMA Letter at 3; FIF 72 See FINRA Letter at 1–2; SIFMA Letter at 1– 80 Id. at 2. Letter at 2. 3; FIF Letter at 2–3; FIF Letter II at 2. 81 See FIF Letter II at 3. 91 See FIF Letter at 2. 73 See SIFMA Letter at 3. 82 Id. 92 Id. 74 Id. at 2. 83 See Response Letter, supra note 7, at 9. 93 See FINRA Letter at 2. 75 Id. 84 Id. 94 See SIFMA Letter at 3. 76 See FIF Letter at 2–3; and FIF Letter II at 2– 85 Id. 95 See Response Letter, supra note 7, at 4. 3. 86 Id. 96 Id. at 4–5. 77 See FIF Letter II at 3. 87 Id. at 8. 97 Id. at 5. 78 See FIF Letter at 3. 88 Id. 98 Id. at 9.

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inaccurately suggest the relative clarify that the optimal proposed have sought to mitigate these potential strength of a particular Bid without any solutions could include approaches conflicts of interest by including in the meaningful context.99 from different Bids in order to identify Plan multiple provisions designed to One commenter recommends that the a solution that best meets the balance these competing factors, and minutes of the SRO Operating requirements of Rule 613.108 The SROs have established information barriers, Committee meetings be made public, in recognize that there may be inherent which they believe are sufficient to order to further increase transparency challenges in combining elements of maintain functional separation between and serve as a communications vehicle separate solutions, but they want to employees representing a specific SRO for informing the industry of the CAT ensure the flexibility in the evaluation as part of the consortium planning the 100 governance actions and decisions. In process to identify a holistic solution CAT and employees developing Bids.118 response to this comment, the SROs that is better suited to meet the The SROs state that the implementation indicate that the Operating Committee requirements of Rule 613, while not of information barriers is considered a meeting minutes will not be made being limited to the components of any standard industry practice for mitigating public either prior to or after approval 109 individual Bid. The SROs intend to the risks of conflicts of interests.119 The of the CAT NMS Plan.101 The SROs consult with the DAG and the industry SROs continue to believe that the Plan state that, in managing a fair process as part of the review of anonymized achieves this balance by allowing all and maintaining Bidder confidentiality solutions from the Bids, including, but SROs to participate meaningfully in the as provided for in the NDA executed not limited to, requesting input on the process of creating the CAT NMS Plan with the Bidders, the SROs will not technical and operational specifications and choosing the Plan Processor, while publish Operating Committee minutes of the proposed solutions, and the imposing strict requirements to ensure during the Bid evaluation and selection associated cost-benefit analysis.110 process.102 The SROs believe that this that the participation is independent approach encourages effective and C. Conflicts of Interest and that the process is fair and critical review of the Bids as well as Two commenters express concerns transparent.120 open and frank discussions in light of that the provisions in the Plan that are Distinct from the concern regarding all material considerations, including intended to address conflicts of interest potential conflicts of interest arising timing and complexity.103 The SROs are insufficient.111 One commenter from an SRO that is also a Bidder, one explain that the decisions made by the questions the genuineness of the commenter suggests that the Plan or Operating Committee regarding aspects separation through firewalls within the NDA should be amended to require, of the Bids will be reflected in the CAT SROs intended to segregate individuals even for SROs that are not Bidders or NMS Plan, which will be open to public participating in the selection process Affiliates of Bidders, the functional comment, and will include an analysis from those participating in the bidding separation of employees representing an of both the optimal proposed solutions process.112 The commenter also SRO for purposes of the selection and those solutions not selected, thus expresses concern that it is challenging process and its business or commercial providing the public with the to enforce and monitor such functions to safeguard against misuse of 113 opportunity to consider the SROs’ restrictions. The commenter further Bidders’ confidential information.121 decisions.104 The SROs further state recommends that the Plan either limit that, once the CAT NMS Plan has been the Bidders to non-SROs or only to The SROs state that, although the approved and the Advisory Committee SROs.114 Another commenter Bidding Participants are required to has been established, members of that recommends that the Plan require maintain the functional separation committee will have the right to attend Bidding Participants to be recused from suggested by the commenter, it will not CAT management committee meetings, both rounds of voting on Shortlisted be practical for all other SROs to isolate except for executive sessions, and, as Bids, not just the second round of voting their employees that participate in the such, will have access to the minutes to select the Plan Processor.115 Bid evaluation and selection process, as from such meetings, as well as the right In response to these comments, the varying skillsets will be required to fully to receive information concerning the SROs note the important regulatory evaluate the Bids, and many SROs are operation of the central repository and obligations that exist for each of them faced with resource constraints that to provide their views to the SROs.105 with respect to the creation and would make them unable to wall off Finally, one commenter requests operation of the CAT, and that it is certain personnel without either clarification on whether the optimal essential that each one contribute to the decreasing the expertise available to proposed solutions for the CAT NMS development of the CAT NMS Plan and evaluate Bids or having inadequate Plan will be the product of an the selection of the Plan Processor.116 resources to manage their business/ individual Bid or a composite of select However, the SROs recognize that SROs commercial functions.122 While the portions of multiple Bids.106 If it will be or Affiliates of SROs may also be SROs state that it is not practical to the latter, the commenter questions how Bidders seeking to serve as the Plan isolate non-Bidding SRO employees the SROs will determine the costs and Processor or may be included as part of participating in the Bid evaluation and benefits of such solutions.107 In a Bid.117 The SROs represent that they selection process from other SRO response to this comment, the SROs employees, they represent that, to 108 See Response Letter, supra note 7, at 8. protect Bidders’ confidential 99 Id. 109 Id. information, all SROs will adhere to the 100 See FIF Letter at 2. 110 Id. at 4. section of the NDA executed with 101 See Response Letter, supra note 7, at 10. 111 See Anonymous 1 Letter at 1; Anonymous 2 Bidders that restricts the distribution 102 Letter at 1. Id. and use of Bid information by SROs, 103 Id. 112 See Anonymous 1 Letter at 1. 104 Id. 113 Id. 105 Id. The SROs state, however, that consistent 114 Id. 118 Id. with standard industry practices, the SROs will not 115 See Anonymous 2 Letter at 1. The commenter 119 Id. share the minutes with the industry as a whole. Id. has submitted an intent to bid on the RFP. Id. 120 Id. 106 See FIF Letter at 2. 116 See Response Letter, supra note 7, at 7. 121 See FINRA Letter at 4. 107 Id. 117 Id. 122 Id.

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their affiliates, agents, advisors, and approved CAT NMS Plan, and available, and that Bidders must have contractors by obligating such parties: recommends removing the requirement adequate time to modify their Bids to (i) to hold the Disclosing Party’s that the Selection Committee grant reengage subcontractors and product/ Confidential Information in strict confidence permission to revise Bids.128 service providers, as well as to update and to protect such Confidential Information In response to these comments, the prices for technology components.138 from disclosure to others (including, without SROs state that they recognize the value Accordingly, the commenter limitation, all precautions the Receiving of allowing the Shortlisted Bidders to recommends that the due date for Bids Party employs with respect to its own revise their Bids and expect that in response to the RFP be 12 weeks after Confidential Information), (ii) no [sic] to including this component in the Plan approval of the Plan.139 Another divulge any such Confidential Information will result in better quality and more commenter does not believe that two . . . other than to its Representatives for the 129 purpose of assisting the Receiving Party with comprehensive Bids from all Bidders. months after effectiveness of the CAT respect to the CAT NMS Selection Process, Further, the SROs note that preserving NMS Plan is sufficient time for the and (ii) [sic] not to make use whatsoever at their discretion to limit revision of Bids SROs to select a Plan Processor from any time of Confidential Information except is important, particularly in the instance among the Shortlisted Bidders, to evaluate and discuss the CAT NMS where there are six or fewer Bidders, all particularly if there are significant Selection Process . . . the Receiving Party of whom would automatically become changes from the proposed and shall ensure that its Representatives comply Shortlisted Bidders.130 The SROs approved CAT NMS Plan.140 The with this Agreement as if they were parties believe that without SRO discretion to to this Agreement.123 commenter recommends a four- to six- determine which Bidders can revise month period to allow the Shortlisted D. Other Issues their Bids, Bidders may not provide Bidders time to revise their Bids to detailed information in their initial 1. Revision of Bids reflect the approved CAT NMS Plan, Bids, but will await the final structure and to allow the SROs time to consider The proposed Plan provides that, of the CAT NMS Plan to provide full the Bids and seek industry and 131 following approval of the CAT NMS information in their revised Bids. technical expertise to aid their Plan, upon a majority vote of the Therefore, the SROs believe they need evaluation process.141 Selection Committee, Shortlisted discretion to not allow a Shortlisted In response to the comment regarding Bidders will be permitted to revise their Bidder to revise its Bid if the initial Bid the due date for Bids, the SROs indicate Bids provided that revisions are did not clearly communicate a cogent, that the anticipated deadline four weeks necessary or appropriate in light of the workable plan and evidence the ability after the approval of the Plan is based Shortlisted Bidder’s initial Bid and the to execute the plan.132 Accordingly, the on the current requirement to submit provisions in the approved CAT NMS SROs will assess whether revisions are the CAT NMS Plan by September 30, Plan. One commenter recommends that necessary or appropriate in light of the 2014.142 the Selection Committee instead should content of the Shortlisted Bidder’s However, the SROs note that, if only allow revised Bids: (1) After the initial Bid and the provisions of the the approved Plan has a material impact first round of voting on the Shortlisted approved CAT NMS Plan.133 More on the Bidders’ ability to respond to the specifically, the SROs anticipate RFP, then the due date may be Bidders, at which time the list of 143 Bidders would be narrowed to two; and permitting revision of Bids where the extended. In response to the (2) only for the purposes of confirming initial Bid clearly communicated a comment regarding the timeframe to that the final two Bidders have feasible CAT approach and showed a select the Plan Processor, the SROs note proposals that meet the requirements of substantial likelihood that the Bidder that that requirement is mandated by Rule 613(a)(3)(i) and that they hope to the approved CAT NMS Plan.124 The could implement the approach meet the deadline.144 commenter also believes that, if contained in the approved CAT NMS Going forward, the revisions would require material Plan.134 The SROs believe this is SROs indicate that they will continue to changes to the Bid of either of the two consistent with standard industry evaluate whether, and how much, remaining Bidders, both Bidders should practices when managing an RFP additional time they may be required to 135 seek from the Commission for the be permitted to revise their Bids.125 This process. selection of the Plan Processor.145 commenter is concerned that allowing 2. Timing Bidders to revise their Bids too early in 3. Quorum Standard the selection process could materially Two commenters express concerns impact the depth and breadth of with timing related to the selection One commenter is concerned that the 136 information that Bidders are willing to process. One commenter takes issue quorum standard for the Selection provide in their initial Bids.126 Under with the due date for Bids in response Committee is too difficult and could to the RFP being four weeks after lead to delays.146 Specifically, the the Plan as proposed, the commenter 137 believes that Bidders will not have a approval of this Plan. Specifically, commenter notes that each SRO’s strong incentive to put forth their best the commenter believes that Bidding Voting Senior Officer is a very unique ideas, processes, systems, and methods Participants are likely to have employee and is concerned that such in response to the initial RFP, and will information about the final selection individuals may not always be available process and associated timeline for include only enough information to for meetings of the Selection approval before it is made publicly meet the Qualified Bidder threshold.127 Contrary to this position, another 138 Id. 128 See FIF Letter at 4. 139 commenter believes that all Bidders Id. 129 See Response Letter, supra note 7, at 6. 140 See FIF Letter at 5. should be permitted to revise their Bids, 130 Id. 141 Id. based on the provisions contained in the 131 Id. 142 See Response Letter, supra note 7, at 11–12. 132 Id. 143 Id. at 12. Any such changes to the due date 123 See Response Letter, supra note 7, at 10–11. 133 Id. will be communicated to Bidders as soon as such 124 See FINRA Letter at 2–3. 134 Id. a decision is made. Id. 125 Id at 3. 135 Id. 144 Id. at 11. 126 Id at 3. 136 See Anonymous 2 Letter at 1; FIF Letter at 5. 145 Id. 127 Id. 137 See Anonymous 2 Letter at 1. 146 See FIF Letter at 2.

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Committee.147 The commenter further any aspect of information included in a market system.164 Rule 613 mandates believes that, because all Voting Senior Bid, the SROs intend to require the that the SROs develop the CAT NMS Officers are required to be present in execution of NDAs by members of the Plan, and the SROs have voluntarily order to have a quorum of the Selection Advisory Committee or the DAG, thus filed this Plan for the purpose of Committee, delays in the evaluation and facilitating communication and facilitating that development. The voting procedures could occur.148 mitigating the confidentiality risks of Commission believes the Plan is Consequently, the commenter proprietary Bidder information.157 reasonably designed to govern the recommends that an alternate member, Additionally, the SROs indicate that it process by which the SROs will with less stringent qualifications, be will be a requirement that no member of formulate and submit the CAT NMS considered as a voting substitute for the the Advisory Committee or the DAG Plan, including the review, evaluation, Voting Senior Officer, but any actions will have affiliations with Bidding and narrowing down of Bids in response taken by the voting substitute would entities, unless such members have to the RFP, and ultimately choosing the continue to be the direct responsibility functional separation between their Plan Processor that will build, operate, 149 of the Voting Senior Officer. representatives on the DAG and their and maintain the consolidated audit In response to this comment, the representatives involved with entities trail. The Commission believes that the SROs state that they will ensure that all preparing or participating in a Bid Plan should thereby help promote the Voting Senior Officers will be in similar to those restrictions imposed on goals of investor protection, and fair and attendance for all voting processes as orderly markets, by describing the part of the Plan Processor selection, Bidding SROs under Section V(D) of the Plan.158 process of developing the CAT NMS either in person or telephonically, as Plan, selecting a Plan Processor, and permitted under operation of the CAT In response to comments ultimately creating the consolidated beyond the selection of the Plan recommending the dissemination of audit trail, which will substantially Processor.150 The SROs further indicate DAG materials, the SROs state that they enhance the ability of the SROs and the that the Plan does not affect the are committed to holding an open Commission to oversee today’s operation of the CAT beyond the dialogue with industry members during securities markets and fulfill their selection of the Plan Processor, and, as the development of the CAT NMS Plan responsibilities under the federal such, the SROs will include additional and will host additional industry securities laws. personnel with voting rights as part of outreach events to communicate, among the broader governance of the CAT.151 other updates, decisions and ongoing The Commission notes that, in response to the comments regarding 4. Information Sharing discussion topics from DAG meetings.159 The SROs state that they industry participation in the selection Another commenter expresses a will post to the CAT NMS Plan Web site process,165 the SROs state that the DAG concern related to information sharing those materials from DAG discussions is a valuable source of input for the 152 with Bidders. Specifically, the that are deemed to be non-confidential development of the CAT NMS Plan, and commenter believes that some Bidders information regarding the CAT NMS commit to provide the DAG with may be affiliated or associated with Plan development and Bidder anonymized information taken from members of the DAG and, therefore, evaluation process, such as gap analyses Bids with enough specificity to allow may have access to information relating regarding the sunsetting of existing the DAG to understand the comparative to DAG discussions that other Bidders regulatory systems.160 However, the advantages and disadvantages of the do not.153 The commenter further SROs state that not all DAG materials options being considered so that the believes that all Bidders should have will be posted to the Web site in order DAG can contribute in a meaningful uniform information relating to DAG to safeguard confidential information way to the SROs’ analysis of Bid discussions and recommends that a and maintain a fair process.161 information.166 The SROs also commit formal process be developed under to continue to work with the DAG to which the SROs disseminate V. Discussion and Commission Findings identify the particular sections of the information to all Bidders relating to RFP that will benefit from industry DAG discussions that are relevant to the After carefully considering the input, and to solicit the views of the Bidding process.154 Another commenter proposed Plan, the issues raised by the DAG and the industry for the required similarly stated that the Bidders and all comment letters, and the Response cost-benefit analysis, while adhering to other interested parties should have Letter, including the commitments their responsibility to maintain the access to DAG discussions.155 The contained therein, the Commission has confidentiality of the Bid commenter recommended that all DAG determined to approve the Plan 167 meeting materials and minutes could be pursuant to Section 11A(a)(3)(B) of the submissions. The Commission believes that such an ongoing and open posted on the CAT NMS Plan Web site Act 162 and Rule 608,163 in that it is dialogue between the SROs and the to achieve this goal.156 necessary or appropriate in the public DAG during the selection process is In response to the concern that some interest, for the protection of investors appropriate, and will facilitate the Bidders will have access to the DAG and the maintenance of fair and orderly drafting of a detailed and thoughtful discussions while others will not, the markets, to remove impediments to, and CAT NMS Plan, as contemplated by SROs state that, prior to consultation on perfect the mechanism of, a national Rule 613. The Commission encourages

147 the SROs to consult with and utilize the Id. 157 See Response Letter, supra note 7, at 8. 148 DAG to inform their decision making Id. 158 Id. at 9. 149 Id. 159 Id. at 9. processes. 150 See Response Letter, supra note 7, at 7. 160 Id. 151 Id. at 7–8. 161 Id. 164 17 CFR 242.608(b)(2). See also 15 U.S.C. 78k– 152 See FINRA Letter at 4. 162 15 U.S.C. 78k–1(a)(3)(B). 1(a). 153 Id. 163 17 CFR 242.608. In approving this Plan, the 165 See SIFMA Letter at 1–5; FINRA Letter at 4; 154 Id at 4–5. Commission has considered the proposed rule’s and FIF Letter at 4. 155 See FIF Letter II at 2. impact on efficiency, competition, and capital 166 See Response Letter, supra note 7, at 2–4. 156 Id. formation. See 15 U.S.C. 78c(f). 167 Id.

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With respect to the comments on the Bidders to revise their Bids.173 In their Advisory Committee or the DAG will be transparency of the selection process,168 Response Letter, the SROs state that permitted to have affiliations with the SROs reiterate their commitment to they will not modify their proposal to Bidding entities, unless such members provide transparency to the industry permit each Shortlisted Bidder the have functional separation between during the selection process and opportunity to revise its Bid only if a their representatives on the DAG and thereafter, and agree to provide more majority of the Selection Committee their representatives involved with detailed descriptions of their evaluation believes that revisions by the particular entities preparing or participating in a criteria in the RFP.169 The SROs, Bidder are ‘‘necessary or appropriate.’’ Bid.183 however, recognize the need to balance As noted above, the SROs believe that The Commission finds that the Plan is full transparency with Bidder concerns without SRO discretion to determine about the confidentiality of proprietary which Bidders can revise their Bids, necessary or appropriate in the public information, in addition to more general Bidders may not provide detailed interest, for the protection of investors concerns about inhibiting an open information in their initial Bids, but will and the maintenance of fair and orderly dialogue during the decision-making await the final structure of the CAT markets, to remove impediments to, and process. In light of these concerns, the NMS Plan to provide full information in perfect the mechanism of, a national SROs decline to publish the contents of their revised Bids.174 The Commission market system and that it is reasonably the Bids, the Operating Committee believes that the SROs’ approach is designed to achieve its objective of minutes, or the SRO voting results.170 reasonably designed to help assure that facilitating the development of the CAT The Commission believes in the the SROs receive sufficiently detailed NMS Plan and the selection of the Plan importance of a transparent process information to develop the CAT NMS Processor. Accordingly, the Commission with respect to the development of the Plan. expects that the Participants will CAT NMS Plan and to the selection of With respect to the comments raised implement the Plan as described, and a Plan Processor, but at the same time by a commenter relating to the due date complete the evaluation of the Bids and for Bids 175 (four weeks after recognizes the legitimate concerns of submission of the CAT NMS Plan as Commission approval of the Selection Bidders regarding the confidentiality of required by Rule 613.184 proprietary and other sensitive NMS Plan), the Commission notes that information, and the desire by the SROs the SROs explain that the timeframe is VI. Conclusion based on the current requirement to to encourage Bidders to provide It is therefore ordered, pursuant to sufficiently detailed Bids to facilitate submit the CAT NMS Plan by Sections 11A of the Act,185 and the rules the development of a robust CAT NMS September 30, 2014, and note that, if the thereunder, that the Plan (File No. 4– Plan. The Commission believes that the approved Plan has a material impact on SROs have appropriately balanced these the Bidders’ ability to respond to the 668) is approved and declared effective, competing goals as described above. RFP, then the SROs may extend this and the Participants are authorized to date.176 Regarding the comments made act jointly to implement the Plan as a To address concerns regarding by another commenter relating to the means of facilitating a national market potential conflicts of interest in the two-month period for the selection of system. selection process,171 the SROs included the Plan Processor,177 the Commission in the Plan multiple provisions that are notes that this is a deadline imposed by By the Commission. intended to balance the need for SROs Rule 613(a)(3)(i) 178 and that the SROs Kevin M. O’Neill, to participate in the process given the state that they hope to meet this Deputy Secretary. important regulatory obligations that deadline but will continue to evaluate [FR Doc. 2014–04240 Filed 2–26–14; 8:45 am] exist for each of them with respect to whether, and, if so, how much, BILLING CODE 8011–01–P the creation and operation of the CAT, additional time may be required, and

with the potential for conflicts of will seek additional time from the 183 interest that can arise when an SRO is See Response Letter, supra note 7, at 9. Commission for the selection of the Plan 184 Rule 613(a)(1) required the SROs to file the 172 179 a Bidding Participant. The Processor if needed. CAT NMS Plan 270 days from the date of Commission believes that the SROs With respect to the comment publication of the Adopting Release in the Federal have included reasonable steps to regarding the quorum requirement for Register. See 17 CFR 242.613(a)(1). The Adopting address the concerns about conflicts of Selection Committee meetings,180 the Released was published on August 1, 2012, thus interest. Commission notes that the SROs state establishing April 28, 2013 as the initial deadline for the submission of the CAT NMS Plan. See With regard to the issue of when and that they will ensure that all Voting Adopting Release, supra note 8. Since April 28, under what circumstances Bidders Senior Officers will be in attendance for 2013, was a Sunday, in accordance with Rule 160(a) should be permitted to revise their Bids, all voting processes as part of the Plan of the Commission’s Rules of Practice, the deadline for filing the CAT NMS plan was Monday, April 29, one commenter encourages the SROs to Processor selection, either in person or telephonically.181 With respect to the 2013. On March 7, 2013, the Commission granted liberalize the proposed Plan’s approach a request from the SROs for a temporary exemption concerns regarding information from this deadline until December 6, 2013. See to allowing revisions while another 182 commenter suggests that the SROs sharing, the Commission notes that, Securities Exchange Act Release No. 69060, 78 FR increase restrictions on the ability of in addition to requiring NDAs, the SROs 15771 (March 12, 2013); and letter to Elizabeth M. have indicated that no member of the Murphy, Secretary, Commission, from Robert L.D. Colby, Executive Vice President and Chief Legal 168 See FINRA Letter at 1–2; SIFMA Letter at 1– Officer, FINRA, dated February 7, 2013. On 173 See FIF Letter at 4; FINRA Letter at 2–3. 3; FIF Letter at 2–3. December 6, 2013, the Commission granted a 174 See Response Letter, supra note 7, at 6. 169 See Response Letter, supra note 7, at 4–5. second request from the SROs for a temporary 175 See Anonymous 2 Letter at 1. 170 exemption from the new deadline until September Id. at 9–10. The Commission further notes that 176 keeping voting information non-public can help See Response Letter, supra note 7, at 11–12. 30, 2014. See Securities Exchange Act Release No. 177 address conflicts of interest by limiting the ability See FIF Letter at 5. 71018, 78 FR 75669 (December 12, 2013); and letter of outsiders to observe and reward certain voting 178 See Response Letter, supra note 7, at 11. to Elizabeth M. Murphy, Secretary, Commission, behavior. 179 Id. from Robert L.D. Colby, Executive Vice President 171 See Anonymous 1 Letter at 1; Anonymous 2 180 See FIF Letter at 2. and Chief Legal Officer, FINRA, dated November 7, Letter at 1. 181 See Response Letter, supra note 7, at 7. 2013. 172 See Response Letter, supra note 7, at 7. 182 See FINRA Letter at 4–5. 185 15 U.S.C. 78k–1.

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SECURITIES AND EXCHANGE published for comment in the Federal Commission is publishing this notice to COMMISSION Register on June 28, 2013.3 solicit comments on Amendment No. 1 The Commission initially received to the proposed rule change from Sunshine Act Meeting five comment letters on the proposal.4 interested persons and is approving the On August 9, 2013, the MSRB granted proposed rule change, as modified by FEDERAL REGISTER CITATION OF PREVIOUS an extension of time, until September Amendment No. 1, on an accelerated ANNOUNCEMENT: [79 FR 10578, February 26, 2013, for the Commission to act on basis. 25, 2014]. the filing. On September 26, 2013, the STATUS: Closed Meeting. Commission instituted proceedings to II. Description of the Proposed Rule Change PLACE: 100 F Street NE., Washington, determine whether to disapprove the DC. proposed rule change.5 In response to The MSRB’s Electronic Municipal DATE AND TIME OF PREVIOUSLY ANNOUNCED the Order Instituting Proceedings, the Market Access (‘‘EMMA’’) system MEETING: Thursday, February 27, 2014 at Commission received four additional currently serves as a centralized venue 2:00 p.m. comment letters on the proposal.6 On for the submission by underwriters of 529 plan primary offering disclosure CHANGE IN THE MEETING: Time Change. December 19, 2013, the Commission The Closed Meeting scheduled for extended the time period for documents (‘‘plan disclosure Thursday, February 27, 2014 at 2:00 Commission action to February 23, documents’’) and continuing 7 p.m. has been changed to Thursday, 2014. On January 14, 2014, the MSRB disclosures, such as annual financial February 27, 2014 at 11:00 a.m. submitted a response to the comment reports submitted by issuers or their 8 At times, changes in Commission letters and filed Amendment No. 1 to agents. The MSRB, however, does not 9 priorities require alterations in the the proposed rule change. The currently receive detailed underwriting scheduling of meeting items. For further or transaction information as it does for 3 information and to ascertain what, if Securities Exchange Act Release No. 69835 other types of municipal securities. (June 24, 2013), 78 FR 39048 (‘‘Notice’’). According to the MSRB, the proposed any, matters have been added, deleted 4 See letters to Elizabeth M. Murphy, Secretary, rule change will, for the first time, or postponed, please contact the Office Commission, from Tamara K. Salmon, Senior of the Secretary at (202) 551–5400. Associate Counsel, Investment Company Institute, provide the MSRB with more dated July 16, 2013 (‘‘ICI Letter’’); David L. Cohen, comprehensive information regarding Dated: February 25, 2014. Managing Director, Associate General Counsel, 529 plans underwritten by brokers, Elizabeth M. Murphy, Securities Industry and Financial Markets dealers, or municipal securities dealers Association, dated July 18, 2013 (‘‘SIFMA Letter’’); Secretary. Roger Michaud, Chairman, College Savings by gathering data directly from such [FR Doc. 2014–04396 Filed 2–25–14; 11:15 am] Foundation, dated July 19, 2013 (‘‘CSF Letter’’); persons. BILLING CODE 8011–01–P Michael L. Fitzgerald, Chairman, College Savings The MSRB proposes to adopt Rule G– Plans Network, dated July 19, 2013 (‘‘CSPN 45. Rule G–45 will require each Letter’’); and Michael B. Koffler, Partner, Sutherland Asbill & Brennan, dated July 19, 2013 underwriter of a primary offering of SECURITIES AND EXCHANGE (‘‘Sutherland Letter’’). municipal fund securities 10 (excluding COMMISSION 5 Securities Exchange Act Release No. 70531 interests in local government (Sept. 26, 2013), 78 FR 60985 (Oct. 2, 2013) (‘‘Order [Release No. 34–71598; File No. SR–MSRB– Instituting Proceedings’’). and those entities that identify themselves as 2013–04] 6 See letters to Elizabeth M. Murphy, Secretary, underwriters of the 529 plan and aggregate their Commission, from Tamara K. Salmon, Senior information with the submitter’s information; (v) Self-Regulatory Organizations; Associate Counsel, Investment Company Institute, clarify that underwriters must identify the Municipal Securities Rulemaking dated November 8, 2013 (‘‘ICI Letter II’’); Roger percentage of each underlying investment in an Board; Notice of Filing of Amendment Michaud, Chairman, College Savings Foundation, investment option but not submit information dated November 18, 2013 (‘‘CSF Letter II’’); Michael No. 1 and Order Granting Accelerated regarding the assets in each underlying investment; L. Fitzgerald, Chairman, College Savings Plans (vi) clarify that, for each investment option offered Approval of Proposed Rule Change, as Network, dated November 18, 2013 (‘‘CSPN Letter by a 529 plan, the underwriter will provide the Modified by Amendment No. 1 Thereto, II’’); and Michael B. Koffler, Partner, Sutherland MSRB with the name and allocation percentage of Relating to a New MSRB Rule G–45, on Asbill & Brennan, dated November 18, 2013 each underlying investment in each investment (‘‘Sutherland Letter II’’). Reporting of Information on Municipal option as of the end of the most recent semi-annual 7 Securities Exchange Act Release No. 71144 period; (vii) clarify that the MSRB does not Fund Securities (December 19, 2013), 78 FR 78451 (December 26, contemplate that a state sponsor of a 529 plan, as 2013). an instrumentality of the state, would be an February 21, 2014. 8 See letter to Elizabeth M. Murphy, Secretary, underwriter under federal securities laws; (viii) Commission, from Lawrence P. Sandor, Deputy explain that an underwriter would not be required I. Introduction General Counsel, MSRB, dated January 14, 2014 to submit information on Form G–45 that it neither On June 10, 2013, the Municipal (‘‘MSRB Response Letter’’). possesses nor has the legal right to obtain; (ix) Securities Rulemaking Board (‘‘MSRB’’) 9 Amendment No. 1 has been placed in the public explain that, to the extent the information comment file for SR–MSRB–2013–04 at http:// submitted was prepared by the underwriter or, filed with the Securities and Exchange www.sec.gov/comments/sr-msrb-2013-04/ through delegation, one of its contractors or sub- Commission (‘‘Commission’’), pursuant msrb201304-11.pdf (see letter from Lawrence P. contractors, and the information was inaccurate or to Section 19(b)(1) of the Securities Sandor, Deputy General Counsel, MSRB, to incomplete, the underwriter would be responsible Exchange Act of 1934 (‘‘Act’’) 1 and Rule Elizabeth M. Murphy, Secretary, Commission, dated for the information and therefore be liable for such January 14, 2014). In Amendment No. 1, the MSRB information under proposed Rule G–45; and (x) 2 19b–4 thereunder, a proposed rule amended and restated the original proposed rule clarify in Rule G–45 that performance data shall be change consisting of (1) MSRB Rule G– change to: (i) Clarify that the information submitted reported annually. The MSRB also clarified various 45 (reporting of information on by underwriters includes asset allocation aspects of how the information should be reported municipal fund securities), (2) MSRB information for the assets of each investment on Form G–45. option; (ii) omit statements concerning the 10 The term ‘‘municipal fund security’’ is defined Form G–45, (3) amendments to MSRB interpretation of the meaning of ‘‘underwriter’’ in MSRB Rule D–12 to mean a municipal security Rule G–8 (books and records), and (4) under the federal securities laws and rules issued by an issuer that, but for the application of MSRB Rule G–9 (preservation of thereunder; (iii) clarify that each entity must Section 2(b) of the Investment Company Act of records). The proposed rule change was determine, based on the facts and circumstances, 1940, would constitute an investment company whether it is an underwriter under the federal within the meaning of Section 3 of the Investment securities laws; (iv) revise the rule text to clarify Company Act of 1940. Interests in 529 plans are the 1 15 U.S.C. 78s(b)(1). that an underwriter that submits Form G–45 would only type of municipal fund security that will be 2 17 CFR 240.19b–4. be obligated to submit information only for itself covered by the proposed rule change.

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investment pools) to report on Form G– III. Summary of Comments Received entities (in addition to primary 45 information relating to such offering and the MSRB’s Response distributors) involved in operating or by no later than 60 days following the As noted above, the Commission has maintaining a plan, such as the plan’s end of each semi-annual reporting received a total of nine comment letters program manager, their affiliates and/or period ending on June 30 and December on the proposed rule change.16 Four of contractors, could be deemed 31.11 In addition, the MSRB proposes to the commenters expressed general underwriters for purposes of the rule. 27 require that performance data be support for the MSRB’s desire to collect One commenter asserted that 529 submitted annually by no later than 60 more comprehensive information plans typically have only one 28 days following the end of the reporting relating to 529 plans.17 However, all of underwriter and argued, along with 29 period ending on December 31.12 The the commenters raised concerns or other concurring commenters, that proposal also requires disclosure sought clarification about certain many other entities involved in regarding plan descriptive information, specific aspects of the proposal, operating and maintaining a plan, such asset allocation information, including: (i) The scope of the definition as the plan’s program manager, contributions, withdrawals, fee and cost of ‘‘underwriter’’; 18 (ii) the disclosure recordkeeper, investment manager, structure, performance data, and other obligations of underwriters, including custodian, and state sponsor, in most cases, would not and should not be information.13 their ability to obtain, and verify the accuracy of, the requested underwriters for purposes of Rule G–45. Under proposed Rule G–45, brokers, Several commenters emphasized that, information; 19 (iii) the need for dealers, or municipal securities dealers to fall within the definition of publication of the Form G–45 Manual; 20 that are underwriters under Rule 15c2– ‘‘underwriter’’ under Rule G–45, a (iv) the MSRB’s plans to publicly 12(f)(8) of the Act will have the person or entity must be a broker, disseminate information filed on Form obligation to submit the requested dealer, or municipal securities dealer.30 G–45; 21 (v) the regulatory basis for the information.14 The MSRB notes that One commenter argued that a plan’s proposed rule change and value of the there may be more than one underwriter program manager, recordkeeper, requested information on Form G–45; 22 in a particular primary offering but will investment manager, custodian, and and (vi) the statutory basis for the deem the reporting obligation fulfilled if state sponsor generally are not brokers proposed rule change.23 Further, some any one of the underwriters submits the or dealers and therefore would not commenters argued that the MSRB qualify as underwriters.31 Accordingly, required information. Accordingly, on should analyze the costs and benefits Form G–45, each submitter could this commenter requested that the associated with the proposed rule MSRB clarify that the term provide the names of each underwriter change.24 Finally, some commenters that has identified itself as such and on ‘‘underwriter’’ would not include such requested certain modifications to the entities if they provide services to the whose behalf the information is content of Form G–45.25 submitted.15 plan on behalf of the plan or its state A. Definition of ‘‘Underwriter’’ sponsor. The MSRB states that it will permit Two commenters also specifically Several commenters objected to the the performance, fee, and expense argued that for purposes of Rule G–45 MSRB’s interpretation of the term information to be submitted in a format a state sponsor should not be treated as consistent with the College Savings ‘‘underwriter’’ as used in Rule G–45 and an underwriter, as they are not brokers, Plans Network’s (‘‘CSPN’’) published stated that the MSRB should clarify the 26 dealers, or municipal securities Disclosure Principles Statement No. 5 scope of the definition. These dealers.32 These commenters stated that (‘‘Disclosure Principles’’), which commenters cited the MSRB’s language in the Notice implied that state commenters informed the MSRB is the statements in the Notice suggesting that sponsors could be deemed underwriters industry norm for reporting such 529 plans may have multiple and thus requested confirmation that information. underwriters; that Rule 15c2–12(f)(8) proposed Rule G–45 would not apply to under the Act, which the MSRB Lastly, the MSRB proposes to amend municipal securities issuers exempted incorporates into Rule G–45, defines under Section 3(d) of the Act. its books and records rules under Rules ‘‘underwriter’’ broadly; and that other G–8 and G–9. The amended rules will Although not directly discussing the require underwriters to maintain the definition of ‘‘underwriter,’’ one 16 See supra notes 4 and 6. commenter argued that the proposed information required to be reported on 17 See ICI Letter, ICI Letter II, SIFMA Letter, CSPN rule and form should not apply to new Form G–45 for six years. Letter, CSPN Letter II, CSF Letter, CSF Letter II. 18 See ICI Letter, ICI Letter II, SIFMA Letter, CSPN ‘‘direct-sold’’ plans because, by Letter, CSPN Letter II, CSF Letter, CSF Letter II. One definition, such plans are sold without 11 The proposed rule change will require an commenter also questioned the MSRB’s 33 underwriter to report such information in the the involvement of a broker-dealer. interpretation of ‘‘direct-sold’’ versus ‘‘advisor- manner prescribed in the Form G–45 procedures This commenter stated that the sold’’ plans in relation to the scope of the rule and and as set forth in the Form G–45 Manual. The its application to underwriters. See Sutherland distinction between ‘‘direct-sold’’ and MSRB states that the Form G–45 Manual will be a Letter, Sutherland Letter II. ‘‘advisor-sold’’ plans is not simply a new manual created to assist persons in the 19 submission of the information required under See ICI Letter, ICI Letter II, CSPN Letter, CSPN ‘‘marketing distinction,’’ as the MSRB proposed Rule G–45 and will contain only the Letter II, CSF Letter, CSF Letter II. had categorized it in the Notice, but is technical requirements for submitting such 20 See ICI Letter, ICI Letter II, SIFMA Letter. ‘‘critical in assessing the MSRB’s information. As such, this manual is not part of the 21 See ICI Letter, ICI Letter II, SIFMA Letter, CSPN jurisdiction as it delineates between proposed rule change. See Amendment No. 1. Letter, CSPN Letter II, CSF Letter, CSF Letter II. 12 See Amendment No. 1. 22 See Sutherland Letter, Sutherland Letter II. 27 See ICI Letter, ICI Letter II. 13 For more details on the specific requirements 23 See ICI Letter II, Sutherland Letter II, CSPN 28 of the proposal, see Notice supra note 3. Letter II, CSF Letter II. See ICI Letter. 29 14 17 CFR 240.15c2–12(f)(8). 24 See CSPN Letter, CSPN Letter II, CSF Letter, See SIFMA Letter, CSPN Letter, and CSF Letter, which stated that they concur and/or endorse ICI’s 15 The MSRB has stated that the underwriter will CSF Letter II, Sutherland Letter, Sutherland Letter comment. be obligated to submit information only for itself II, ICI Letter II. 30 and those entities that identify themselves as 25 See ICI Letter, ICI Letter II, SIFMA Letter, See CSPN Letter, CSF Letter, ICI Letter. underwriters of the plan and agree to aggregate their Sutherland Letter, Sutherland Letter II. 31 See ICI Letter. information with the information of the submitter. 26 See ICI Letter, ICI Letter II, SIFMA Letter, CSPN 32 See CSPN Letter, CSF Letter. See Amendment No. 1. Letter, CSPN Letter II, CSF Letter, CSF Letter II. 33 See Sutherland Letter, Sutherland Letter II.

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those 529 [p]lans that are sold through that are not underwriters.’’ 39 The MSRB underwriter’s possession or maintained broker-dealers and those that are not.’’ 34 also represented that it does not by another entity on the underwriter’s Accordingly, this commenter concluded contemplate that a state sponsor of a 529 behalf for purposes of complying with that ‘‘direct-sold’’ plans are not subject plan, as an instrumentality of the state, MSRB rules.45 to the MSRB’s jurisdiction. would be an underwriter pursuant to Several commenters raised concerns Finally, one commenter expressed the ‘‘plain language’’ of Rule 15c2–12 that contractual provisions or privacy opposition to the imposition of the under the Act. laws might not permit an underwriter to reporting requirements of the proposed With regard to one commenter’s obtain the information required by the Rule G–45 on ‘‘broker dealers that are argument that the proposed rule should proposed rule and form.46 In this regard, not underwriters but that instead have not apply to ‘‘direct sold’’ plans as one commenter sought confirmation entered into contracts with the plan’s distinguished from ‘‘advisor sold’’ that, where the sharing of information underwriter (primary distributor) to sell plans, the MSRB stated that its ‘‘rules between an underwriter and a plan shares to retail investors.’’ 35 apply to dealers in their municipal fund recordkeeper would violate contractual In response to some commenters’ securities activities, including their provisions, the information would be assertions that many entities involved in underwriting activities, regardless of the deemed to be outside of the possession operating and maintaining a 529 plan business model or marketing strategy or control of the underwriter and not are not acting as brokers, dealers or involved.’’ 40 Each entity must subject to the reporting obligations of municipal securities dealers and thus determine, based on the facts and Rule G–45.47 Another commenter noted cannot be underwriters for purposes of circumstances surrounding its own that, in the context of omnibus the rule, the MSRB stated that, activities, if it meets the Act’s agreements, whether the required depending on its activities, program definitions of broker or dealer and information is available to an managers and other plan providers underwriter. The MSRB stated that its underwriter is dependent on might be ‘‘brokers’’ under Section rulemaking authority is not dependent comprehensive servicing agreements 3(a)(4)(A) of the Act.36 In this regard, the on whether a firm provides investment between the plan, the underwriter, and MSRB discussed its understanding of advice to customers in conjunction with the selling dealers.48 Thus, this the 529 plan administration and noted municipal securities underwriting commenter noted that the agreements that it believed the activities of program services.41 may not provide the underwriter with managers may extend beyond legal access to certain information and, B. Underwriter Reporting Obligation investment management to other as such, an underwriter should not be administrative activities. All five commenters believed the required to report such information on The MSRB also disagreed that 529 MSRB should clarify the disclosure Form G–45. plan underwriters are limited to primary obligations of underwriters.42 Four of Two commenters raised concerns distributors. The MSRB stated that Rule these commenters stated that the MSRB about the MSRB’s suggestion that an G–45 incorporates and should be is seeking information that many underwriter’s disclosure obligation interpreted in the same manner as the primary distributors will not be able to extends to ‘‘information in the definition of ‘‘underwriter’’ in Rule provide.43 All of the commenters possession of an underwriter’s 15c2–12(f)(8) under the Act. The MSRB suggested that the MSRB clarify or subcontractor.’’ 49 These commenters stated that the determination of whether confirm that underwriters would not be believed this suggestion ‘‘will produce a firm is an underwriter depends on the responsible for certain information that confusion and disparate reporting ‘‘facts and circumstances, including the is outside of their possession, custody, results’’ depending on factors unrelated activities the firm performs to assist in or control. For example, one commenter to Rule G–45 regulatory compliance.50 the distribution of municipal securities, requested that the MSRB clarify that, In particular, the commenters noted rather than the firm’s status or common when an underwriter, in its normal that, while some information may be in industry labels.’’ 37 Thus, the MSRB course of business, does not create, own, the possession of an underwriter’s stated that, if an entity is a dealer and control, or possess information ‘‘subcontractor,’’ other information may an underwriter as defined by the Act, it necessary for Form G–45, the be in the possession of an unaffiliated will be required to submit information underwriter will not be required to or affiliated entity that is not a on Form G–45. The MSRB also noted obtain such information.44 Another subcontractor, and privacy laws and that the ‘‘potential pool of brokers or commenter requested that the MSRB contractual requirements may apply dealers is not necessarily limited to clarify that an underwriter is required to differently. existing registrants but would provide the requisite information only One commenter questioned the encompass all firms that should be to the extent such information relates to meaning of the MSRB’s statement in the registered as such.’’ 38 the distribution by the underwriter of Notice that underwriters would be The MSRB also clarified that it does municipal fund securities and is in the required to produce only information not seek to impose reporting that they possess or ‘‘have a legal right requirements on state sponsors or 39 See MSRB Response Letter. to obtain.’’ 51 The commenter stated that selling dealers. With regard to selling 40 See MSRB Response Letter. ‘‘unless the primary distributor has a dealers, the MSRB stated that the 41 The MSRB added that, based on its experience specific, enforceable legal right, such as in this area, it believes that it is common for a proposal is ‘‘clear that no such program manager to contract with the trustee of a one existing under law (such as a right obligation would be imposed on so- plan to provide administrative, marketing, and created by a statutory provision) or called advisor-sold plan selling dealers other services on behalf of the plan and that the arising from a specific contractual entities hired by the trustee are essential to the undertaking, which includes soliciting municipal 45 34 See Sutherland Letter. fund securities transactions and handling customer See CSPN Letter. 35 See SIFMA Letter. funds and municipal fund securities. 46 See CSF Letter, CSPN Letter, SIFMA Letter, 36 See MSRB Response Letter. Section 3(a)(4)(A) 42 See ICI Letter, ICI Letter II, SIFMA Letter, CSPN Sutherland Letter. of the Act defines a ‘‘broker’’ as any person engaged Letter, CSPN Letter II, CSF Letter, CSF Letter II, 47 See Sutherland Letter. in the business of effecting transactions in securities Sutherland Letter, Sutherland Letter II. 48 See SIFMA Letter. for the account of others. 43 See ICI Letter, CSPN Letter, CSF Letter, 49 See CSPN Letter, CSF Letter. 37 See MSRB Response Letter. Sutherland Letter. 50 See CSPN Letter, CSF Letter. 38 See MSRB Response Letter. 44 See ICI Letter. 51 See Sutherland Letter.

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provision, to obtain specified Form G–45 is prepared by the system and instructions on data entry information maintained by a third party, underwriter or one of its contractors or through the MSRB’s interface. Because the primary distributor does not have a subcontractors, and the information is the content of the Manual is dependent legal right to obtain the information for inaccurate or incomplete, the on ‘‘system architecture’’ which is purposes of the proposal.’’ 52 As such, underwriter would be responsible for dependent on the scope of the proposed the commenter asserted that an the information and therefore be liable rule change, the MSRB stated that underwriter may not be able to provide for such information under Rule G–45. submission of the Form G–45 Manual as information in the possession of an However, the MSRB explained that if part of a proposed rule change would underwriter’s subcontractor. the underwriter did not prepare, or ‘‘unreasonably retard systems Two commenters also provided authorize others to prepare on its behalf, development.’’ 62 Moreover, the MSRB comments relating specifically to information submitted under Rule G–45, indicated that the ‘‘data elements omnibus accounts, stating that Rule G– it would not be obligated to verify or required to be submitted by 529 plan 45 and Form G–45 should recognize confirm the accuracy and completeness underwriters are specified in the that, to the extent an underwriter does of the information. proposed rule change and need not be not, in the normal course of business, the subject of an additional, separate C. Publication of the Form G–45 Manual have access to information on the filing.’’ 63 Finally, the MSRB stated that accounts underlying an omnibus Two commenters believed that the the proposed implementation period of accounting arrangement, the MSRB should be required to publish for not earlier than one year from the date underwriter should not be required to comment the contents of the Form G–45 of Commission approval of the current report such information.53 These Manual (‘‘Manual’’) predicting that the proposed rule change is sufficient time commenters also stated that, ‘‘in Manual would contain important for market participants to prepare to practice, the mere fact that there is an substantive information concerning the comply with Rule G–45. reporting obligations under Form G– omnibus relationship between a selling D. Publication of the G–45 Data dealer and a plan’s underwriter does not 45.57 One commenter believed that the necessarily mean the underwriter has ‘‘Manual’s contents will not be limited Three commenters believed that full transparency into all account to technical specifications or design or confidential or proprietary information information, including account owners, system considerations relating to the reported on Form G–45 should not be 64 beneficiaries, contributions, and mechanics of the electronic filing made available to the general public. withdrawals, underlying the omnibus process.’’ 58 This commenter asserted One commenter, for example, stated that account.’’ 54 that, apart from the addition of boxes for the data collected pursuant to Rule G– Lastly, two commenters contended notes regarding performance data and 45 ‘‘should be used to inform the that, if the underwriter is able to obtain fee and expense data, neither Form G– MSRB’s regulatory initiatives and the required information from a third 45 nor Rule G–45 reflects the MSRB’s priorities and not to compete with other party, the MSRB should clarify that the statements in the Notice that more mature, robust, and information may be submitted in a comprehensive public sources of underwriter is not responsible for 65 ensuring the accuracy or completeness manner consistent with the Disclosure information on 529 plans.’’ Another of the information before including it on Principles. As such, the commenter commenter stated that the MSRB should Form G–45.55 concluded that the details regarding be required to file a proposed rule In response, the MSRB reaffirmed that how to report data consistent with these change subject to Commission approval the proposal would require an Disclosure Principles would necessarily before the MSRB publicly disseminate have to be set forth in the Manual. certain 529 plan data reported on Form underwriter of a 529 plan to submit only 66 information it possesses or has a legal Another commenter similarly stated that G–45. In response, the MSRB reiterated that right to obtain. In this regard, the MSRB it believed that the Manual would it would publicly disseminate the stated its belief that an underwriter has incorporate the detailed substantive information collected on Form G–45 a legal right to obtain all information instructions of the Disclosure only after the approval of a separate that is related to its activities in Principles.59 Both commenters also suggested that the one-year proposed rule change by the connection with the underwriting, even Commission. The MSRB confirmed that, where it has designated an affiliate or implementation period should commence after the Manual has been at this time, it does not intend to contractor to perform such activities. disseminate through EMMA the published for comment and approved The MSRB disagreed with commenters information collected under the by the Commission.60 who suggested that, if a contractual proposal and that such information provision prohibited the sharing of In response, the MSRB represented that the Manual will only provide would be used only for regulatory information, an underwriter should not purposes. be responsible for providing such ‘‘technical requirements to facilitate the information under Rule G–45 and Form submission of information required by E. Regulatory Value of Required G–45. Specifically, the MSRB stated that proposed Rule G–45 and Form G–45.’’ 61 Information and Regulatory Basis for the legal right to obtain information for For example, the Manual will most the Proposal purposes of Rule G–45 is not affected by likely include both instructions on how Two commenters suggested that the a ‘‘voluntary relinquishment, by to upload bulk data to the MSRB’s proposed rule change fails to satisfy the contract or otherwise, of such a right.’’ 56 requirements of Section 15B(b)(2)(C) of 57 Furthermore, the MSRB stated that, to See ICI Letter, ICI Letter II, SIFMA Letter. the Act.67 In particular, one commenter the extent that information reported in 58 See ICI Letter. 59 See SIFMA Letter. This commenter noted that, 62 while the MSRB explained in the Notice that the See MSRB Response Letter. 52 See Sutherland Letter. information required on Form G–45 will be 63 See MSRB Response Letter. 53 See ICI Letter, SIFMA Letter. reported consistently with the reporting formats 64 See ICI Letter, ICI Letter II, CSPN Letter, CSPN 54 See ICI Letter, SIFMA Letter. under the Disclosure Principles, proposed Rule G– Letter II, CSF Letter, CSF Letter II. 55 See ICI Letter, Sutherland Letter, Sutherland 45 and Form G–45 are silent on this point. 65 See ICI Letter. Letter II. 60 See ICI Letter, SIFMA Letter. 66 See SIFMA Letter. 56 See MSRB Response Letter. 61 See MSRB Response Letter. 67 See Sutherland Letter II, ICI Letter II.

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questioned how the information to be activities of dealers that effect any MSRB also provided some additional collected would help the MSRB, FINRA transaction in, or induce or attempt to detail and clarification, as described and the Commission protect investors induce the purchase or sale of, any below. and the public interest.68 The other municipal fund security’’ and such i. Investment Option Information commenter added that the information dealers engaging in these activities are collected on Form G–45 would not subject to the MSRB’s rulemaking One commenter requested that the assist the MSRB in preventing fraud, authority.73 MSRB clarify how to report in Form G– promoting just and equitable principles Moreover, the MSRB argued that the 45 an investment option that is used for of trade, fostering industry cooperation, proposal is consistent with the Act multiple purposes.78 This commenter or removing market impediments in the because the requested information will also recommended that the MSRB 529 plan market. enhance its understanding of 529 plans clarify how underwriters should report The commenter further asserted that and ‘‘assist the Board in evaluating fee, expense, and performance the requested information would be whether its regulatory scheme for 529 information for a mutual fund that substantially incomplete because the plans is sufficient, or whether issues multiple classes of shares with information obtained would not include additional rulemaking is necessary to fees and expenses that vary from class data on ‘‘direct-sold’’ 529 plans, which protect investors.’’ 74 The MSRB stated to class. Another commenter questioned the commenter stated represents more that the information will allow how underwriters are supposed to than half of the assets in the 529 plan regulators to compare asset allocation, report asset class and asset class industry. The commenter also noted performance, and fee information across percentages and suggested that the two that certain information is already plans and against plan disclosures and items related to asset class be publicly available and includes both marketing material. This information eliminated.79 This commenter asserted ‘‘broker-sold’’ and ‘‘direct-sold’’ plans. will help regulators protect investors that investment options do not have or Finally, the commenter argued that and prevent fraudulent and misleading invest in asset classes, thus the use of the MSRB’s jurisdiction does not extend statements in plan disclosure the phrase ‘‘asset classes in investment to regulating the 529 plan market documents and advertising. The option’’ is unclear.80 because the MSRB’s regulatory authority information will inform its rulemaking One commenter also recommended is limited to regulating broker-dealers regarding disclosures and advertising that the investment option information that distribute and sell municipal and will help ‘‘identify industry trends be reported in ranges rather than precise securities.69 The commenter also and anomalies’’ and assist regulators amounts, where appropriate (e.g., asset suggested that the MSRB does not have prioritize their efforts with respect to class allocation percentages), because the legal authority or jurisdiction to 529 plans, including the nature and the use of ranges would relieve mandate disclosure of underlying timing of risk-based dealer underwriters of having to revise investments because they are not 75 examinations. previously reported information municipal securities. The MSRB also observed that the whenever there is a de minimus Two commenters also stated that information required under the proposal change.81 This commenter further disclosure of information pertaining to is easily obtainable by underwriters suggested that, if the MSRB elects not to the underlying investments is beyond because it is often disclosed in 529 plan use ranges, it should consider revising what is required by the Disclosure offering documents.76 The MSRB also the rule such that an update is not Principles.70 Moreover, one commenter noted that Form G–45 only requires the required to previously reported recommended that, if the MSRB name of the investment product information unless there has been more determines in the future that there (typically a mutual fund) and the than a de minimus change. would be regulatory value in having this allocation percentage of each product in information, the MSRB should revise the investment option. In response, the MSRB affirmed that Form G–45 at that time.71 Finally, the MSRB recognized that Form G–45 requires disclosure at the In response to the commenter’s while some of the requested information investment option level only and each questions regarding the regulatory is available publicly, there is no legal investment option would report its 82 authority for the proposal, the MSRB requirement to reliably produce the underlying investments separately. pointed to Section 15B(b)(2) of the Act, information and it is not currently The MSRB asserted that 529 plans which ‘‘authorizes the MSRB to adopt available in an electronic format that routinely track investments at both the rules to effect the purpose of the lends itself to analysis. underlying investment and investment Exchange Act concerning transactions option level and therefore should have in municipal securities effected by F. Contents of Form G–45 little difficulty in reporting this dealers.’’ 72 The MSRB represented that Some commenters provided information. The MSRB explained that, interests in 529 plans are considered to suggestions for modifications to the for example, if an investment option be municipal securities and that the specific information requested by Form invests in five mutual funds, the MSRB has categorized such interests as G–45 or sought clarification on how to submitter would disclose those five municipal fund securities. The MSRB report certain information on the form, funds and the allocation percentage of also stated that its rules ‘‘govern the as discussed below.77 In response, the each in the investment option. The MSRB stated generally that it believed MSRB also clarified that an underwriter 68 See Sutherland Letter, Sutherland Letter II. that proposed Form G–45 was clear and must identify the assets held by each 69 This commenter also objected to the MSRB’s specific. However, in response, the investment option separately, even if request for information on Form G–45 related to plan fees and expenses. The commenter suggested that because the MSRB does not have jurisdiction 73 See MSRB Response Letter. 78 See ICI Letter. over the regulation of 529 plans, it should not 74 See MSRB Response Letter. 79 See Sutherland Letter. require primary distributors to submit data 75 See MSRB Response Letter. 80 See Sutherland Letter. concerning securities product fees that are 76 The MSRB provided that, for example, the 81 See ICI Letter. unrelated to the primary distributor. Texas direct-sold 529 plan’s offering document 82 The MSRB further confirmed that a fund that 70 See ICI Letter, SIFMA Letter. contains information about underlying investments. is both an underlying investment and a stand-alone 71 See ICI Letter. 77 See ICI Letter, Sutherland Letter, Sutherland investment option would not be aggregated. Rather, 72 See MSRB Response Letter. Letter II, SIFMA Letter. data would be reported for each investment option.

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another investment option invested in confusion as to whether the comments argued that the requirements of the rule the same funds. relate to performance excluding or should not apply to ‘‘direct-sold’’ plans, Likewise, with regard to commenters’ including a sales charge.84 Furthermore, since they do not involve a broker- concerns regarding asset class this commenter recommended that the dealer offering the securities. As such, information, the MSRB represented that MSRB clarify that a 529 plan is only the commenter asserted that only data on asset class and asset class required to report benchmark broker-dealers could be required to percentages are readily available and information if the 529 plan, in fact, uses provide the information about ‘‘advisor- already presented in certain plan a benchmark. sold’’ plans, unless non-broker-dealers documents. The MSRB also stated that, In response, the MSRB stated that also made voluntary filings. Such with regard to investment options that Form G–45 provides fields for reporting voluntary filings, the commenter urged, are a mutual fund with multiple share performance including and excluding would only cause investor confusion. classes, Form G–45 includes fields for sales charges. In addition, the MSRB In response, the MSRB stated that it fees and charges related to each share indicated that Rule G–45 defines believed one or more entities that class. performance to mean total returns of the provide services to ‘‘direct-sold’’ plans The MSRB also disagreed with the investment option expressed as a may be underwriters and nothing in the request that information be reported in percentage, net of all generally Act limits the MSRB’s rulemaking ranges rather than precise amounts, applicable fees and costs. The MSRB authority to ‘‘advisor-sold’’ plans, as stating that ‘‘precision is needed disagreed with the commenter’s discussed above. regarding asset allocations.’’ 83 The assertion that there was a discrepancy iv. Program Managers MSRB also noted that this information between the definition of is readily available to underwriters. ‘‘performance’’ in Rule G–45 and the One commenter suggested that all Further, the MSRB disagreed with the Form G–45’s reporting requirement of information requests related to program request that, alternatively, it should performance data, stating that ‘‘Form G– managers should be deleted from Form require the submission of updates only 45 is consistent with the CSPN’s G–45 because the MSRB lacks where there is more than a de minimus Disclosure Principles Statement No. 5, jurisdiction ‘‘to seek information about change, stating that defining ‘‘de which suggests that performance data an entity hired by 529 [p]lan trustees to minimus’’ could pose problems because should be disclosed net of all generally provide services to the plan when even a small change in the information applicable fees and costs and that, for neither the issuer nor the entity are reported could be material. advisor sold plans, total returns should regulated by the MSRB.’’ 87 The commenter further questioned the ii. Performance Information be calculated both including and excluding sales charges.’’ 85 Moreover, relevance of such information to the One commenter raised several issues the MSRB stated that fees that are not MSRB’s role as a securities regulator of with respect to performance information specific to any particular investment broker-dealers distributing municipal and provided the following specific option would not be applicable. securities. recommendations: (i) Resolve a Regarding Form G–45’s requirement to In addition to what is described above discrepancy between the definition of report performance for the most recent with regard to program managers being ‘‘performance’’ in Rule G–45(d)(viii) calendar year, the MSRB stated that subject to the rule, the MSRB stated that (which provides for ‘‘total returns of the performance data must only be updated program managers ‘‘contract with state investment option expressed as a annually and submitters must disclose sponsors to, in many cases, deliver a percentage net of all generally each investment option’s 1, 3, 5 and 10 variety of services necessary to applicable fees and costs’’) and the year performance as well as the option’s distribute and sell municipal fund 88 requirement in Form G–45 (which performance since inception, as of the securities.’’ Further, program requires that performance be reported annual update. The MSRB also stated managers ‘‘often provide, directly or both ‘‘including sale charges’’ and that it believed including two through contractors or subcontractors, ‘‘excluding sales charges’’); (ii) clarify investment performance comment boxes administrative services, marketing and whether a plan that is directly advertising services, and investor is unnecessary because a single 89 distributed and that has no ‘‘sales comment box for all comments would support.’’ Moreover, the MSRB stated charges’’ is expected to report the same not likely result in confusion by the that information about program information under ‘‘Investment submitters. Finally, regarding managers is frequently found in offering Performance (Including Sales Charges)’’ benchmark performance, the MSRB documents and available to the public. and ‘‘Investment Performance confirmed that an underwriter of a 529 G. Costs and Benefits of the Proposal (Excluding Sales Charges)’’ or just the plan that does not use a benchmark will Four commenters addressed the costs later; (iii) clarify that fees that are not not be required to report benchmark specific to any particular investment and benefits of collecting the required performance. In such case, the MSRB information.90 One commenter stated option are not required to be included represented that the Form G–45 Manual in the performance calculation; (iv) that, while the MSRB concluded in the will instruct a filer to leave the section Notice that the benefits of its proposal resolve a discrepancy between a of the form blank. statement in the Notice that Form G–45 will outweigh the costs, the MSRB requires ‘‘performance for the most iii. Marketing Channel failed to quantify either the benefits or the costs.91 Two commenters suggested recent calendar year’’ and the Form G– One commenter questioned the value that the MSRB should conduct an 45 requirement for disclosure of each of requesting information on the analysis of the costs and benefits investment option’s 1, 3, 5 and 10 year ‘‘marketing channel,’’ which the MSRB associated with the proposal to be performance, as well as the option’s described to be commonly known as performance since inception; and (v) 86 either ‘‘advisor-sold’’ or ‘‘direct sold.’’ 87 include a comment box under each of See Sutherland Letter. As discussed above, this commenter 88 See MSRB Response Letter. the two sections of Form G–45 relating 89 See MSRB Response Letter. to Investment Performance to avoid 84 See ICI Letter. 90 See CSPN Letter, CSF Letter, Sutherland Letter, 85 See MSRB Response Letter. Sutherland Letter II, ICI Letter II. 83 See MSRB Response Letter. 86 See Sutherland Letter. 91 See Sutherland Letter.

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consistent with the MSRB’s recently cost to underwriters of conforming to and regulations thereunder applicable to announced Policy on the Use of the proposal’s reporting requirements. the MSRB.99 In particular, the proposed Economic Analysis in MSRB However, the MSRB stated that it rule change is consistent with Section Rulemaking (‘‘Policy’’) and to enhance expects compliance costs to diminish 15B(b)(2)(C) of the Act, which provides the MSRB’s ability to tailor its rules to once underwriters become familiar with that the MSRB’s rules shall be designed ensure that its costs and burdens are the new disclosure format. to prevent fraudulent and manipulative balanced with its expected benefits.92 The MSRB also stated that it acts and practices, to promote just and Finally, two commenters suggested that identified both baseline conditions and equitable principles of trade, to foster the Commission consider adding a reasonable alternatives to the proposed cooperation and coordination with waiver and/or sunset provision rule change. In particular, the MSRB persons engaged in regulating, clearing, designed to mitigate the cost burden of explained that the information currently settling, processing information with an underwriter’s disclosure duty.93 The produced by underwriters on EMMA respect to, and facilitating transactions two commenters also stated that the represents a relevant baseline for market in municipal securities and municipal addition of ‘‘a waiver application participants in which the requirements financial products, to remove process will allow the affected of proposed Rule G–45 can be impediments to and perfect the underwriter to request relief from compared. In this regard, the MSRB mechanism of a free and open market in providing data that is not reasonably stated that the benefits of a ‘‘uniform municipal securities and municipal practicable to obtain.’’ 94 Similarly, and complete set of reliable information financial products, and, in general, to these commenters believed a sunset exceeds the benefits derived under the protect investors, municipal entities, provision could also ‘‘ease the baseline situation in which documents obligated persons, and the public administrative burden to underwriters supplied to EMMA or other information interest.100 required to submit information on Form supplied to information vendors that is The Commission believes that the G–45.’’ 95 In addition, these commenters not uniform, is not complete, and may proposed rule change is consistent with 97 suggested that the MSRB reexamine its not be reliable.’’ Section 15B(b)(2)(C) of the Act. The need to collect each data point after a Additionally, the MSRB identified Commission agrees with the MSRB that specified period of time and revise Rule reasonable alternatives to the proposed the proposal is intended to protect G–45 accordingly in the event the MSRB rule change, including maintaining the investors, municipal entities and the determines that certain data points are current disclosure regime through public interest and prevent fraudulent no longer relevant.96 EMMA or other Web sites, but and manipulative acts and practices by In response, the MSRB stated that a determined that the type of information allowing the MSRB to collect waiver or sunset provision is collected is inadequate because it is not comprehensive, reliable, and consistent unnecessary because most of the uniform or complete. Further, the MSRB electronic data on the 529 plans. In considered public comments that information requested is readily order to fulfill its statutory addressed the potential economic available to underwriters. In addition, responsibilities to investors and consequences of the proposed rule and the MSRB stated that neither commenter municipal entities in the context of 529 modified the proposal to minimize the provided data or other specific support plans, the Commission believes that it is reporting burden on underwriters. For for their view that the costs would be appropriate for the MSRB to possess example, the MSRB stated that it sufficiently high to justify a waiver or basic, reliable information regarding 529 reduced the potential cost to sunset provision. The MSRB also stated plans, including the underlying underwriters by, among other things, that it made significant changes to the investment options. Further, the extending the reporting deadline from proposal based on industry and public Commission believes that information thirty days to sixty days after the end of input in order to ease the burden on the reporting period, eliminating the collected under the proposed rule submitters. reporting of percentage of plan change would help the MSRB assess the In response to suggestions that the impact of each 529 plan on the market, MSRB should conduct an economic contributions derived from automatic contributions, and conforming the evaluate trends and differences among analysis of the proposed rule change, plans, and gain an understanding of the the MSRB explained that, although the reporting format for fees and performance to the Disclosure aggregate risk taken by investors by the Policy is not applicable to the proposed Principles. Finally, the MSRB allocation of assets in each investment rule change because the proposal began represented that only a limited number option. Such information may also be prior to the Policy’s adoption, the MSRB of dealers would be obligated to submit used to determine the nature and timing considered the burdens and benefits of information to the MSRB.98 of risk-based dealer examinations and the proposed rule change throughout thus better position the MSRB to protect the rulemaking process consistent with IV. Discussion and Commission investors and the public interest. the Policy. Among other things, the Findings In addition, the Commission believes MSRB stated that the proposal will The Commission has carefully the proposed rule change is reasonably enable the MSRB to fulfill its oversight considered the proposed rule change, as designed to prevent fraudulent and responsibilities over dealers acting as modified by Amendment No. 1, as well manipulative acts and practices and to underwriters of 529 plans by providing as the comment letters received and the protect investors. The proposed rule the MSRB with a consistent set of MSRB’s response. The Commission change could help the MSRB to use the reliable information about 529 plans. As finds that the proposed rule change, as information submitted on Form G–45 to, for costs, the MSRB stated that the main amended, is consistent with the among other things, determine if the 529 cost of the proposal would likely be the requirements of the Act and the rules plan disclosure documents or marketing material prepared or reviewed by 92 See Sutherland Letter II, ICI Letter II. 97 See MSRB Response Letter. 93 See CSPN Letter, CSF Letter. 98 The MSRB states that ‘‘[t]here are over 1600 99 In approving the proposed rule change, the 94 See CSPN Letter, CSF Letter. MSRB registered dealers but only approximately Commission has considered the proposed rule’s 95 See CSPN Letter, CSF Letter. one hundred 529 plans and even fewer impact on efficiency, competition, and capital 96 The CSPN Letter and CSF Letter suggested underwriters, as certain firms act as underwriters formation. 15 U.S.C. 78c(f). three years. for multiple plans.’’ See MSRB Response Letter. 100 15 U.S.C. 78o–4(b)(2)(C).

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underwriters are consistent with the scope of their obligations under the V. Solicitation of Comments data submitted to the MSRB. The proposed rule, including the extent to Interested persons are invited to Commission also notes that the MSRB which they are responsible for submit written data, views, and believes that collecting information providing, and verifying the accuracy of, arguments concerning the foregoing, about activity in 529 plans is necessary information not in their possession. including whether Amendment No. 1 to to assist the MSRB in evaluating Specifically, the MSRB confirmed that the proposed rule change is consistent whether its current regulatory scheme the proposal will require an underwriter with the Act. Comments may be for 529 plans is sufficient or whether of a 529 plan to submit only information submitted by any of the following additional rulemaking is necessary to it possesses or has a legal right to obtain, methods: protect investors and the public interest. noting that an underwriter has the legal Electronic Comments The Commission believes that the right to obtain all information that is • MSRB, in its response letter, has related to its activities in connection Use the Commission’s Internet adequately addressed issues raised by with the underwriting. The MSRB also comment form (http://www.sec.gov/ commenters. Namely, with regard to noted that voluntary relinquishment of rules/sro.shtml ); or questions regarding the MSRB’s • Send an email to rule-comments@ the legal right to obtain information for jurisdiction,101 the Commission agrees sec.gov. Please include File Number purposes of Rule G–45, such as by that Section 15B(b)(2) of the Act SR–MSRB–2013–04 on the subject line. authorizes the MSRB to adopt rules to contractual provision, would not relieve Paper Comments effect the purpose of the Act concerning an underwriter of its responsibility for transactions in municipal securities providing such information. • Send paper comments in triplicate effected by dealers.102 As the MSRB With respect to comments that the to Elizabeth M. Murphy, Secretary, noted in its response letter, the Manual should be published for Securities and Exchange Commission, Commission has previously stated that comment,105 the MSRB has represented 100 F Street NE., Washington, DC interests in 529 plans are considered to that the Manual will only provide 20549–1090. be municipal securities.103 technical requirements to facilitate the All submissions should refer to File With respect to comments regarding submission of information, not Number SR–MSRB–2013–04. This file the scope of the definition of substantive information concerning the number should be included on the ‘‘underwriter,’’ 104 the Commission reporting obligations under Form G–45. subject line if email is used. To help the believes that the MSRB, in its response Based on the MSRB’s representation Commission process and review your letter and Amendment No. 1, reduced that the Manual will contain purely comments more efficiently, please use potential confusion as to whom the technical specifications, such as only one method. The Commission will obligations of the rule apply. The instructions for data entry, the post all comments on the Commission’s Internet Web site (http://www.sec.gov/ Commission also believes that the Commission does not believe that the rules/sro.shtml ). Copies of the MSRB alleviated concerns that the terms Manual must submitted as part of the used in the proposed rule may be submission, all subsequent proposed rule change. The Commission amendments, all written statements interpreted by the MSRB in a manner notes, however, that should the Manual potentially inconsistent with statutory with respect to the proposed rule contain any substantive requirements, it and Commission rule definitions of change that are filed with the would need to be submitted as part of ‘‘underwriters’’ and ‘‘broker-dealers.’’ Commission, and all written a proposed rule change pursuant to As noted above, the MSRB represented communications relating to the Section 19(b)(1) of the Act 106 and Rule proposed rule change between the that Rule G–45 incorporates the 107 Commission’s definition of underwriter 19b–4 thereunder. Commission and any person, other than and the determination of whether a firm Finally, the Commission believes that those that may be withheld from the is an underwriter turns on the facts and the MSRB has adequately clarified the public in accordance with the circumstances, including the activities reporting obligations on Form G–45. In provisions of 5 U.S.C. 552, will be the firm performs to assist in the this regard, the MSRB has responded to available for Web site viewing and distribution of municipal securities, commenters’ specific inquiries printing in the Commission’s Public rather than the firm’s status or common regarding how to report certain Reference Room, 100 F Street NE., industry labels. The Commission agrees information on Form G–45 in both the Washington, DC 20549, on official with the MSRB that whether a firm is an MSRB’s response letter and Amendment business days between the hours of underwriter will require an individual No 1.108 Accordingly, the Commission 10:00 a.m. and 3:00 p.m. Copies of the analysis of the particular facts. believes that these clarifications should filing also will be available for The Commission also notes that the result in more complete and correctly inspection and copying at the principal MSRB, in its response letter, provided reported data that should allow the office of the MSRB. All comments further clarity with regard to the MSRB to fulfill its stated regulatory received will be posted without change; the Commission does not edit personal reporting obligations of underwriters. goals of obtaining accurate, reliable, and identifying information from Thus, the Commission believes that the complete data in order to further assess submissions. You should submit only MSRB’s response will allow and carry out its rulemaking respondents to be able to ascertain the information that you wish to make responsibilities in this area. available publicly. All submissions 101 See supra Section 3.E. For these reasons, the Commission should refer to File Number SR–MSRB– 102 15 U.S.C. 78o–4(b)(2). believes that the proposed rule change, 2013–04 and should be submitted on or 103 See Securities Exchange Act Release No. as modified by Amendment No. 1, is before March 20, 2014. 70462 (September 20, 2013), 78 FR 67468, 67472– consistent with the Act. 73 (November 12, 2013) (stating: ‘‘Interests offered VI. Accelerated Approval of Proposed by college savings plans (‘‘529 Savings Plans’’) that Rule Change, as Modified by 105 comply with Section 529 of the Internal Revenue See supra Section 3.C. Amendment No. 1 Code [footnote omitted] are another type of 106 15 U.S.C. 78s(b)(1). municipal security’’). 107 17 CFR 240.19b–4. The Commission finds good cause for 104 See supra Section 3.A. 108 See supra Section 3.F. approving the proposed rule change, as

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amended by Amendment No. 1, prior to good cause for approving the proposed proposed rule change, as modified by the 30th day after the date of rule change, as modified by Amendment Amendment No. 1, on an accelerated publication of notice in the Federal No. 1, on an accelerated basis, pursuant basis. to Section 19(b)(2) of the Act. Register. As discussed above, II. Description of the Proposal Amendment No. 1 amends and restates VII. Conclusion the original proposed rule change to: (i) In its filing with the Commission, the Clarify that the information submitted It is therefore ordered, pursuant to Exchange proposes to amend Exchange by underwriters includes asset Section 19(b)(2) of the Act,109 that the Rule 4754 governing the NASDAQ 5 allocation information for the assets of proposed rule change (SR–MSRB–2013– Closing Cross (‘‘Cross’’), to modify the each investment option; (ii) omit 04), as modified by Amendment No. 1, operation of the Cross to accommodate statements concerning the interpretation be, and hereby is, approved on an changes in market structure triggered by of the meaning of ‘‘underwriter’’ under accelerated basis. Phase 2 of the National Market System the federal securities laws; (iii) clarify For the Commission, by the Division of Plan to Address Extraordinary Market that each entity must determine, based Trading and Markets, pursuant to delegated Volatility submitted to the Commission on the facts and circumstances, whether authority.110 pursuant to Rule 608 of Regulation NMS (‘‘Plan’’).6 The Exchange proposes to it is an underwriter under the federal Kevin M. O’Neill, create the LULD Closing Cross,7 which securities laws; (iv) revise the rule text Deputy Secretary. modifies the Cross in circumstances to clarify that an underwriter that [FR Doc. 2014–04242 Filed 2–26–14; 8:45 am] where a Plan Trading Pause is triggered submits Form G–45 would be obligated BILLING CODE 8011–01–P between 3:50 and 4:00 p.m. EST (‘‘LULD to submit information only for itself and Closing Cross’’). those entities that identify themselves as The Plan is designed to prevent trades SECURITIES AND EXCHANGE underwriters of 529 plans and that in individual NMS Stocks from COMMISSION aggregate their information with the occurring outside of specified Price submitter’s information; (v) clarify that [Release No. 34–71597; File No. SR– Bands.8 The requirements of the Plan underwriters identify the percentage of NASDAQ–2014–004] are coupled with Trading Pauses, or each underlying investment in an halts, to accommodate more investment option but not submit Self-Regulatory Organizations; The fundamental price moves (as opposed to information regarding the assets in each NASDAQ Stock Market LLC; Notice of erroneous trades or momentary gaps in underlying investment; (vi) clarify that, Filing of Amendment No. 1, and Order liquidity). The Commission approved for each investment option offered by a Granting Accelerated Approval of a the Plan, as amended, on a one-year 529 plan, the underwriter will provide Proposed Rule Change, as Modified by pilot basis.9 The Plan first became the MSRB with the name and allocation Amendment No. 1, To Amend operational in April of 2013, with a percentage of each underlying Exchange Rule 4754 Governing the staged rollout with respect to the investment in each investment option as NASDAQ Closing Cross portion of the trading day to which the of the end of the most recent semi- February 21, 2014. Plan applies as well as the securities annual period; (vii) clarify that the subject to the Plan. All trading centers MSRB does not contemplate that a state I. Introduction in NMS Stocks, including both those sponsor of a 529 plan, as an On January 7, 2014, The NASDAQ operated by Participants and those instrumentality of the state, would be an Stock Market LLC (‘‘NASDAQ’’ or operated by members of Participants, underwriter under federal securities ‘‘Exchange’’) filed with the Securities are required to establish, maintain, and laws; (viii) explain that an underwriter and Exchange Commission enforce written policies and procedures would not be required to submit (‘‘Commission’’) pursuant to Section that are reasonably designed to comply information on Form G–45 it neither 19(b)(1) of the Securities Exchange Act with the requirements specified in the possesses nor has the legal right to of 1934 (‘‘Act’’) 1 and Rule 19b–4 Plan. The Exchange is a Participant in obtain; (ix) explain that, to the extent thereunder,2 a proposed rule change to the Plan. the information submitted on Form G– amend Exchange Rule 4754 governing As currently implemented, the Plan 45 was prepared by the underwriter or, the NASDAQ Closing Cross. The applies to securities between 9:30 a.m. through delegation, one of its proposed rule change was published for and 3:45 p.m. E.T. each trading day. In contractors or sub-contractors, and the comment in the Federal Register on the near future, the operation of the Plan information was inaccurate or January 14, 2014.3 The Commission will be extended to include the time incomplete, the underwriter would be received no comments on the proposal. between 3:45 p.m. and 4:00 p.m. E.T., responsible for the information and On February 20, 2014, NASDAQ filed therefore be liable for such information Amendment No. 1 to the proposed rule rationale for the time-based execution priority method currently employed in the case of a trading under proposed Rule G–45; and (x) change.4 This order approves the revise the rule text to clarify in Rule G– halt; and, (v) to clarify that new market orders may be entered during an LULD Trading Pause, but only 45 that performance data shall be 109 15 U.S.C. 78s(b)(2). until 4:00 p.m. reported annually. These proposed 110 17 CFR 200.30–3(a)(12). 5 ‘‘Nasdaq Closing Cross’’ shall mean the process revisions respond to a number of 1 15 U.S.C. 78s(b)(1). for determining the price at which orders shall be concerns expressed in the comment 2 17 CFR 240.19b–4. executed at the close and for executing those orders. letters discussed above. The 3 See Securities Exchange Act Release No. 71254 See Exchange Rule 4754. 6 See Securities Exchange Act Release No. 67091 Commission believes that these (January 8, 2014), 79 FR 2493 (‘‘Notice’’). 4 In Amendment No. 1, NASDAQ amended the (May 31, 2012), 77 FR 33498 (June 6, 2012) (File revisions provide greater clarity on proposal: (i) To clarify that an additional tie-breaker No. 4–631) (Order Approving, on a Pilot Basis, the several aspects of the proposal, such as will apply to selecting the execution price of the National Market System Plan To Address to whom the obligations of the proposed LULD Closing Cross (defined below); (ii) to describe Extraordinary Market Volatility). 7 rule apply and the scope of the the treatment of IO orders (defined below) prior to See proposed rule 4754(b)(6). the determination of the execution price; (iii) to 8 Unless otherwise specified, capitalized terms information that is required to be make a change the type of information that will be used herein are based on the defined terms of the submitted by underwriters of 529 plans. disseminated during a Trading Pause prior to the Plan. Accordingly, the Commission finds end of regular trading hours; (iv) to describe its 9 See supra note 6.

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which is the end of regular trading is insufficient interest in the Closing crosses.24 Specifically, the Near hours on the Exchange and is when the Cross.16 Clearing Price,25 Far Clearing Price,26 Exchange typically conducts a Closing According to the Exchange, NASDAQ and Current Reference Price 27 Cross for each of its listed securities. will delay execution of the LULD contained in the NOII will all represent The Exchange proposes to adopt rules Closing Cross if the market experiences the price at which the LULD Closing for a LULD Closing Cross in connection volatility during the Trading Pause just Cross would execute should the Cross with the extension of the Plan to 4:00 prior to the time of execution.17 conclude at that time.28 The Exchange p.m. E.T. Specifically, the Exchange notes that if originally proposed that the NOII would The Exchange proposes to add new the expected closing price changes more also include the size and side of any paragraph (b)(6) to Rule 4754 to govern than five percent, or 50 cents, shares not currently paired at the the operation of the LULD Closing whichever is greater, in the last 15 Reference Price. Amendment No. 1 Cross, which will apply to Trading seconds of the Trading Pause, or if there proposes to change this provision by Pauses triggered at or after 3:50 p.m. and is a market order imbalance (e.g., there requiring dissemination of an indicator before 4:00 p.m.10 As noted by the is a greater quantity of shares to buy for ‘‘market buy’’ or ‘‘market sell’’ if Exchange, the LULD Closing Cross will priced as market orders than total marketable buy or sell shares would be a hybrid containing elements of the eligible sell interest) preventing the remain unexecuted above or below the NASDAQ Closing Cross and the calculation of a cross price, NASDAQ Near or Far Clearing Price for the 11 will delay the execution of the LULD expected LULD Closing Cross, rather NASDAQ Halt Cross. The five 18 significant components to the proposed Closing Cross. In that case, the LULD than disclosing the size and side of change, described in further detail Closing Cross will be extended in one- order imbalances, which is consistent below, are: (1) Timing, (2) information minute increments until such time as with what is currently done in the 29 dissemination (3) participation of sufficient trading interest does exist, the NASDAQ Halt and IPO Crosses. The certain order types, (4) execution volatility condition is eliminated, and/ Exchange stated this language conforms processing, and (5) re-opening of trading or the market order imbalance has been to the dissemination of indicative eliminated.19 The above volatility following execution. pricing information currently set forth checks will be governed under Rule in Exchange Rule 4753(a)(2)(E)(iii) and A. Timing 4120(c)(7)(C)(1) and 4120(c)(7)(C)(3). If 4754(a)(7)(E)(ii) governing the NASDAQ this condition persists until 5:00 p.m., Halt/IPO Cross and the NASDAQ For securities halted due to an LULD NASDAQ will not conduct an LULD Closing Cross.30 Trading Pause triggered between 3:50 Closing Cross in that security and shall and 4:00 p.m., NASDAQ will conduct C. Participation of Order Types 12 instead use the last-sale on NASDAQ as an LULD Closing Cross at 4:00 p.m. the NASDAQ Official Closing Price in The Exchange notes that currently, For securities paused after 3:55 p.m., the that security for that trading day.20 As two sets of orders can participate in the Trading Pause will be shortened to noted by the Exchange, in the event that Closing Cross: (1) Orders resting on ensure a consistent close at 4:00 p.m., the volatility condition persists until NASDAQ’s continuous book at the time subject to limited exception in the case 5:00 p.m., all orders will be cancelled of the Cross, and (2) any ‘‘Special 13 of extreme volatility described below. back to the entering firms, and after Closing Order’’ entered and not Consistent with the Closing Cross, if at hours trading will begin at 5:00 p.m.21 cancelled prior to the close.31 Special 4:00 p.m. there is insufficient trading Closing Orders, as set forth in NASDAQ interest in the NASDAQ system to B. Information Dissemination Rule 4754, are Market on Close execute an LULD Closing Cross,14 The change in timing, referenced (‘‘MOC’’), Limit on Close, (‘‘LOC’’), and NASDAQ will not conduct an LULD above, also changes how the Exchange Imbalance Only (‘‘IO’’) orders. Under Closing Cross in that security.15 In that will disseminate the Net Order this proposal, the LULD Closing Cross case, NASDAQ shall instead use the last Imbalance Indicator (‘‘NOII’’). would include Special Closing Orders, sale on NASDAQ as the NASDAQ According to the Exchange, NASDAQ Official Closing Price (defined in the disseminates the NOII every five 24 See id. Exchange’s rules) in that security for seconds from 3:50 p.m. until the close 25 Far Clearing Price means the price at which that trading day, as it does when there of trading at 4:00 p.m., and it will both the MOC, LOC, and IO, orders would execute. continue to do so under this proposal.22 See Exchange Rule 4754(a)(7)(E)(i). 26 Near Clearing Price means the price at which 10 See Notice, supra note 3 at 2494. If the LULD Closing Cross is extended the MOC, LOC, IO, and Eligible Interest would 11 NASDAQ Halt Cross means the process for beyond 4:00 p.m. due to late volatility execute. See Exchange Rule 4754(a)(7)(E)(ii). determining the price at which Eligible Interest or a market order imbalance, NASDAQ 27 Current Reference Price means: (i) The single shall be executed at the open of trading for a halted will continue to disseminate the NOII price that is at or within the current Nasdaq Market security and for executing that Eligible Interest. See Center best bid and offer at which the maximum Exchange Rule 4753(a)(3) every five seconds until the LULD number of shares of MOC, LOC, IO and Close 12 The LULD Closing Cross will not apply for any Closing Cross actually occurs or until Eligible Interest can be paired; (ii) If more than one security halted by an LULD Trading Pause triggered 5:00 p.m.23 price exists under subparagraph (i), the Current prior to 3:50 p.m. Specifically, if an LULD Trading The Exchange notes that NOII Reference Price shall mean the price that minimizes Pause is triggered at 3:49:59 and ends at 3:54:59, the any Imbalance; (iii) If more than one price exists stock will open via the standard NASDAQ Halt message during the Trading Pause under subparagraph (ii), the Current Reference Price Cross as specified in the rules toady and then close preceding an LULD Closing Cross will shall mean the entered price at which shares will via the standard NASDAQ Closing Cross at 4:00 be similar to those disseminated during remain unexecuted in the cross; (iv) If more than p.m. See id. a standard closing Cross and other halt one price exists under subparagraph (iii), the 13 See id. Current Reference Price shall mean the price that 14 minimizes the distance from the bid-ask midpoint Insufficient trading interest is defined as the 16 See Notice supra note 3 at 2494. lack of any bid interest priced to be marketable of the inside quotation prevailing at the time of the 17 See id. against any available offer interest. For example, if order imbalance indicator dissemination. See 18 the most aggressively priced bid interest is priced See id. Exchange Rule 4754(a)(7)(A). at $1.00 and the most aggressively priced offer 19 See id. 28 See Notice supra note 3 at 2494. interest is priced at $5.00, there is insufficient 20 See proposed rule 4754(b)(6)(A)(iii). 29 See Amendment No. 1 to the proposal, supra trading interest to execute an LULD Closing Cross. 21 See Notice supra note 3 at 2494. note 4. See id. 22 See id. 30 Id. 15 See proposed rule 4754(b)(6)(A)(ii). 23 See id. 31 See Notice supra note 3 at 2494.

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newly entered orders, and all orders NASDAQ also proposes to permit the (D) If more than one price exists resting on the continuous book.32 entry, modification, and cancellation of under subparagraph (C), the Nasdaq In the event of an LULD Closing additional orders (whether market or Closing Cross shall occur at: Cross, MOC, LOC and IO intended for limit orders) during the Trading Pause. i. In the case where a security has the closing cross entered into the system Specifically, during a Trading Pause already traded during normal market and placed on the book prior to 3:50 that is triggered or extended after 3:50 hours on that trading day, the price that p.m. will remain on the book to p.m., members will be permitted to is closest to the last Nasdaq execution participate in the LULD Closing Cross enter, modify, and cancel new market prior to the Trading Pause; and may not be modified or cancelled.33 orders up until 4:00 p.m. The Exchange ii. In the case where a security has not Currently, under Rule 4754, MOC and notes that it does not currently permit already traded during normal market LOC orders can be cancelled between the entry of market orders after 4:00 hours on that trading day, the price that 3:50:00 p.m. and 3:55:00 p.m. only by p.m.; only limit orders may be entered is closest to the previous NASDAQ 46 requesting NASDAQ to correct a after 4:00 p.m. Therefore, if an LULD Official Closing Price. legitimate error (e.g., side, size, symbol, Trading Pause is extended beyond 4:00 Once the algorithm determines the price or duplication of an order).34 In p.m. due to continuing volatility, entry proper closing price, the LULD Closing addition, currently, MOC and LOC of new market orders will be prohibited Cross will execute all orders at the orders cannot be cancelled after 3:55:00 after 4:00 p.m. Limit orders may still be determined price in strict price/time p.m. for any reason.35 entered up to the time of execution of priority, rather than the complex 40 priority currently set forth in NASDAQ The Exchange notes that under the the LULD Closing Cross. New orders Rule 4754(b)(3).47 The Exchange notes proposal, members will be permitted to of any order type or any time in force that it selected the time-based priority enter and modify (only to increase the described in NASDAQ Rule 4751 will method currently employed in the case number of shares represented), but not be eligible to participate in the LULD 41 of a trading halt rather than the more cancel new IO orders up to the time of Closing Cross. Any new order entered complex method used in the case of a execution of the LULD Closing Cross.36 between 3:50 and 4:00 p.m. that is not standard closing cross because it In the original filing, NASDAQ executed in the LULD Closing Cross believes that trading behavior during an described the treatment of IO Orders shall be processed after the LULD LULD Trading Pause immediately prior after the system determines the Closing Cross is executed according to to the close of trading will more closely execution price of the LULD Closing the entering firm’s instructions on that 42 resemble behavior during a trading halt Cross. However, NASDAQ neglected to order. than trading just prior to the close.48 describe their treatment prior to that D. Execution Processing This is likely to be the case due to the determination, and their impact on the The Exchange will determine the absence of a continuous market during execution price. Specifically, in the case closing price by taking the closing book the LULD Trading Pause, as opposed to of an LULD Trading Pause prior to the (MOC and LOC orders only), the the presence of a continuous market just close of trading, prior to the remaining eligible orders on the book prior to the standard close of trading.49 determination of the execution price, IO prior to the LULD halt, and any new According to the Exchange, excess Orders entered prior to the LULD interest entered after the LULD halt.43 interest at the closing price will be Closing Cross will be re-priced to one The Exchange notes that priority in the available for execution against available penny above the LULD band price (for cross will be price/time, with IO orders IO orders on the opposite side of the sell IOs) or one penny below the LULD more aggressive than the closing price market.50 Aggressive IO orders opposite price band (for buy IOs) or to the re-priced to the closing price but the side of the imbalance that were entered price if it is less aggressive than retaining their original time priority.44 entered prior to other orders at exactly the LULD price band at the time of the The Exchange states that the execution 37 the crossing price will be re-priced to LULD Trading Pause. algorithm for the LULD Closing Cross the crossing price and have priority over With respect to continuous book shall be the same as currently used for those orders.51 The LULD Closing Cross orders resting on the book at the time of the Cross.45 Specifically, price will be the NASDAQ Official the Trading Pause, all such orders (A) The Nasdaq Closing Cross will Closing Price for stocks that participate eligible to participate in the Cross will occur at the price that maximizes the in the LULD Closing Cross. remain on the book to participate in the number of shares of Eligible Interest in LULD Closing Cross and such orders the Nasdaq Market Center to be E. Re-Opening Trading may be modified or cancelled up until executed; After hours trading will begin the time the LULD Closing Cross.38 The (B) If more than one price exists under immediately following execution of the Exchange notes that all order times in subparagraph (A), the Nasdaq Closing force eligible to participate in the Cross Cross shall occur at the price that 46 See Notice, supra note 3 at 2495; Amendment today will continue to do so in the minimizes any Imbalance; No. 1, supra note 4. The Exchange notes that this proposed LULD Closing Cross.39 (C) If more than one price exists under fourth tie-breaker would be used rarely but that when it is used this tie-breaker must be based on subparagraph (B), the Nasdaq Closing a fixed reference prices such as the last reported 32 See id. Cross shall occur at the entered price at trade. This fixed tie-breaker, according to the 33 See proposed rule 4754(b)(6)(C)(i). which shares will remain unexecuted in Exchange, is superior to a floating one, such as 34 See Exchange Rule 4754(a)(4) and (5). the cross. midpoint or an NBBO, in situations where there is 35 See id. no continuous market just prior to the execution of 36 See Notice supra note 3 at 2495. See also the cross, as is the case prior to any halt. Id. proposed rule 4754(b)(6)(C)(iii). (‘‘SGTC’’), or Good-til-Market Close ‘‘GTMC’’). See 47 See Notice, supra note 3 at 2495. Notice supra note 3 at 2495. 37 See Amendment No. 1 to the proposal, supra 48 See Amendment No. 1, supra note 4. 40 note 4. See Amendment No. 1 to the proposal, supra 49 See id. note 4 and proposed rule 4754(b)(6)(C)(iii). 38 See proposed rule 4754(b)(6)(C)(ii). 50 See Notice, supra note 3 at 2495. 41 See Notice, supra note 3 at 2495. 39 Those orders include the following Time In 51 This treatment of IO orders differs slightly from 42 Force markings: Market Hours Good-till-Cancelled See id. the current closing cross where aggressive IO (‘‘MGTC’’), Market Hours Day (‘‘MDAY’’), System 43 See id. Orders may be re-priced to either the best bid or Hours Expire Time (‘‘SHEX’’), System Hours Day 44 See id. offer in order to interact only with MOC and LOC (‘‘SDAY’’), System Hours Good-till-Cancelled 45 See id. interest. See id.

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LULD Closing Cross. According to the Additionally, the Exchange will Due to the likelihood of increased Exchange, at that time, all resting orders continue to disseminate the similar volatility after an LULD pause and the or newly entered orders not executed in market data information for the LULD importance of orderly trading at the the LULD Closing Cross will be either Closing Cross as it does with the IPO close, NASDAQ has determined to treat cancelled or available for execution in Cross and Halt Cross, which the IO Orders differently in this after-hours trading based on the entering Exchange notes is designed to facilitate circumstance.65 NASDAQ believes that firm’s instruction on the order.52 the entry of additional offsetting interest this treatment of IO Orders is in the closing process.56 appropriate and beneficial to investors III. Discussion and Commission The Exchange notes that it attempted and the market because, by definition, Findings to mitigate the risks associated with a an LULD pause follows a period of After careful review of the proposal, Trading Pause that occurs near the end unusual volatility and an LULD pause at as modified by Amendment No. 1, the of regular trading hours to the greatest the close of trading poses risks at a Commission finds that the proposed extent possible.57 The Exchanges stated particularly important time of the rule change is consistent with the that it believes that this proposal is trading day.66 Using the LULD band as requirements of the Act and the rules consistent with the Act and that the the reference price upon which to base and regulations thereunder that are proposal is designed to preserve to the IO Order prices will foster stability in an applicable to a national securities extent possible current order entry and otherwise unstable time in the market. exchange.53 In particular, the trading behaviors, thereby reducing the NASDAQ considered various Commission finds that the proposed potential for member and investor alternatives for the re-pricing of IO rule change is consistent with Section confusion.58 The Exchange further Orders, ranging from re-pricing at the 6(b)(5) of the Act,54 which requires, stated that it believes this proposal is LULD bands, at one penny away from among other things, that the rules of an well-tailored to provide transparency those bands, and at multiple pennies exchange be designed to promote just and predictability by clearly defining away. NASDAQ believes that re-pricing and equitable principles of trade, when the LULD Closing Cross will at a penny away from the LULD bands remove impediments to, and perfect the occur, what orders will be included, properly balances the need for a buffer mechanism of, a free and open market what information will be disseminated, to protect investors from excessive and a national market system, and, in how the execution algorithm will volatility (which would militate towards general, protect investors and the operate, and when after-hours trading a narrower banding) and the need for public. will begin.59 Specifically the Exchange unfettered price discovery (which The Exchange notes that all aspects of stated that it believes that maintaining would push towards wider banding). the proposed LULD Closing Cross are the 4:00 p.m. market closing time is the This balance, in NASDAQ’s view, is the based upon existing processes built into approach most likely to result in a fair best way to protect investors and both the Exchanges’ Closing Cross and and orderly market at the close of maintain a fair and orderly market. Halt Cross. Consistent with existing trading.60 Regarding the decision to prevent the processes, the Exchange will accept all Regarding the proposed rule change cancellation or modification of orders resting on NASDAQ’s continuous in Amendment No. 1 concerning the previously entered MOC and LOC book at the time of the LULD Closing treatment of IO orders, the Exchanges orders, the Exchange notes that the Cross, including newly entered orders, notes that, consistent with IO orders in proposal is designed to promote and any Special Closing Order, defined the Cross, the purpose of IO orders in stability and predictability in the orders as a MOC, LOC, or IO order. Priority in the LULD Closing Cross is to aid in the that are entered for the close, rather than the LULD Closing Cross will be price/ price discovery process and provide a having last-minute cancellations of ‘‘on time, with IO orders more aggressive stabilizing mechanism, which in a time close’’ orders which would cause than the closing price re-priced to the of greater market volatility becomes all continual changes to the order balance closing price but retaining their original the more important.61 As noted by the in a security near the end of trading.67 time priority. The execution algorithm Exchange, in the standard Cross, IO The Exchange further notes that for the LULD Closing Cross shall be the orders are re-priced to a reference price Members are not required to enter such same as currently used for the NASDAQ that is the NASDAQ best bid for buys orders in the first place. The Exchange Closing Cross. Once the algorithm or the NASDAQ best offer for sells.62 considered permitting members to determines the proper closing price, the Without a bid or offer based on cancel or modify previously entered LULD Closing Cross will execute all continuous trading due to the LULD MOC and LOC Orders, but decided not orders at the determined price in strict Trading Pause, the LULD band price to for several reasons. First, the price/time priority, rather than the becomes a substitute reference price for Exchange notes that members that complex priority currently set forth in the LULD Closing Cross IO Orders.63 55 participate in NASDAQ’s Closing Cross NASDAQ Rule 4754(b)(3). Additionally, buy and sell IO orders are rely on the fixed status of MOC and LOC not meant to trade against each other or Orders to anchor the crosses; the 52 See id. cause imbalances and thus the IO orders benefits of stability apply with equal 53 In approving the proposal, the Commission has in a LULD Closing Cross will be re- 68 considered the proposed rule’s impact on force to the LULD Closing Cross. efficiency, competition, and capital formation. See priced to $0.01 below the LULD band Second, the Exchange notes that there is 15 U.S.C. 78c(f). for buys and $0.01 above the LULD a benefit to maintaining the same 64 54 15 U.S.C. 78f(b)(1). band for sells. behavior of specific order types to the 55 See proposed rule 4754(b)(6)(D) and Notice, greatest extent possible; changing the supra note 3 at 2495. As the Exchange noted 56 See Notice, supra note 3 at 2494. further, it selected the time-based priority method 57 See id. at 2496. behavior of order types could create 69 currently employed in the case of a trading halt 58 See id. at 2495. member confusion. Lastly, the rather than the more complex method used in the 59 See id. at 2496. case of a standard closing cross because it believes 60 65 See id. that trading behavior during an LULD Trading See id. at 2494. 61 66 Pause immediately prior to the close of trading will See Amendment No. 1, supra note 4. See id. more closely resemble behavior during a trading 62 See id. 67 See Notice, supra note 3 at 2496. halt than trading just prior to the close. See 63 See id. 68 See id. at 2495. Amendment No. 1, supra note 4. 64 See id. 69 See id.

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Exchange notes that members that enter system, and, in general, protect provisions of 5 U.S.C. 552, will be MOC and LOC orders are and will investors and the public. available for Web site viewing and continue to be fully aware of the risk of The Commission finds good cause to printing in the Commission’s Public price movements at the close, including approve the filing, as modified by Reference Room on official business the risk of an LULD Trading Pause and Amendment No. 1 to the proposed rule days between the hours of 10:00 a.m. that members can avoid that risk by change, prior to the thirtieth day after and 3:00 p.m. Copies of such filing also changing their behavior and entering the date of the publication of notice of will be available for inspection and other order types if they deem the risk the filing thereof in the Federal copying at the principal offices of the to be too large.70 The Exchange Register. The proposed revisions should Exchange. All comments received will concluded that the better course is to further enhance the Exchange’s policies be posted without change; the prevent the cancellation or modification and procedures with respect to the Commission does not edit personal of MOC and LOC Orders to the same operation of the Plan. Accelerated identifying information from extent as currently allowed on the approval would allow the Exchange to submissions. You should submit only Exchange.71 update its rule text immediately, thus information that you wish to make providing users with greater clarity and available publicly. All submissions As explained above, the Exchange has certainty with respect to the use of the should refer to File Number SR– proposed certain price and execution new LULD Closing Cross functionality NASDAQ–2014–004, and should be constraints for the LULD Closing Cross offered by the Exchange in anticipation submitted on or before March 20, 2014. to ensure that the auction occurs at a of the application of the Plan through price that is based on rational and the end of regular trading Hours. V. Conclusion 72 current market conditions. Accordingly, the Commission finds that It is therefore ordered, pursuant to Specifically, NASDAQ stated that it good cause exists, consistent with Section 19(b)(2) of the Act,78 that the believes that the proposed price check Section 6(b)(5) of the Act, to approve the proposed rule change, SR–NASDAQ– for movement of five percent or 50 filing, as modified by Amendment No. 2014–004, as modified by amendment cents, whichever is greater, in the last 1, on an accelerated basis. No. 1, be, and hereby is, approved on an 15 seconds of an LULD Trading Pause accelerated basis. is prudent in light of the volatility that IV. Solicitation of Comments stocks are, by definition, experiencing at Interested persons are invited to For the Commission, by the Division of the time of the LULD Trading Pause.73 submit written data, views, and Trading and Markets, pursuant to delegated authority.79 Additionally, the Exchange retains arguments concerning the foregoing, discretion under Rule 4754(b)(6)(A)(iii) including whether Amendment No. 1 is Kevin M. O’Neill, to extend the timing of the LULD consistent with the Act. Comments may Deputy Secretary. Closing Cross if an order imbalance be submitted by any of the following [FR Doc. 2014–04241 Filed 2–26–14; 8:45 am] exists at the time designated for the methods: BILLING CODE 8011–01–P LULD Closing Cross to occur, up to 5:00 p.m. The Exchange states that 5:00 p.m. Electronic Comments is a reasonable time to end such • Use the Commission’s Internet DEPARTMENT OF STATE volatility extensions and cancel the comment form (http://www.sec.gov/ [Public Notice 8647] closing cross because as volatility in a rules/sro.shtml); or • Send an email to rule-comments@ security continues towards 5:00 p.m., Culturally Significant Objects Imported sec.gov. Please include File Number SR– the likelihood of a smooth LULD for Exhibition Determinations: ‘‘Lygia 74 NASDAQ–2014–004 on the subject line. Closing Cross diminishes. The Clark’’ Exchange notes that while it is prudent Paper Comments to extend the time for executing the AGENCY: Department of State. • Send paper comments in triplicate closing cross rather than risk a volatile ACTION: Notice, correction. close, the extension must be balanced to Elizabeth M. Murphy, Secretary, by the need for closure.75 NASDAQ Securities and Exchange Commission, SUMMARY: On May 3, 2012, notice was represents that the 5:00 p.m. cut-off time 100 F Street NE., Washington, DC published on page 26353 of the Federal represents a reasonable balance.76 20549–1090. Register (volume 77, number 86) of All submissions should refer to File determinations made by the Department For the various reasons noted above, Number SR–NASDAQ–2014–004. This of State pertaining to the exhibition the Commission finds that the proposed file number should be included on the ‘‘Lygia Clark.’’ The referenced notice is rule change as modified by Amendment subject line if email is used. To help the corrected here to include additional No. 1 is consistent with the Act, Commission process and review your objects as part of the exhibition. Notice including Section 6(b)(5) of the Act,77 comments more efficiently, please use is hereby given of the following which requires, among other things, that only one method. The Commission will determinations: Pursuant to the the rules of an exchange be designed to post all comments on the Commission’s authority vested in me by the Act of promote just and equitable principles of Internet Web site (http://www.sec.gov/ October 19, 1965 (79 Stat. 985; 22 U.S.C. trade, remove impediments to, and rules/sro.shtml). Copies of the 2459), Executive Order 12047 of March perfect the mechanism of, a free and submission, all subsequent 27, 1978, the Foreign Affairs Reform and open market and a national market amendments, all written statements Restructuring Act of 1998 (112 Stat. with respect to the proposed rule 2681, et seq.; 22 U.S.C. 6501 note, et 70 See id. change that are filed with the 71 seq.), Delegation of Authority No. 234 of See id. Commission, and all written 72 See supra notes 41–47, and accompanying text. October 1, 1999, and Delegation of 73 See Notice, supra note 3 at 2494. communications relating to the Authority No. 236–3 of August 28, 2000 74 See Notice, supra note 3 at 2494. proposed rule change between the (and, as appropriate, Delegation of 75 See id. Commission and any person, other than 76 See id. those that may be withheld from the 78 15 U.S.C. 78s(b)(2). 77 15 U.S.C. 78f(b)(1). public in accordance with the 79 17 CFR 200.30–3(a)(12).

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Authority No. 257 of April 15, 2003), I input to the meeting should contact Mr. comments from the public concerning hereby determine that the additional Joe Murphy, whose contact information the issues raised in this dispute. objects to be included in the exhibition is listed under for further information DATES: Although USTR will accept any ‘‘Lygia Clark,’’ imported from abroad for section of this notice. Each individual comments received during the course of temporary exhibition within the United providing oral input is requested to the dispute settlement proceedings, States, are of cultural significance. The limit his or her comments to five comments should be submitted on or additional objects are imported minutes. Requests to be added to the before March 31, 2014, to be assured of pursuant to loan agreements with the speaker list must be received in writing timely consideration by USTR. foreign owners or custodians. I also (letter, email or fax) prior to the close of ADDRESSES: Public comments should be determine that the exhibition or display business on Monday, March 10, 2014; submitted electronically to of the additional exhibit objects at the written comments from members of the www.regulations.gov, docket number Museum of Modern Art, New York, New public for distribution at this meeting USTR–2013–0031. If you are unable to York, from on or about May 10, 2014, must reach Mr. Murphy by letter, email provide submissions by until on or about August 24, 2014, and or fax by this same date. A member of www.regulations.gov, please contact at possible additional exhibitions or the public requesting reasonable Sandy McKinzy at (202) 395–9483 to venues yet to be determined, is in the accommodation should make the arrange for an alternative method of national interest. I have ordered that request to Mr. Murphy by that same transmission. Public Notice of these Determinations date. If (as explained below) the comment be published in the Federal Register. Meeting agenda: The agenda of the contains confidential information, then FOR FURTHER INFORMATION CONTACT: For meeting will include: A review of the the comment should be submitted by further information, including a list of major proposals and issues to be fax only to Sandy McKinzy at (202) the additional exhibit objects, contact considered by the March/April Postal 395–3640. Paul W. Manning, Attorney-Adviser, Operations Council meeting in Bern, FOR FURTHER INFORMATION CONTACT: J. Office of the Legal Adviser, U.S. Switzerland and other subjects related Daniel Stirk, Associate General Counsel, Department of State (telephone: 202– to international postal and delivery or Brooks E. Allen, Assistant General 632–6469). The mailing address is U.S. services of interest to Advisory Counsel, Office of the United States Department of State, SA–5, L/PD, Fifth Committee members and the public. Trade Representative, 600 17th Street Floor (Suite 5H03), Washington, DC For further information, please NW., Washington, DC 20508, (202) 395– 20522–0505. contact Mr. Joe Murphy of the Office of 3150. Global Systems (IO/GS), Bureau of Dated: February 12, 2014. SUPPLEMENTARY INFORMATION: Section International Organization Affairs, U.S. Kelly Keiderling, 127(b) of the Uruguay Round Department of State, at (202) 647–4197 Agreements Act (‘‘URAA’’) (19 U.S.C. Principal Deputy Assistant Secretary, Bureau or by email at [email protected]. of Educational and Cultural Affairs, 3537(b)(1)) requires that notice and Department of State. Dated: February 21, 2014. opportunity for comment be provided [FR Doc. 2014–04347 Filed 2–26–14; 8:45 am] Robert J. Faucher, after the United States submits or BILLING CODE 4710–05–P Director, Office of Global Systems, Bureau receives a request for the establishment of International Organization Affairs, of a WTO dispute settlement panel. Department of State. Pursuant to this provision, USTR is DEPARTMENT OF STATE [FR Doc. 2014–04344 Filed 2–26–14; 8:45 am] providing notice that a dispute [Public Notice 8648] BILLING CODE 4710–19–P settlement panel has been established in this matter pursuant to the WTO Advisory Committee on International Dispute Settlement Understanding (‘‘DSU’’). The panel will hold its Postal and Delivery Services OFFICE OF THE UNITED STATES meetings in Geneva, Switzerland. AGENCY: Department of State. TRADE REPRESENTATIVE ACTION: Notice; FACA Committee Major Issues Raised by Korea [Dispute No. WTO/DS464] meeting announcement. On December 26, 2012, the U.S. WTO Dispute Settlement Proceeding Department of Commerce published in SUMMARY: As required by the Federal the Federal Register notice of its final Advisory Committee Act, Public Law Regarding United States—Anti- Dumping and Countervailing Measures affirmative less-than-fair-value 92–463, the Department of State gives (‘‘LTFV’’) determination in the notice of a meeting of the Advisory on Large Residential Washers From Korea antidumping investigation concerning Committee on International Postal and large residential washers from Korea (77 Delivery Services. This Committee has AGENCY: Office of the United States FR 75988). On February 15, 2013, the been formed in fulfillment of the Trade Representative. Department of Commerce published its provisions of the 2006 Postal ACTION: Notice; request for comments. antidumping duty order (78 FR 11148). Accountability and Enhancement Act On December 26, 2012, the (Pub. L. 109–435) and in accordance SUMMARY: The Office of the United Department of Commerce published in with the Federal Advisory Committee States Trade Representative (‘‘USTR’’) is the Federal Register notice of its final Act. providing notice that the Republic of affirmative countervailing duty DATES: Date and Time: The meeting will Korea (‘‘Korea’’) has requested the determination concerning large be held on Friday, March 14, from 1:00 establishment of a dispute settlement residential washers from Korea (77 FR p.m. to 3:00 p.m. panel under the Marrakesh Agreement 75975) and on February 15, 2013, Location: The American Institute of Establishing the World Trade published its countervailing duty order Architects, Board Room, 1735 New York Organization (‘‘WTO Agreement’’). That (78 FR 11154). Avenue NW., Washington, DC 20006. request may be found at www.wto.org In its request for the establishment of Public input: Any member of the contained in a document designated as a panel, Korea alleges that the public interested in providing public WT/DS464/4. USTR invites written Department of Commerce improperly

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calculated margins of dumping through Find a reference to this notice by Pursuant to section 127(e) of the its application of an alternative, average- selecting ‘‘Notice’’ under ‘‘Document Uruguay Round Agreements Act (19 to-transaction comparison methodology Type’’ on the left side of the search- U.S.C. 3537(e)), USTR will maintain a and its alleged use of a methodology results page, and click on the link docket on this dispute settlement that Korea describes as ‘‘zeroing.’’ Korea entitled ‘‘Comment Now!’’ (For further proceeding, docket number USTR– alleges that the final LTFV information on using the 2013–0031, accessible to the public at determination and antidumping duty www.regulations.gov Web site, please www.regulations.gov. order, as well as ‘‘preliminary and final consult the resources provided on the The public file will include non- determinations in administrative Web site by clicking on ‘‘How to Use confidential comments received by reviews, new shipper reviews, sunset This Site’’ on the left side of the home USTR from the public regarding the reviews, changed circumstances page.) dispute. The following documents will reviews, and other segments’’ are The www.regulations.gov Web site be made available to the public at inconsistent with Articles 1, 2.1, 2.4, allows users to provide comments by www.ustr.gov: the United States’ 2.4.2, 5.8, 9.3, 9.5, 11.2, and 11.3 of the filling in a ‘‘Type Comments’’ field, or submissions, any non-confidential Anti-Dumping Agreement, and Articles by attaching a document using an submissions received from other VI:1 and VI:2 of the General Agreement ‘‘Upload File’’ field. It is expected that participants in the dispute, and any on Tariffs and Trade 1994. most comments will be provided in an non-confidential summaries of Korea also challenges ‘‘as such’’ the attached document. If a document is submissions received from other Department of Commerce’s use of an attached, it is sufficient to type ‘‘See participants in the dispute. The report alternative, average-to-transaction attached’’ in the ‘‘Type Comments’’ of the panel in this proceeding and, if comparison methodology and its alleged field. applicable, the report of the Appellate use of a methodology that Korea A person requesting that information Body, will be available on the Web site describes as ‘‘zeroing.’’ Korea alleges contained in a comment that he/she of the World Trade Organization, at that these methodologies are submitted be treated as confidential www.wto.org. Comments open to public inconsistent, ‘‘as such,’’ with Articles 1, business information must certify that inspection may be viewed at 2.1, 2.4, 2.4.2, 9.3, 9.5, 11.2, 11.3, and such information is business www.regulations.gov. 18.4 of the Anti-Dumping Agreement, confidential and would not customarily Articles VI:1 and VI:2 of the General be released to the public by the Juan Millan, Agreement on Tariffs and Trade 1994, submitter. Confidential business Assistant United States Trade Representative and Article XVI:4 of the WTO information must be clearly designated for Monitoring and Enforcement. Agreement. as such and the submission must be [FR Doc. 2014–04236 Filed 2–26–14; 8:45 am] Korea further alleges that the marked ‘‘BUSINESS CONFIDENTIAL’’ BILLING CODE 3290–F4–P Department of Commerce improperly at the top and bottom of the cover page calculated countervailing duties with and each succeeding page. Any respect to certain tax credits received by comment containing business DEPARTMENT OF TRANSPORTATION one respondent. Korea alleges that the confidential information must be final countervailing duty determination submitted by fax to Sandy McKinzy at Federal Aviation Administration and countervailing duty order, as well (202) 395–3640. A non-confidential as ‘‘preliminary and final summary of the confidential Consensus Standards, Light-Sport determinations in administrative information must be submitted to Aircraft reviews, new shipper reviews, sunset www.regulations.gov. The non- AGENCY: Federal Aviation reviews, changed circumstances confidential summary will be placed in Administration, DOT. reviews, and other segments’’ are the docket and will be open to public ACTION: Notice of availability; request inconsistent with Articles 1.1, 1.2, 2.1, inspection. 2.2, 10, 14, 19.4, and 32.1 of the USTR may determine that information for comments. Agreement on Subsidies and or advice contained in a comment SUMMARY: This notice announces the Countervailing Measures, and with submitted, other than business availability of two new and eight Article VI:3 of the General Agreement confidential information, is confidential revised consensus standards relating to on Tariffs and Trade 1994. in accordance with Section 135(g)(2) of the provisions of the Sport Pilot and Public Comment: Requirements for the Trade Act of 1974 (19 U.S.C. Light-Sport Aircraft rule issued July 16, Submissions 2155(g)(2)). If the submitter believes that 2004, and effective September 1, 2004. information or advice may qualify as Interested persons are invited to ASTM International Committee F37 on such, the submitter— Light Sport Aircraft developed the new submit written comments concerning (1) Must clearly so designate the the issues raised in this dispute. Persons and revised standards with Federal information or advice; Aviation Administration (FAA) may submit public comments (2) Must clearly mark the material as participation. By this notice, the FAA electronically to www.regulations.gov ‘‘SUBMITTED IN CONFIDENCE’’ at the finds the new and revised standards docket number USTR–2013–0031. If you top and bottom of the cover page and acceptable for certification of the are unable to provide submissions by each succeeding page; and www.regulations.gov, please contact (3) Must provide a non-confidential specified aircraft under the provisions Sandy McKinzy at (202) 395–9483 to summary of the information or advice. of the Sport Pilot and Light-Sport arrange for an alternative method of Any comment containing confidential Aircraft rule. transmission. information must be submitted by fax. A DATES: Comments must be received on To submit comments via non-confidential summary of the or before April 28, 2014. www.regulations.gov, enter docket confidential information must be ADDRESSES: Comments may be mailed number USTR–2013–0031 on the home submitted to www.regulations.gov. The to: Federal Aviation Administration, page and click ‘‘search.’’ The site will non-confidential summary will be Small Airplane Directorate, Programs provide a search-results page listing all placed in the docket and will be open and Procedures Branch, ACE–114, documents associated with this docket. to public inspection. Attention: Terry Chasteen, Room 301,

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901 Locust, Kansas City, Missouri Background: Under the provisions of aircraft until August 27, 2014. This 64106. Comments may also be emailed the Sport Pilot and Light-Sport Aircraft overlapping period of time will allow to: [email protected]. rule, and revised Office of Management aircraft that have started the initial All comments must be marked: and Budget (OMB) Circular A–119, certification process using the previous Consensus Standards Comments, and ‘‘Federal Participation in the revision level to complete that process. must specify the standard being Development and Use of Voluntary After August 27, 2014, manufacturers addressed by ASTM designation and Consensus Standards and in Conformity must use the later revision and must title. Assessment Activities’’, dated February identify the later revision in the FOR FURTHER INFORMATION CONTACT: 10, 1998, industry and the FAA have Statement of Compliance for initial Terry Chasteen, Light-Sport Aircraft been working with ASTM International certification of special light-sport Program Manager, Programs and to develop consensus standards for aircraft unless the FAA publishes a Procedures Branch (ACE–114), Small light-sport aircraft. These consensus specific notification otherwise. The Airplane Directorate, Aircraft standards satisfy the FAA’s goal for following Consensus Standards may not Certification Service, Federal Aviation airworthiness certification and a be used after August 27, 2014: verifiable minimum safety level for Administration, 901 Locust, Room 301, ASTM Designation F2240–08, titled: light-sport aircraft. Instead of Kansas City, Missouri 64106; telephone Standard Specification for developing airworthiness standards (816) 329–4147; email: terry.chasteen@ Manufacturer Quality Assurance through the rulemaking process, the faa.gov. Program for Powered Parachute FAA participates as a member of Aircraft SUPPLEMENTARY INFORMATION: This Committee F37 in developing these notice announces the availability of two standards. The use of the consensus ASTM Designation F2241–05a, titled: new and eight revised consensus standard process assures government Standard Specification for Continued standards to previously accepted and industry discussion and agreement Airworthiness System for Powered consensus standards relating to the on appropriate standards for the Parachute Aircraft provisions of the Sport Pilot and Light- required level of safety. ASTM Designation F2244–10, titled: Sport Aircraft rule. ASTM International Standard Specification for Design of Committee F37 on Light Sport Aircraft Comments on Previous Notices of Powered Parachute Aircraft Availability developed the new and revised ASTM Designation F2245–12d, titled: standards. The FAA expects a suitable In the Notice of Availability (NOA) Standard Specification for Design and consensus standard to be reviewed at issued on May 31, 2013, and published Performance of a Light Sport Airplane least every two years. The two-year in the Federal Register on June 11, 2013 review cycle will result in a standard ASTM Designation F2279–06, titled: the FAA asked for public comments on Standard Practice for Quality revision or reapproval. A standard is the new and revised consensus issued under a fixed designation (i.e., Assurance in the Manufacture of standards accepted by that NOA. The Fixed Wing Light Sport Aircraft F2244); the number immediately comment period closed on August 12, ASTM Designation F2353–05, titled: following the designation indicates the 2013. No public comments were Standard Specification for year of original adoption or, in the case received regarding the standards Manufacturer Quality Assurance of revision, the year of last revision. A accepted by this NOA. number in parentheses indicates the Program for Lighter-Than-Air Light year of last reapproval. A reapproval Consensus Standards in This Notice of Sport Aircraft indicates a two-year review cycle Availability ASTM Designation F2355–12, titled: completed with no technical changes. A The FAA has reviewed the standards Standard Specification for Design and superscript epsilon (e) indicates an presented in this NOA for compliance Performance Requirements for editorial change since the last revision with the regulatory requirements of the Lighter-Than-Air Light Sport Aircraft or reapproval. A notice of availability rule. Any light-sport aircraft issued a ASTM Designation F2426–05a, titled: (NOA) will only be issued for new or special light-sport airworthiness Standard Guide on Wing Interface revised standards. Reapproved certificate, which has been designed, Documentation for Powered standards issued with no technical manufactured, operated and Parachute Aircraft changes or standards issued with maintained, in accordance with this and ASTM Designation F2448–04, titled: editorial changes only (i.e., superscript previously accepted ASTM consensus Standard Practice for Manufacturer epsilon (e)) are considered accepted by standards provides the public with the Quality Assurance System for Weight- the FAA without need for a NOA. appropriate level of safety established Shift-Control Aircraft Comments Invited: Interested persons under the regulations. Manufacturers ASTM Designation F2449–09, titled: are invited to submit such written data, who choose to produce these aircraft Standard Specification for views, or arguments, as they may desire. and certificate these aircraft under 14 Manufacturer Quality Assurance Communications should identify the CFR part 21, §§ 21.190 or 21.191 are Program for Light Sport Gyroplane consensus standard number and be subject to the applicable consensus Aircraft submitted to the address specified standard requirements. The FAA ASTM Designation F2506–10,1, titled: above. All communications received on maintains a listing of all accepted Standard Specification for Design and or before the closing date for comments standards on the FAA Web site. will be forwarded to ASTM Testing of Fixed-Pitch or Ground International Committee F37 for The Revised Consensus Standard and Adjustable Light Sport Aircraft consideration. The standard may be Effective Period of Use Propellers changed in light of the comments The following previously accepted ASTM Designation F2564–11, titled: received. The FAA will address all consensus standards have been revised, Standard Specification for Design and comments received during the recurring and this NOA is accepting the later Performance of a Light Sport Glider review of the consensus standard and revision. Either the previous revision or ASTM Designation F2930–12, titled: will participate in the consensus the later revision may be used for the Standard Guide for Compliance with standard revision process. initial certification of special light-sport Light Sport Aircraft Standards

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The Consensus Standards Issued in Kansas City, Missouri, on discussions on recommendations February 21, 2014. regarding pilot procedures for The FAA finds the following new and Earl Lawrence, instrument flight, as well as criteria, revised consensus standards acceptable Manager, Small Airplane Directorate, Aircraft design, and developmental policy for for certification of the specified aircraft Certification Service. instrument approach and departure under the provisions of the Sport Pilot [FR Doc. 2014–04321 Filed 2–26–14; 8:45 am] procedures. and Light-Sport Aircraft rule. The BILLING CODE 4910–13–P The Charting Group agenda will following consensus standards become include briefings and discussions on effective February 27, 2014 and may be recommendations regarding used unless the FAA publishes a DEPARTMENT OF TRANSPORTATION aeronautical charting specifications, specific notification otherwise: flight information products, and new ASTM Designation F2241–13, titled: Federal Aviation Administration aeronautical charting and air traffic Standard Specification for Continued control initiatives. Attendance is open Government/Industry Aeronautical Airworthiness System for Powered to the interested public, but will be Charting Forum Meeting Parachute Aircraft limited to the space available. ASTM Designation F2244–13, titled: AGENCY: Federal Aviation Please note the following special Standard Specification for Design of Administration (FAA), DOT. security requirements for access to Powered Parachute Aircraft ACTION: Notice of public meeting. MITRE. A picture I.D. is required of all ASTM Designation F2245–13b, titled: U.S. citizens. Personnel with a U.S. Standard Specification for Design and SUMMARY: This notice announces the bi- Government badge (FAA, DOT, etc.) Performance of a Light Sport Airplane annual meeting of the Federal Aviation will be issued a ‘‘Non-Escort’’ badge. All ASTM Designation F2355–13, titled: Administration (FAA) Aeronautical other personnel will be issued an Standard Specification for Design and Charting Forum (ACF) to discuss ‘‘Escort Required’’ badge. Performance Requirements for informational content and design of All Non-U.S. citizen participants are Lighter-Than-Air Light Sport Aircraft aeronautical charts and related required to have a passport. ASTM Designation F2426–13, titled: products, as well as instrument flight Additionally, no later than April 15, Standard Guide on Wing Interface procedures development policy and 2014, ALL non-U.S. national attendees Documentation for Powered design criteria. must provide their name, country of Parachute Aircraft DATES: The ACF is separated into two citizenship, company/organization ASTM Designation F2506–13, titled: distinct groups. The Instrument representing, and country of the Standard Specification for Design and Procedures Group (IPG) will meet April company/organization to: Al Herndon, Testing of Light Sport Aircraft 29, 2014 from 8:30 a.m. to 5:00 p.m. The MITRE, at [email protected]. Foreign Propellers Charting Group will meet April 30 and nationals who do not provide the ASTM Designation F2564–13, titled: May 1, 2014 from 8:30 a.m. to 5:00 p.m. required information will not be Standard Specification for Design and ADDRESSES: The meeting will be hosted allowed entrance—NO EXCEPTIONS. The public must make arrangements Performance of a Light Sport Glider by MITRE at 7517 Colshire Drive, by April 8, 2014, to present oral ASTM Designation F2930–13, titled: Conference Center, McLean, VA 22102. statements at the meeting. The public Standard Guide for Compliance with FOR FURTHER INFORMATION CONTACT: For may present written statements and/or Light Sport Aircraft Standards information relating to the Instrument Procedures Group, contact Thomas E. new agenda items to the committee by ASTM Designation F2972–12, titled: providing a copy to the person listed in Standard Specification for Light Sport Schneider, FAA, Flight Procedures Standards Branch, AFS–420, 6500 the FOR FURTHER INFORMATION section Aircraft Manufacturer’s Quality not later than April 8, 2014. Public Assurance System South MacArthur Blvd., P.O. Box 25082, Oklahoma City, OK 73125; telephone: statements will only be considered if ASTM Designation F3035–13, titled: time permits. Standard Practice for Production (405) 954–5852; Email: Acceptance in the Manufacture of a [email protected]. Issued in Washington, DC, on February 18, Fixed Wing Light Sport Aircraft For information relating to the 2014. Charting Group, contact Valerie S. Valerie S. Watson, Availability Watson, FAA, National Aeronautical Co-Chair, Aeronautical Charting Forum. These consensus standards are Navigation Products (AeroNav [FR Doc. 2014–04309 Filed 2–26–14; 8:45 am] copyrighted by ASTM International, 100 Products), Quality Assurance & BILLING CODE 4910–13–P Barr Harbor Drive, P.O. Box C700, West Standards, AJV–3B, 1305 East-West Conshohocken, PA 19428–2959. Highway, SSMC4, Station 3409, Silver Individual reprints of a standard (single Spring, MD 20910; telephone: (301) DEPARTMENT OF TRANSPORTATION or multiple copies, or special 427–5155; Email: valerie.s.watson@ Federal Highway Administration compilations and other related technical faa.gov. information) may be obtained by SUPPLEMENTARY INFORMATION: Pursuant [Docket No. FHWA–2014–0007] contacting ASTM at this address, or at to § 10(a)(2) of the Federal Advisory (610) 832–9585 (phone), (610) 832–9555 Committee Act (Pub. L. 92–463; 5 U.S.C. Agency Information Collection (fax), through [email protected] (email), App. II), notice is hereby given of a Activities: Request for Comments for a or through the ASTM Web site at meeting of the FAA Aeronautical New Information Collection www.astm.org. To inquire about Charting Forum to be held from April 29 AGENCY: Federal Highway standard content and/or membership or through May 1, 2014, from 8:30 a.m. to Administration (FHWA), DOT. about ASTM International Offices 5:00 p.m. at MITRE, at their Conference ACTION: Notice and request for abroad, contact Christine DeJong, Staff Center at 7517 Colshire Drive, McLean, comments. Manager for Committee F37 on Light VA 22102. Sport Aircraft: (610) 832–9736, The Instrument Procedures Group SUMMARY: In compliance with the [email protected]. agenda will include briefings and Paperwork Reduction Act (PRA) of 1995

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(44 U.S.C. 3501–3521), this notice of each State’s use of the private sector of the information collection, including announces that FHWA will submit the to provide these services. suggestions for reducing the burden, to collection of information described The FHWA, via a survey, will be (1) Office of Information and Regulatory below to the Office of Management and requesting information from the State Affairs, Office of Management and Budget (OMB) for review and comment. Transportation Agencies to determine Budget, Attention: Desk Officer for The Federal Register Notice with a 60- the percent of projects in each state for Treasury, New Executive Office day comment period soliciting which private sector sources were Building, Room 10235, Washington, DC comments on the following collection of utilized for surveying and mapping 20503, or email at OIRA_Submission@ information was published on December services. Included in the survey will be OMB.EOP.gov and (2) Treasury PRA 20, 2013. The PRA submission describes the request for information from the Clearance Officer, 1750 Pennsylvania the nature of the information collection State transportation agencies, on the Ave. NW., Suite 8141, Washington, DC and its expected cost and burden. extent to which they use the private 20220, or email at [email protected]. DATES: Please submit comments by sector for surveying and mapping FOR FURTHER INFORMATION CONTACT: March 31, 2014. activities. Information obtained from the Copies of the submission(s) may be survey will be used to issue revised ADDRESSES: You may submit comments obtained by calling (202) 622–1295, guidance recommending appropriate emailing [email protected], or the identified by DOT Docket ID 2014-0007 roles for government and private sector by any of the following methods: entire information collection request surveying activities and in continuing to may be found at www.reginfo.gov. Web site: For access to the docket to encourage States to use private sector read background documents or sources to provide these services. The Internal Revenue Service (IRS) comments received go to the Federal survey results will also be used to OMB Number: 1545–0172. eRulemaking Portal: Go to http:// develop a process for the oversight and Type of Review: Extension without www.regulations.gov. Follow the online regular monitoring of each State’s use of change of a currently approved instructions for submitting comments. the private sector to provide these collection. Fax: 1–202–493–2251. services. Title: Form 4562—Depreciation and Mail: Docket Management Facility, Respondents: State Transportation Amortization (Including Information on U.S. Department of Transportation, Agencies (52, including the District of Listed Property). West Building Ground Floor, Room Columbia and Puerto Rico) in the first Form: 4562. W12–140, 1200 New Jersey Avenue SE., year, with follow-up surveys every two Abstract: Taxpayers use Form 4562 to: Washington, DC 20590–0001. years after the initial survey. claim a deduction for depreciation and/ Hand Delivery or Courier: U.S. Frequency: Every two years after the or amortization; make a section 179 Department of Transportation, West initial survey. election to expense depreciable assets; Building Ground Floor, Room W12–140, Estimated Average Burden per and answer questions regarding the use 1200 New Jersey Avenue SE., Response: 24 hours per participant State of automobiles and other listed property Washington, DC 20590, between 9 a.m. and 1.5 hours in the follow-up years. to substantiate the business use under and 5 p.m. ET, Monday through Friday, Estimated Total Annual Burden section 274(d). except Federal holidays. Hours: Approximately 1,248 hours in Affected Public: Businesses or other Crystal Jones, 202–366–2976, Office of the first year and 78 hours in the follow- for-profit organizations; Farms; Freight Management & Operations up years. Individuals or households. (HOFM–1), Office of Operations, Authority: The Paperwork Reduction Act Estimated Annual Burden Hours: Federal Highway Administration, 1200 of 1995; 44 U.S.C. Chapter 35, as amended; 448,368,447. New Jersey Ave., Room E84–313, and 49 CFR 1.48. OMB Number: 1545–1102. Washington, DC 20509. Office hours are Issued On: February 21, 2014. Type of Review: Extension without from 8:30 a.m. to 5:00 p.m., Monday Michael Howell, change of a currently approved through Friday, except Federal holidays. Information Collection Officer. collection. SUPPLEMENTARY INFORMATION: [FR Doc. 2014–04307 Filed 2–26–14; 8:45 am] Title: PS–19–92 (TD 9420—Final) Carryover Allocations and Other Rules Title: Utilization of the Private Sector BILLING CODE 4910–22–P for Surveying and Mapping Services Relating to the Low-Income Housing Survey. Credit. Abstract: These final regulations Background: Section 1517 of MAP– DEPARTMENT OF THE TREASURY 21, the Moving Ahead for Progress in amend the utility allowances the 21st Century Act (Pub. L. 112–141), Submission for OMB Review; regulations concerning the low-income requires the Secretary of Transportation Comment Request housing tax credit. The final regulations to conduct a survey of all States to update the utility allowance regulations determine the percentage of projects February 24, 2014. to provide new options for estimating carried out under title 23, United States The Department of the Treasury will tenant utility costs. The regulations Code, in each State that utilize private submit the following information provide the IRS the information it needs sector sources for surveying and collection requests to the Office of to ensure that low-income housing tax mapping services. Additionally, Section Management and Budget (OMB) for credits are being properly allocated 306 of Title 23, United States Code, review and clearance in accordance under section 42. requires the Secretary of Transportation with the Paperwork Reduction Act of Affected Public: Businesses or other to issue guidance to encourage States to 1995, Public Law 104–13, on or after the for-profit organizations. utilize, to the maximum extent date of publication of this notice. Estimated Annual Burden Hours: practicable, private sector sources for DATES: Comments should be received on 4,008. surveying and mapping services for or before March 31, 2014 to be assured OMB Number: 1545–1345. projects under title 23 of the United of consideration. Type of Review: Extension without States Code; and, to develop a process ADDRESSES: Send comments regarding change of a currently approved for the oversight and regular monitoring the burden estimate, or any other aspect collection.

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Title: CO–99–91 (TD 8490) (Final) suggestions for reducing the burden, to purposes of allocating partnership Limitations on Corporate Net Operating (1) Office of Information and Regulatory liabilities. Loss. Affairs, Office of Management and Affected Public: Private Sector: Abstract: This regulation modifies the Budget, Attention: Desk Officer for Businesses or other for-profits. application of segregation rules under Treasury, New Executive Office Estimated Annual Burden Hours: Section 382 in the case of certain Building, Room 10235, Washington, DC 3,000. _ issuances of stock by a loss corporation. 20503, or email at OIRA Submission@ OMB Number: 1545–2178. This regulation provides that the OMB.EOP.gov and (2) Treasury PRA Type of Review: Revision of a segregation rules do not apply to small Clearance Officer, 1750 Pennsylvania currently approved collection. issuances of stock, as defined, and apply Ave. NW., Suite 8140, Washington, DC Title: TD 9489—Interim Final Rules only in part to certain other issuances of 20220, or email at [email protected]. for Group Health Plans and Health stock for cash. FOR FURTHER INFORMATION CONTACT: Insurance Coverage Relating to Status as Affected Public: Businesses or other Copies of the submission(s) may be a Grandfathered Health Plan under the for-profit organizations. obtained by calling (202) 927–5331, Patient Protection and Affordable Care Estimated Annual Burden Hours: 1. email at [email protected], or the entire Act (REG–118412–10). OMB Number: 1545–1352. information collection request may be Abstract: This document contains Type of Review: Extension without found at www.reginfo.gov. interim final regulations implementing change of a currently approved the rules for group health plans and collection. Internal Revenue Service (IRS) health insurance coverage in the group Title: TD 8586 (Final) Treatment of OMB Number: 1545–0023. and individual markets under Gain From Disposition of Certain Type of Review: Revision of a provisions of the Patient Protection and Natural Resource Recapture Property. currently approved collection. Affordable Care Act regarding status as Abstract: This regulation prescribes Title: Quarterly Federal Excise Tax a grandfathered health plan. rules for determining the tax treatment Return. Affected Public: Private Sector: of gain from the disposition of natural Form: 720 and related schedules. Businesses or other for-profits; Not-for- resource recapture property in Abstract: The information supplied profit institutions. accordance with Internal Revenue Code on Form 720 is used by the IRS to Estimated Annual Burden Hours: section 1254. Gain is treated as ordinary determine the correct tax liability. 2,063. income in an amount equal to the Additionally, the data is reported by the OMB Number: 1545–2180. intangible drilling and development IRS to Treasury so that funds may be Type of Review: Extension of a costs and depletion deductions taken transferred from the general revenue currently approved collection. with respect to the property. The funds to the appropriate trust funds. Title: Affordable Care Act; Notice of Affected Public: Private Sector: information that taxpayers are required Rescission (TD 9491; REG–120399–10). to retain will be used by the IRS to Businesses or other for-profits. Abstract: This document contains Estimated Annual Burden Hours: determine whether a taxpayer has interim final regulations implementing 4,478,956. properly characterized gain on the the rules for group health plans and disposition of section 1254 property. OMB Number: 1545–1903. health insurance coverage in the group Affected Public: Businesses or other Type of Review: Extension without and individual markets under for-profit organizations; Individuals or change of a currently approved provisions of the Affordable Care Act households. collection. regarding preexisting condition Estimated Annual Burden Hours: Title: TD 9168—Optional 10-Year exclusions, lifetime and annual dollar 2,000. Write-off of Certain Tax Preferences limits on benefits, rescissions, Brenda Simms, (REG–124405–03). prohibition on discrimination in favor Treasury PRA Clearance Officer. Abstract: This collection of of highly compensated individuals, and information is required by the IRS to [FR Doc. 2014–04318 Filed 2–26–14; 8:45 am] patient protections. verify compliance with section 59(e). BILLING CODE 4830–01–P Affected Public: Private Sector: This information will be used to Businesses or other for-profits; Not-for- determine whether the amount of tax profit institutions. DEPARTMENT OF THE TREASURY has been calculated correctly. Estimated Annual Burden Hours: 25. Affected Public: Private Sector: OMB Number: 1545–2181. Submission for OMB Review; Businesses or other for-profits. Type of Review: Extension without Comment Request Estimated Annual Burden Hours: change of a currently approved 10,000. collection. February 24, 2014. OMB Number: 1545–1905. Title: Affordable Care Act; Notice of The Department of the Treasury will Type of Review: Extension without Patient Protections (TD 9491; REG– submit the following information change of a currently approved 120399–10). collection requests to the Office of collection. Abstract: This document contains Management and Budget (OMB) for Title: TD 9289—Treatment of interim final regulations implementing review and clearance in accordance Disregarded Entities Under Section 752. the rules for group health plans and with the Paperwork Reduction Act of Abstract: The final regulations health insurance coverage in the group 1995, Public Law 104–13, on or after the recognize that only the assets of a and individual markets under date of publication of this notice. disregarded entity that limits its provisions of the Affordable Care Act DATES: Comments should be received on member’s liability are available to regarding preexisting condition or before March 31, 2014 to be assured satisfy creditors’ claims under local law. exclusions, lifetime and annual dollar of consideration. The regulations provide rules under limits on benefits, rescissions, ADDRESSES: Send comments regarding section 752 for taking into account the prohibition on discrimination in favor the burden estimate, or any other aspect net value of a disregarded entity owned of highly compensated individuals, and of the information collection, including by a partner or related person for patient protections.

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Affected Public: Private Sector: services in support of nongovernmental USD$500,000 in the aggregate over a 12- Businesses or other for-profits; Not-for- organizations’ activities in Iran, subject month period. profit institutions. to certain limitations, under the Iranian (c) NGOs who engage in conduct Estimated Annual Burden Hours: transactions sanctions program. Also on pursuant to this general license must 33,000. September 10, 2013, OFAC issued submit reports on a quarterly basis, General License F authorizing certain providing information including, but Dawn D. Wolfgang, services in support of professional and not limited to, a detailed description of Treasury PRA Clearance Officer. amateur sports activities and exchanges the services exported or reexported to [FR Doc. 2014–04298 Filed 2–26–14; 8:45 am] involving the United States and Iran, Iran, any Iranian NGOs, Government of BILLING CODE 4830–01–P subject to certain limitations. Iran entities, Iranian financial At the time of their issuance on institutions, or other Iranian persons September 10, 2013, OFAC made involved in the activities; the dollar DEPARTMENT OF THE TREASURY General License E and General License amounts of any transfers to Iran; and the F available on the OFAC Web site beneficiaries of those transfers. Reports Office of Foreign Assets Control (www.treasury.gov/ofac). With this must be filed with the Licensing Publication of Iran General Licenses E notice, OFAC is publishing General Division, Office of Foreign Assets and F License E and General License F in the Control, U.S. Department of the Federal Register. Treasury, 1500 Pennsylvania Avenue AGENCY: Office of Foreign Assets NW., Washington, DC 20220, and with General License E Control, Treasury. the Office of Sanctions Policy and ACTION: Notice, publication of general Authorizing Certain Services in Support Implementation, U.S. Department of licenses. of Nongovernmental Organizations’ State, 2201 C Street NW., Washington, Activities in Iran DC 20520. SUMMARY: The Department of the (d) This general license does not (a) Except as provided in paragraph Treasury’s Office of Foreign Assets authorize: (d) of this general license, Control (‘‘OFAC’’) is publishing General (1) The exportation or reexportation of nongovernmental organizations License E and General License F issued services specified in section (a) of this (‘‘NGOs’’) are authorized to export or under the Iranian transactions sanctions general license to any person whose reexport services to or related to Iran in program on September 10, 2013. property and interests in property are support of the following not-for-profit General License E authorizes certain blocked pursuant to any part of 31 CFR activities that are designed to directly services in support of nongovernmental chapter V other than part 560. benefit the Iranian people: organizations’ activities in Iran, subject (2) Any activities in furtherance of (1) Activities related to humanitarian to certain limitations. General License F Iranian military or industrial projects to meet basic human needs in authorizes certain services in support of infrastructure or potential, or in Iran, including, but not limited to, the professional and amateur sports connection with the Iranian energy, provision of donated health-related activities and exchanges involving the automobile, shipping, and shipbuilding services; operation of orphanages; United States and Iran, subject to certain sectors. provision of relief services related to limitations. (3) Any transaction by a U.S.-owned natural disasters; distribution of or -controlled foreign entity otherwise DATES: Effective Date: September 10, donated articles, such as food, clothing, 2013. prohibited by 31 CFR 560.215 if the and medicine, intended to be used to transaction would be prohibited by any FOR FURTHER INFORMATION CONTACT: relieve human suffering; and donated other part of chapter V if engaged in by Assistant Director for Licensing, tel.: training related to any of the foregoing a U.S. person or in the United States. 202–622–2480, Assistant Director for activities; Policy, tel.: 202–622–2402, Assistant (2) Activities related to non- Note 1 to General License E: Please see 31 Director for Regulatory Affairs, tel.: 202– commercial reconstruction projects in CFR 560.545 for a specific licensing policy for activities not specified in section (a) of 622–4855, Assistant Director for response to natural disasters in Iran for this general license. Additionally, please see Sanctions Compliance & Evaluation, a period of up to two years following the 31 CFR 560.210(b), which exempts from the tel.: 202–622–2490, Office of Foreign natural disaster; prohibitions of 31 CFR 560.204 and 560.206 Assets Control, or Chief Counsel (3) Activities related to environmental donations by U.S. persons of articles, such as (Foreign Assets Control), tel.: 202–622– and wildlife conservation projects in food, clothing, and medicine, intended to be 2410, Office of the General Counsel, Iran, involving endangered species of used to relieve human suffering. Department of the Treasury, fauna and flora and their supporting Washington, DC (not toll free numbers). habitats; and Note 2 to General License E: United States (4) Activities related to human rights depository institutions or United States SUPPLEMENTARY INFORMATION: registered brokers or dealers in securities are and democracy building projects in Iran, Electronic and Facsimile Availability authorized to process transfers of funds in including, but not limited to, the furtherance of activities authorized by this This document and additional sponsorship of and attendance and general license so long as the transfer is information concerning OFAC are training at conferences in Iran related to consistent with 31 CFR 560.516. United available from OFAC’s Web site human rights projects, democracy States depository institutions or United (www.treasury.gov/ofac). Certain general building, or civil society development; States registered brokers or dealers in information pertaining to OFAC’s efforts to increase access to information securities may rely on the originator of the sanctions programs also is available via and freedom of expression; and public funds transfer with regard to compliance advocacy, public policy advice, polling, with paragraphs (a) and (b) of this general facsimile through a 24-hour fax-on- license, provided that the United States demand service, tel.: 202/622–0077. or surveys relating to human rights and depository institution or the United States democracy building. Background registered broker or dealer in securities does (b) Transfers of funds in support of not know or have reason to know that the On September 10, 2013, OFAC issued the activities outlined in section (a) funds transfer is not in compliance with General License E authorizing certain above by a single NGO may not exceed paragraphs (a) and (b) of this general license.

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Issued: September 10, 2013. United States and Iran are authorized, furtherance of activities authorized by this including, but not limited to, activities general license so long as the transfer is General License F related to exhibition matches and consistent with 31 CFR 560.516. Authorizing Certain Services in Support events, the sponsorship of players, Note 2 to General License F: This general of Professional and Amateur Sports coaching, refereeing, and training. license does not authorize any transaction by Activities and Exchanges Involving the (b) This general license does not a U.S.-owned or -controlled foreign entity United States and Iran authorize the exportation or otherwise prohibited by 31 CFR 560.215 if (a) Except as provided in paragraph reexportation of services specified in the transaction would be prohibited by any (b) of this general license, the section (a) of this general license to any other part of chapter V if engaged in by a U.S. importation of Iranian-origin services person whose property and interests in person or in the United States. into the United States or other dealing property are blocked pursuant to any Issued: September 10, 2013. in such services, and the exportation or part of 31 CFR chapter V other than part reexportation of services, directly or 560. Dated: February 11, 2014. Adam J. Szubin, indirectly, from the United States or by Note 1 to General License F: United States Director, Office of Foreign Assets Control. a United States person related to depository institutions or United States professional and amateur sporting registered brokers or dealers in securities are [FR Doc. 2014–04035 Filed 2–26–14; 8:45 am] activities and exchanges involving the authorized to process transfers of funds in BILLING CODE 4810–AL–P

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Part II

National Credit Union Administration

12 CFR Parts 700, 701, 702 et al. Prompt Corrective Action—Risk-Based Capital; Proposed Rule

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NATIONAL CREDIT UNION Comments on Proposed Rule: PCA— concentrations of assets in real estate ADMINISTRATION Risk-Based Capital’’ in the email subject loans, MBLs, or high levels of line. delinquent loans. In addition, due to the 12 CFR Parts 700, 701, 702, 703, 713, • Fax: (703) 518–6319. Use the known limitations of any widely 723, and 747 subject line described above for email. applied risk-based measurement system, • Mail: Address to Gerard Poliquin, the proposed rule includes procedures RIN 3133–AD77 Secretary of the Board, National Credit for NCUA to require an individual Prompt Corrective Action—Risk-Based Union Administration, 1775 Duke credit union to hold a higher level of Capital Street, Alexandria, Virginia 22314– risk-based capital where specific 3428. supervisory concerns arise regarding the AGENCY: National Credit Union • Hand Delivery/Courier: Same as credit union’s condition. Finally, the Administration (NCUA). mail address. revisions would eliminate the ACTION: Proposed rule. You can view all public comments on provisions of current § 702.401(b) NCUA’s Web site at http:// relating to transfers to the regular SUMMARY: The NCUA Board (Board) is www.ncua.gov/Legal/Regs/Pages/ reserve account, current § 702.106 proposing to amend NCUA’s regulations PropRegs.aspx as submitted, except for regarding the standard calculation of regarding prompt corrective action those we cannot post for technical risk-based net worth requirement, (PCA) to restructure the part, and make reasons. NCUA will not edit or remove current § 702.107 regarding alternative various revisions, including replacing any identifying or contact information components for standard calculation, the agency’s current risk-based net from the public comments submitted. and current § 702.108 regarding risk- worth requirements with new risk-based You may inspect paper copies of mitigation credit. capital requirements for federally comments in NCUA’s law library at A. Background insured ‘‘natural person’’ credit unions. 1775 Duke Street, Alexandria, Virginia The proposed risk-based capital 22314, by appointment weekdays NCUA’s primary mission is to ensure requirements would be more consistent between 9:00 a.m. and 3:00 p.m. To the safety and soundness of federally with NCUA’s risk-based capital measure make an appointment, call (703) 518– insured credit unions. NCUA performs for corporate credit unions and the 6546 or send an email to OGCMail@ this public function by examining and regulatory risk-based capital measures ncua.gov. supervising all federal credit unions, used by the Federal Deposit Insurance FOR FURTHER INFORMATION CONTACT: participating in the examination and Corporation, Board of Governors of the supervision of federally insured state Federal Reserve, and Office of the Technical: Steven Farrar, Loss/Risk Analyst, Office of Examination and chartered credit unions in coordination Comptroller of Currency (Other Federal with state regulators, and insuring Banking Regulatory Agencies). In Insurance, at 1775 Duke Street, Alexandria, VA 22314 or telephone: federally insured credit union members’ addition, the proposed revisions would 4 (703) 518–6393, or Legal: John H. accounts. In its role as administrator of revise the risk-weights for many of the National Credit Union Share NCUA’s current asset classifications; Brolin, Staff Attorney, Office of General Counsel, at 1775 Duke Street, Insurance fund (NCUSIF), NCUA require higher minimum levels of insures and regulates approximately capital for federally insured natural Alexandria, VA 22314 or telephone: (703) 518–6438. 6,753 federally insured credit unions, person credit unions with holding total assets exceeding $1 trillion SUPPLEMENTARY INFORMATION: concentrations of assets in real estate and representing approximately 94.6 loans, member business loans (MBLs) or I. Summary of the Proposed Rule million members. higher levels of delinquent loans; and II. Section-by-Section Analysis In 1998, Congress enacted the Credit set forth the process for NCUA to III. Effective Date IV. Regulatory Procedures Union Membership Access Act require an individual federally insured (CUMAA).5 Section 301 of CUMAA natural person credit union to hold I. Summary of the Proposed Rule added new section 216 to the Federal higher levels of risk-based capital to Credit Union Act (FCUA),6 which address unique supervisory concerns The Board is proposing to revise and replace NCUA’s current PCA rules for requires the Board to adopt by raised by NCUA. The proposed regulation a system of PCA to restore the revisions would also eliminate several federally insured natural person credit unions.1 The proposed revisions would net worth of federally insured ‘‘natural of NCUA’s provisions, including person’’ credit unions (credit unions) provisions relating to regular reserve include a new method for computing NCUA’s risk-based capital measure that that become inadequately capitalized. In accounts, risk-mitigation credits, and developing the system, the Board is alternative risk-weights. is more consistent with the risk-based capital measure for corporate credit required to take into account that credit DATES: Comments must be received on unions 2 and the risk-based capital unions do not issue capital stock, must or before May 28, 2014. measures used by the Other Federal rely on retained earnings to build net ADDRESSES: You may submit comments, Banking Regulatory Agencies.3 In worth, and have boards of directors that identified by RIN 3133–AD77, by any of general, the revisions would adjust the consist primarily of volunteers. In 2000, the following methods (Please send risk-weights for many asset the Board implemented the required comments by one method only): classifications to lower the minimum system of PCA primarily under part 702 • 7 Federal eRulemaking Portal: http:// risk-based capital requirement for credit of NCUA’s regulations. www.regulations.gov. Follow the unions with low risk operations. instructions for submitting comments. Conversely, the revisions would require 4 Within the nine states that allow privately • NCUA Web site: http://www.ncua. higher minimum levels of risk-based insured credit unions, approximately 133 state- gov/Legal/Regs/Pages/PropRegs.aspx. chartered credit unions are privately insured and capital for credit unions with are not subject to NCUA regulation or oversight. Follow the instructions for submitting 5 Public Law 105–219, 112 Stat. 913 (1998). comments. 1 12 CFR Part 702. 6 • 12 U.S.C. 1790d. Email: Address to regcomments@ 2 See 12 CFR Part 704. 7 12 CFR Part 702; see also 65 FR 8584 (Feb. 18, ncua.gov. Include ‘‘[Your name]— 3 See 78 FR 55339 (Sept. 10, 2013). 2000) and 65 FR 44950 (July 20, 2000).

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The purpose of section 216 of the ‘‘net worth categories’’ set forth in the provide adequate protection.’’ 15 FCUA is to ‘‘resolve the problems of statute.9 In general, ‘‘net worth’’ is Congress encouraged NCUA to, ‘‘for [federally] insured credit unions at the defined as the retained earnings balance example, consider whether the 6 least possible long-term loss to the of the credit union,10 and a credit percent requirement provides adequate [NCUSIF].’’ 8 To carry out that purpose, union’s ‘‘net worth ratio’’ is the ratio of protection against interest-rate risk and Congress set forth a basic structure for its net worth to its total assets.11 As a other market risks, credit risk, and the PCA in section 216 that consists of three credit union’s net worth ratio declines, risks posed by contingent liabilities, as principal components: (1) A framework so does its classification among the five well as other relevant risks. The design combining mandatory actions net worth categories, thus subjecting it of the [RBNW] requirement should prescribed by statute with discretionary to an expanding range of mandatory and reflect a reasoned judgment about the 12 actions developed by NCUA; (2) an discretionary supervisory actions. actual risks involved.’’ 16 alternative system of PCA to be In addition to the net worth ratio developed by NCUA for credit unions component described above, section Under current § 702.103 of NCUA’s defined as ‘‘new’’; and (3) a risk-based 216(d) of the FCUA requires NCUA to regulations, a credit union is defined as net worth requirement to apply to credit define the term ‘‘complex’’ credit union ‘‘complex’’ if ‘‘[i]ts quarter-end total unions that NCUA defines as ‘‘based on the portfolios of assets and assets exceed fifty million dollars ‘‘complex.’’ This proposed rule is liabilities of credit unions.’’ 13 It also ($50,000,000); and . . . [i]ts [RBNW] primarily focused on principal requires NCUA to formulate a risk-based requirement, as calculated under components (1) and (3), although net worth (RBNW) requirement to apply § 702.106, exceeds six percent (6%).’’ 17 amendments to part 702 of NCUA’s to credit unions meeting that Current § 702.104 of NCUA’s regulations regulations relating to principal definition.14 The RBNW requirement defines eight risk portfolios of complex component (2) are also being proposed. must ‘‘take account of any material risks credit union assets, liabilities, or Section 216(c) of the FCUA requires against which the net worth ratio contingent liabilities (Table 1); and NCUA to, among other things, use a required for [a federally] insured credit current § 702.106 sets forth the specific credit union’s net worth ratio to union to be adequately capitalized [(6 risk-weightings that are applied to the determine its classification among five percent net worth ratio)] may not assets (Table 2).

TABLE 1—CURRENT § 702.104 RISK PORTFOLIOS DEFINED

Risk portfolio Assets, liabilities, or contingent liabilities

(a) Long-term real estate Total real estate loans and real estate lines of credit (excluding MBLs) with a maturity (and next rate adjustment loans. period if variable rate) greater than 5 years. (b) MBLs outstanding ...... MBLs outstanding. (c) Investments ...... As defined by federal regulation or applicable state law. (d) Low-risk assets ...... Cash on hand and NCUSIF deposit. (e) Average-risk assets ...... 100% of total assets minus sum of risk portfolios above. (f) Loans sold with recourse Outstanding balance of loans sold or swapped with recourse, except for loans sold to the secondary mortgage market with a recourse period of 1 year or less. (g) Unused MBL commit- Unused commitments for MBLs. ments. (h) Allowance ...... Allowance for Loan and Lease Losses limited to equivalent of 1.50% of total loans.

TABLE 2—§ 702.106 STANDARD CALCULATION OF RBNW REQUIREMENT

Amount of risk portfolio (as percent of quarter-end total assets) to be multiplied by Risk- Risk portfolio risk-weighting weighting

(a) Long-term real estate loans ...... 0 to 25.00% ...... 06 over 25.00% ...... 14 (b) MBLs outstanding ...... 0 to 15.00% ...... 06 >15.00% to 25.00% ...... 14 over 25.00% (c) Investments ...... By weighted-average life: 0 to 1 year ...... 03 >1 year to 3 years ...... 06 >3 years to 10 years ...... 12 >10 years ...... 20 (d) Low-risk assets ...... All % ...... 00 (e) Average-risk assets ...... All % ...... 06 (f) Loans sold with recourse ...... All % ...... 06 (g) Unused MBL commitments ...... All % ...... 06 (h) Allowance ...... Limited to equivalent of 1.50% of total loans (expressed as a percent of total as- (1 .00) sets). A credit union’s RBNW requirement is the sum of eight standard components. A standard component is calculated for each of the eight risk portfolios, equal to the sum of each amount of a risk portfolio times its risk-weighting. A credit union is classified ‘‘undercapitalized’’ if its net worth ratio is less than its applicable RBNW requirement.

8 12 U.S.C. 1790d(a)(1). 12 Section 1790d(c)–(g); 12 CFR 702.204(a)–(b). 16 S. Rep. No. 193, 105th Cong., 2d Sess. 13 (1998) 9 Section 1790d(c). 13 Section 1790d(d). (S. Rep.). 10 Section 1790d(o)(2). 14 Id. 17 See 12 CFR 702.103 & .104 and 12 U.S.C. 11 Section 1790d(o)(3). 15 Section 1790d(d)(2). 1790d(c).

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Section 216(c) of the FCUA requires B. Why is the NCUA Board issuing this stability of the credit union system. that a credit union that meets the rule? Fourth, the rule should rely primarily definition of ‘‘complex,’’ and whose net The Board is proposing to change on data already collected on the Call worth ratio initially places it in either of NCUA’s general risk-based capital rules Report to minimize additional the ‘‘adequately capitalized’’ or ‘‘well for determining the minimum level of recordkeeping burdens. Fifth, the capitalized’’ net worth categories, also required capital to enhance risk requirement should be, given the satisfy a separate RBNW requirement. sensitivity and address weaknesses in preceding four goals, as easy as possible Under this separate RBNW requirement, the existing regulatory capital to understand and implement. the credit union must meet or exceed framework for credit unions. Capital The proposed rule would replace the the minimum RBNW ratio and risk go hand-in-hand, and credit RBNW method currently used by credit corresponding to its net worth category union senior management, boards, and unions to apply risk-weightings to their (adequately capitalized or well regulators are all accountable for assets with a new risk-based capital capitalized) in order to remain classified ensuring that appropriate capital levels ratio method that is more commonly 18 in that category. A complex credit are in place based on the credit union’s applied to depository institutions union that meets the net worth ratio risk exposure. The proposed rule worldwide. The proposed risk-based requirement for being adequately reflects an effort to establish a risk- capital ratio is the percentage of a credit capitalized or well capitalized, but that weighting system that is more indicative union’s net worth available to cover fails to meet the corresponding RBNW of the potential risks existing within losses, divided by the credit union’s requirement for either net worth credit unions. The proposed rule is defined risk-weighted asset base. The category, is classified by section intended to help credit unions better Board believes the change in 216(c)(1) as ‘‘undercapitalized’’, and is absorb losses and establish a safer, more methodology would improve the subject to the mandatory and resilient, and more stable credit union comparison of assets and risk-adjusted discretionary supervisory actions system. The improved resilience will capital levels across financial 19 applicable to that category. enhance credit unions’ ability to institutions. Use of a consistent The RBNW requirement for credit function during periods of financial framework for assigning risk-weights unions meeting the definition of stress and reduce risks to the NCUSIF. would promote improved ‘‘complex’’ was first applied on the In general, credit unions have high understanding between all types of basis of data in the Call Report reflecting quality capital, with retained earnings federally insured financial institutions. 20 activity in the first quarter of 2001. being the predominant form of capital. This proposed rule would provide a NCUA’s RBNW requirement has been However, in recent years, the NCUSIF common measure of asset risk and largely unchanged since its did experience several hundred millions ensure that credit unions retain levels of implementation, with the following of dollars in losses due to failures of capital that are commensurate with their limited exceptions: individual credit unions holding level of risk. The proposal would also • Revisions were made in 2003 to inadequate levels of capital relative to help NCUA identify, and credit unions amend the RBNW requirements for the levels of risk associated with their to avoid, inadequately capitalized 21 MBLs. assets and operations. Examiners did concentrations of asset classes that can • Revisions were made in 2008 to warn officials at these credit unions that lead to a credit union’s failure. Further, incorporate a change in the statutory they needed to hold higher levels of under the proposed rule, credit unions 22 definition of ‘‘net worth.’’ capital to offset the risks in their would be better able to implement In addition, the Board amended part portfolios, but the credit union officials strategic plans based on their unique 702 in 2011 to expand the definition of ignored the examiners’ member service objectives and the ‘‘low-risk assets’’ to include debt recommendations, which were corresponding risk by holding the instruments on which the payment of unenforceable. This proposal seeks to appropriate level of capital. principal and interest is unconditionally incorporate the lessons learned from The measure for a credit union’s ‘‘net 23 guaranteed by NCUA, and again in those failures and better account for worth ratio,’’ which is defined in 2013 to exclude credit unions with total risks not addressed by the current rule. section 216(o)(3) of the FCUA, is a assets of $50 million or less from the The new risk-based capital generalized measure of a credit union’s definition of ‘‘complex’’ credit union.24 requirements being proposed in this net worth.25 The net worth ratio of a rule would apply to all credit unions credit union includes balance sheet 18 The RBNW requirement also indirectly impacts with over $50 million in total assets. accounts in the numerator that may credit unions in the ‘‘undercapitalized’’ and lower have little or no value in the event of net worth categories, which are required to operate The capital requirements and PCA under an approved net worth restoration plan. The supervisory actions for ‘‘new’’ credit liquidation and excludes off-balance plan must provide the means and a timetable to unions and credit unions with $50 sheet exposures from the numerator. reach the ‘‘adequately capitalized’’ category. million or less in assets would remain Recognizing these limitations of the net Section 1790d(f)(5); 12 CFR 702.206(c). However, worth measure, Congress directed the for ‘‘complex’’ credit unions in the largely unchanged, with a few ‘‘undercapitalized’’ or lower net worth categories, exceptions discussed in more detail Board in section 216(d)(2) of the FCUA the minimum net worth ratio ‘‘gate’’ to that category below. to develop a RBNW requirement that will be 6 percent or the credit union’s RBNW In developing the new risk-based ‘‘take[s] account of any material risks requirement, if higher than 6 percent. In that event, capital requirement for ‘‘complex’’ against which the net worth ratio . . . a complex credit union’s net worth restoration plan 26 will have to prescribe the steps a credit union will credit unions, NCUA set forth the may not provide adequate protection.’’ take to reach a higher net worth ratio ‘‘gate’’ to that following goals for the proposed rule. The proposed risk-based capital category. See 12 CFR 702.206(c)(1)(i)(A). Section First, the requirement should address measure includes only capital available 1790d(c)(1)(A)(ii) and (c)(1)(B)(ii). weaknesses in the net worth ratio to cover losses and takes into 19 12 U.S.C. 1790d(c)(1)(c)(ii). 20 65 FR 44950 (July 20, 2000). measure. Second, the requirement should address credit risk, interest rate 25 12 U.S.C. 1790d(0)(3) (‘‘The term ‘net worth 21 68 FR 56537 (Oct. 1, 2003). ratio’ means, with respect to a credit union, the 22 73 FR 72688 (Dec. 1, 2008). risk, concentration risk, liquidity risk, ratio of the net worth of the credit union to the total 23 76 FR 16234 (Mar. 23, 2011). operational risk, and market risk. Third, assets of the credit union.’’). 24 78 FR 4033 (Jan. 18, 2013). the requirement should enhance the 26 12 U.S.C. 1790d(d)(2).

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consideration the credit union’s off- Operating a credit union involves with the major types of risks identified balance sheet items and other risk taking and managing a variety of risks, and defined in Table 3 below. factors.

TABLE 3—MAJOR TYPES OF RISKS IDENTIFIED IN CREDIT UNION BUSINESS 27

Risk Definition

Credit risk ...... The potential for loss resulting from the failure of a borrower or counterparty to perform on an obligation. Compliance risk ...... The potential for loss arising from violations of laws or regulations or nonconformance with internal policies or ethical standards. Concentration risk ...... The risk arising from excessive exposure to certain markets, industries, or groups. Interest rate risk ...... A type of market risk that involves the potential for loss due to adverse movements in interest rates. Liquidity risk ...... The risk that a credit union will be unable to meet its obligations when they become due, because of an inability to liquidate assets or obtain adequate funding. Market risk ...... The potential for loss resulting from movements in market prices, including interest rates, commodity prices, stock prices, and foreign exchange rates. Operational risk ...... The risk of loss resulting from inadequate or failed internal processes, people, and systems or from external events. Reputation risk ...... The potential for loss arising from negative publicity regarding an institution’s business practices. Strategic risk ...... The potential for loss arising from adverse business decisions or improper implementation of decisions.

The current RBNW measure focuses the final rule would provide ample time capital to comply with the proposed primarily on interest rate risk. However, for credit unions to adjust their systems risk-based capital rules. In particular, the proposed risk-based capital ratio to account for the additional data items NCUA estimates that over 90 percent of measure would focus more broadly on that would be required in the Call these credit unions, if subject to the the various types of risks to credit Report. requirements of the proposed rule unions by addressing additional risk Through this notice, NCUA invites today, would be in compliance with the factors and assigning specific risk- public comment on all aspects of the minimum risk-based capital weights to: proposed rule. Commenters are urged to requirement under the rule. The Board • Delinquent loans, recognize, however, that NCUA lacks recognizes, however, that some credit • Concentrations of MBLs and real discretion to deviate from the statutory unions would likely need a transition estate-secured loans, requirements of section 216 of the period to accumulate additional capital • Equity investments, and FCUA.28 To facilitate consideration of or change their asset structure to • Additional off-balance sheet public comments on the proposed rule, achieve their desired capital exposures. the Board urges commenters to organize classification. The Board also recognizes Rigorous and disciplined risk-based their comment letters on a section-by- that credit unions would need a (risk-based capital ratio measure) and section basis that corresponds with the reasonable period of time to update non-risk-based (net worth ratio measure) proposed sections of the rule, and to their internal systems, policies, and capital requirements working well include any general comments in its procedures to account for these changes. together can enhance the ability of a own section of the letter. As a result, the Board is proposing to credit union to cope with capital delay the effective date of the new C. Impact of the Proposed Regulation impairment during economic requirements after the final rule is downturns. Moreover, an adequate The proposed rule would make published in the Federal Register, capital buffer can cushion performance changes to the minimum regulatory which is discussed in more detail deterioration during times of stress, capital requirement for credit unions below. thereby promoting safety and soundness that would be more reflective of risk, Using Call Report data as of June of the credit union system. including additional subcategories of 2013, NCUA estimates that The proposed risk-based capital ratio assets for risk measurement and approximately 2,237 credit unions measure primarily uses existing additional concentration levels. This reported over $50 million in total assets, information contained in the Call shift in emphasis would encourage all of which would be subject to the Report. As compared to the current credit unions to more actively manage proposed risk-based capital measures. RBNW measure, the proposed risk- risk in relation to the minimum required Existing data available to NCUA, based capital ratio measure would capital levels. As proposed, the rule including Call Report data, does not include a greater number of exposure would modify the current calculation contain all of the information required categories for purposes of calculating method for computing RBNW to be to analyze the impact of every aspect of total risk-weighted assets. Thus, some more consistent with the risk-based the proposal. However, NCUA believes additional data would need to be capital measures used by the Other the current Call Report data available collected on the Call Report. This Federal Banking Regulatory Agencies. provides sufficient information for additional data would not, however, The proposed change in the calculation NCUA to reasonably estimate the impact represent a material increase to the would allow setting specific risk-based of the proposed regulation. Accordingly, burden of completing the Call Report. capital ratio requirements for the top NCUA analyzed the impact of the The proposed extended effective date of three capital classifications. proposed rule on credit unions using NCUA’s analysis of 2013 Call Report Call Report data as of June 30, 2013. 27 See U.S. Govt. Accountability Office, GAO–07– data indicates that the overwhelming Over 90 percent of credit unions 253, Bank Regulators Need to Improve majority of credit unions with over $50 subject to the proposed capital measures Transparency and Overcome Impediments to Finalizing The Proposed Basel II Framework 9–10 million in assets already have sufficient currently hold capital in excess of the (2007), available at http://www.gao.gov/new.items/ minimum net worth ratio and the risk- d07253.pdf. 28 12 U.S.C. 1790d. based capital ratio required to be

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classified as well capitalized. As of June reorganization of the proposed rule is alphabetic order. This reformatting 2013, the proposed changes to the risk- designed so that credit unions need only would make § 702.2 more consistent based capital measure, if applied reference the subpart applying to their with current §§ 700.2, 703.2 and 704.2 immediately, would cause 189 credit institution to identify the applicable of NCUA’s regulations.32 unions to experience a decline in their minimum capital standards and PCA In addition, proposed § 702.2 would PCA classification from well capitalized regulations. The Board believes this add a number of new definitions, and to adequately capitalized and 10 well consolidation will reduce confusion and amend some existing definitions in capitalized credit unions to experience avoid credit unions having to frequently § 702.2. These changes are intended to a decline to undercapitalized. NCUA flip back and forth through the four help clarify the meaning of terms used estimates that, collectively, the 10 credit subparts of the current PCA rule. in new part 702. The definitions that unions that would experience a decline In general, the proposed rule would would be added, amended, or removed to undercapitalized would need to restructure part 702 by consolidating are as follows: retain an additional $63 million in risk- most of the rules relating to capital and Allowance for loan and lease loss based capital to become adequately PCA that are applicable to credit unions (ALLL). The term ‘‘allowance for loan capitalized, assuming no other that are not ‘‘new’’ credit unions under and lease loss (ALLL)’’ would be adjustments. Affected credit unions may new subpart A. This change is intended defined as reserves that have been be required to change internal policies to simplify the structure of part 702 by established through charges against and practices to meet the new risk-based grouping the sections of the rule that are earnings to absorb future losses on capital requirements of the proposed applicable only to credit unions not loans, leases financing receivables or rule. classified as new into a single subpart. other extensions of credit. The Based on June 2013 Call Report data, The specific sections that would be definition would be consistent with the NCUA estimates that if the proposed included in new subpart A and the related Call Report field and the risk-based capital requirements were proposed changes to those sections are definition contained in the Call Report applied today, the aggregate risk-based discussed in more detail below. instructions. capital ratio for credit unions subject to Similarly, the proposed rule would Call Report. The proposed rule would the proposed risk-based capital measure consolidate most of NCUA’s rules define the term ‘‘Call Report’’ as the Call would be 14.6 percent and the average relating to alternative capital and PCA Report required to be filed by credit risk-based capital ratio would be 15.7 requirements for ‘‘new’’ credit unions unions under § 741.6(a)(2). The term percent. These numbers are well above under new subpart B. This change is Call Report is a common expression the proposed 10.5 percent requirement intended to simplify the structure of within the credit union industry and is for classification as well-capitalized. part 702 by grouping the sections of the defined for clarification. Capital. The proposed rule would II. Section-by-Section Analysis rule that are applicable only to credit unions that are classified as new into define the term ‘‘capital’’ as the equity, Part 702—Capital Adequacy one subpart. The sections under new as measured by GAAP, available to a credit union to cover losses. The term Revised Structure of Part 702 subpart B would remain largely unchanged from the requirements of capital is a common expression within The proposed rule would retitle current part 702 relating to alternative the financial services industry and is current part 702, replacing the current capital and PCA, except for revisions to defined for clarification. title ‘‘Prompt Corrective Action’’ with the sections relating to reserves and the Cash equivalents. The proposed rule the new title ‘‘Capital Adequacy.’’ 29 payment of dividends. The specific would define the term ‘‘cash The more general term Capital sections included in new subpart B and equivalents’’ to mean short-term highly Adequacy better characterizes the the specific changes to the sections liquid investments that have original components of proposed part 702, under new subpart B are discussed in maturities of 3 months or less, at the which include the prompt corrective more detail below. time of purchase; are readily convertible action, minimum regulatory capital to known amounts of cash; and are used measures, and supervisory actions Section 702.1 Authority, Purpose, as part of the credit union’s cash- required under section 216 of the Scope, and Other Supervisory Authority management activities. The definition FCUA.30 Proposed § 702.1 would remain would be consistent with the related The proposed rule would also substantially similar to current § 702.1, Call Report field and the definition reorganize part 702 by consolidating but would be amended to update contained in the Call Report NCUA’s PCA requirements, which were terminology and internal cross instructions. previously included under subsections references within the section, consistent Commitment. The proposed rule A, B, C, and D, under new subparts A with the changes being proposed in would define the term ‘‘commitment’’ as and B. Proposed subpart A would be other sections of part 702. No any legally binding arrangement that titled ‘‘Prompt Corrective Action’’ and substantive changes to the section are obligated the credit union to extend proposed subpart B would be titled intended. credit or to purchase assets. The ‘‘Alternative Prompt Corrective Action definition would be consistent with the for New Credit Unions.’’ 31 The Section 702.2 Definitions related Call Report field and the Proposed § 702.2 would retain many definition contained in the Call Report 29 The Board recently approved a proposed rule of the definitions in current § 702.2 with instructions. regarding capital planning and stress testing that CUSO. The proposed rule would also proposes to change the title of part 702 to no substantive changes. The proposed ‘‘Capital Adequacy.’’ 78 FR 65583 (Nov. 1, 2013). rule would, however, remove the define the term ‘‘CUSO’’ as a credit 30 12 U.S.C. 1790d. paragraph number assigned to each union service organization as defined in 31 Under both current § 702.301(b) and proposed definition under current § 702.2 and parts 712 and 741. § 702.201(b), a credit union is ‘‘new’’ if it is ‘‘a reorganize the section so the new and Delinquent loans. The proposed rule federally-insured credit union that both has been in would define the term ‘‘delinquent operation for less than ten (10) years and has total existing definitions are listed in assets of not more than $10 million. A credit union loans’’ as loans that are 60 days or more which exceeds $10 million in total assets may below $10 million while it is still in operation for become ‘new’ if its total assets subsequently decline less than 10 years.’’ 32 12 CFR 700.2; 12 CFR 703.2; 12 CFR 704.2.

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past due and loans placed on consistent with the related Call Report that the term does not include transfers nonaccrual status. The definition would field and the definition contained in the that qualify for true sale accounting be consistent with the related Call Call Report instructions. treatment but contain only routine Report field and the definition Intangible assets. The proposed rule representation and warranty paragraphs contained in the Call Report would define the term ‘‘intangible that are standard for sale on the instructions. assets’’ as those assets that are required secondary market provided the credit Derivatives contract.33 The proposed to be reported as intangible assets in a union is in compliance with all other rule would define the term ‘‘derivatives credit union’s Call Report, including but related requirements such as capital contract’’ as, in general, a financial not limited to purchased credit card requirements. The definition would be instrument, traded on or off an relationships, goodwill, favorable consistent with the related Call Report exchange, the value of which is directly leaseholds, and core deposit value. The field and the definition contained in the depended upon the value on or more definition would be consistent with the Call Report instructions. underlying securities, equity indices, related Call Report field and the Mortgage servicing asset. The debt instruments, commodities, interest definition contained in the Call Report proposed rule would define the term rates other derivative instruments, or instructions. ‘‘mortgage servicing asset (MSA)’’ as any agreed upon pricing index or Investment in CUSO. The proposed those assets (net of any related valuation arrangement. Derivatives contracts rule would define the term ‘‘investment allowances) resulting from contracts to include interest rate derivatives in CUSO’’ as the unimpaired value of service loans secured by real estate (that contracts and any other instrument that the credit union’s aggregate CUSO have been securitized or owned by poses similar counterparty credit risks. investments as measured under others) for which the benefits of Derivatives contracts also include generally accepted accounting servicing are expected to more than unsettled securities with a contractual principles on an unconsolidated basis. adequately compensate the services for settlement or delivery lag that is longer The definition would be consistent with performing the servicing. The definition than the lesser of the market standard the related Call Report field and the would be consistent with the related for the particular instrument or five definition contained in the Call Report Call Report field and the definition business days. instructions. contained in the Call Report First mortgage real estate loan. The Identified losses. The proposed rule instructions. proposed rule would define the term would define the term ‘‘identified Off-balance sheet items. The proposed ‘‘first mortgage real estate loan’’ as loans losses’’ to mean those items that have rule would define the term ‘‘off-balance and lines of credit fully secured by first been determined by an evaluation made sheet items’’ as items such as liens on real estate (excluding MBLs), by a state or federal examiner, as commitments, contingent items, where the original amortization of the measured on the date of examination, to guarantees, certain repo-style mortgage exposure does not exceed 30 be chargeable against income, capital transactions, financial standby letters of years; the loan underwriting took into and/or valuation allowances such as the credit, and forward agreements that are account all the borrower’s obligations, allowance for loan and lease losses. The not included on the balance sheet but including mortgage obligations, proposed definition would also provide are normally included in the financial principal, interest, taxes, insurance the following examples of identified statement footnotes. The definition (including mortgage guarantee losses: assets classified as losses, off- would be consistent with the related insurance) and assessments; and the balance sheet items classified as losses, Call Report field and the definition loan underwriting concluded the any provision expenses that are contained in the Call Report borrower is able to repay the exposure necessary to replenish valuation instructions. using the maximum interest rate that allowances to an adequate level, Qualifying master netting agreement. may apply in the first five years, the liabilities not shown on the books, The proposed rule would define the maximum contract exposure over the estimated losses in contingent term ‘‘qualifying master netting life of the mortgage, and verified liabilities, and differences in accounts agreement’’ as a written, legally income. that represent shortages. enforceable agreement, provided that: GAAP. The proposed rule would Loans to CUSO. The proposed rule (1) The agreement creates a single legal define the term ‘‘GAAP’’ as generally would define the term ‘‘loans to CUSO’’ obligation for all individual transactions accepted accounting principles as used as the aggregate outstanding loan covered by the agreement upon an event in the United States. The term ‘‘GAAP’’ balance, available line(s) of credit from of default, including upon an event of is a common expression within the the credit union, and guarantees the conservatorship, receivership, industry and is defined for clarification. credit union has made to or on behalf insolvency, liquidation, or similar Goodwill. The proposed rule would of a CUSO. The definition would be proceeding, of the counterparty; (2) the define the term ‘‘goodwill’’ as an consistent with the related Call Report agreement provides the credit union the intangible asset representing the future field and the definition contained in the right to accelerate, terminate, and close economic benefits arising from other Call Report instructions. out on a net basis all transactions under assets acquired in a business Loans transferred with limited the agreement and to liquidate or set off combination (i.e. merger) that are not recourse. The proposed rule would collateral promptly upon an event of individually identified and separately define the term ‘‘loans transferred with default, including upon an event of recognized. The definition would be limited recourse’’ as the total principal conservatorship, receivership, balance outstanding of loans transferred, insolvency, liquidation, or similar 33 In May 2013, the Board issued a proposed rule including participations, for which the proceeding, of the counterparty, that would permit credit unions to engage in transfer qualified for true sale provided that, in any such case, any limited derivatives activities for the purpose of mitigating interest rate risk. 78 FR 32191 (May 29, accounting treatment under GAAP, and exercise of rights under the agreement 2013). NCUA is still developing its derivatives rule for which the transferor credit union will not be stayed or avoided under and had not issued a final rule as of the date this retained some limited recourse (i.e. applicable law in the relevant proposal was presented to the Board. However, insufficient recourse to preclude true jurisdictions, other than in receivership, NCUA anticipates amending this rule to be consistent with any final rule issued by the Board sale accounting treatment). The conservatorship, resolution under the related to the May 2013 derivatives proposal. proposed definition would also clarify Federal Deposit Insurance Act, Title II

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of the Dodd-Frank Act, or under any total assets measured by the average of investments means greater than 5 years, similar insolvency law applicable to month-end balances over the three but less than 10 years). For investments GSEs; (3) the agreement does not calendar months of the applicable in money market funds, as defined in 17 contain a walkaway clause (that is, a calendar quarter; (iii) the credit union’s CFR 270.2a-7, and collective investment provision that permits a non-defaulting total assets measured by the average funds operated in accordance with counterparty to make a lower payment daily balance over the applicable short-term investment fund rules set than it otherwise would make under the calendar quarter; or (iv) the credit forth in 12 CFR 9.18(b)(4)(ii)(B)(1) agreement, or no payment at all, to a union’s total assets measured by the through (3), the term ‘‘weighted-average defaulter or the estate of a defaulter, quarter-end balance of the applicable life of investments’’ would mean 1 year even if the defaulter or the estate is a net calendar quarter as reported on the or less. For fixed rate debt obligations creditor under the agreement): and (4) in credit union’s Call Report. and deposits that are callable in whole, order to recognize an agreement as a U.S. Government agency. The the term ‘‘weighted-average life of qualifying master netting agreement for proposed rule would define the term investments’’ would mean the period purposes of part 702, a credit union ‘‘U.S. Government agency’’ as an remaining to the maturity date. For must conduct sufficient legal review, at instrumentality of the U.S. Government fixed rate debt obligations and deposits origination and in response to any whose obligations are fully and that are non-callable and non- changes in applicable law, to conclude explicitly guaranteed as to the timely amortizing (e.g. bullet maturity with a well-founded basis (and maintain payment of principal and interest by the instruments), the term ‘‘weighted- sufficient written documentation of that full faith and credit of the U.S. average life of investments’’ would legal review) that the agreement meets Government. mean the period remaining to the the requirements of paragraph (2) of the Verified income. The proposed rule maturity date. For fixed rate debt definition of qualifying master netting would define the term ‘‘verified obligations or deposits with periodic income’’ as receipt and retention of agreement; and in the event of a legal principal pay downs (e.g., mortgage- corroborative information to establish challenge (including one resulting from backed securities), the term ‘‘weighted- the reality of the income supporting the default or from conservatorship, average life of investments’’ would be repayment of the loan. The term receivership, insolvency, liquidation, or defined according to industry standard ‘‘verified income’’ is a common similar proceeding), the relevant court calculations, which include the impact expression within the industry and is and administrative authorities would of unscheduled payments. For variable defined for clarification. find the agreement to be legal, valid, rate debt obligations and deposits binding, and enforceable under the law Weighted-average life. The proposed rule would remove the term ‘‘weighted- (regardless of whether the investment of relevant jurisdictions. amortizes), the term ‘‘weighted-average Risk-based capital ratio. The average life’’ from current § 702.2 and life of investments’’ would mean the proposed rule would define the term replace it with the newly defined term period remaining to the next rate ‘‘risk-based capital ratio’’ as the ‘‘weighted-average life of investments.’’ adjustment date. For capital stock in percentage, rounded to two decimal Weighted-average life of investments. mixed-ownership Government places, of the risk-based capital The proposed rule would move the corporations, as defined in 31 U.S.C. numerator to total risk-weighted assets, definition of ‘‘weighted-average life of 9101(2), the term ‘‘weighted-average life as calculated in accordance with investments’’ contained within current of investments’’ would mean greater § 702.104(a). § 702.105 to proposed § 702.2 and Risk-weighted assets. The proposed would add additional clarifying than 1 year but less than or equal to 3 rule would define the term ‘‘risk- language. The weighted-average life of years. For other equity securities, the weighted assets’’ as the total risk- investments for registered investment term ‘‘weighted-average life of weighted assets as calculated in companies, collective investment funds, investments’’ would mean greater than accordance with § 702.104(c). money market funds, callable fixed rate 10 years. For any other investments not Senior executive officer. The proposed debt obligations and deposits, variable addressed above, the term ‘‘weighted- rule would define the term ‘‘senior rate debt obligations and deposits, average life of investments’’ would executive officer’’ as a senior executive capital in mixed-ownership government mean the average time to the return of officer as defined by § 701.14(b)(2). corporations, and other equity securities a dollar of principal, calculated by Total assets. The proposed rule would would remain unchanged. The proposal multiplying each portion of principal retain the definition of ‘‘total assets’’ in would assign specific risk-weights to received by the time at which it is current § 702.2, but would restructure investments in CUSOs and capital in expected to be received (based on a the definition and provide additional corporate credit unions, as addressed reasonable and supportable estimate of clarifying language. Under proposed below, thus removing them from the that time), and then taking the total of paragraph (1) under the definition of weighted-average life measure. these time-weighted payments and ‘‘total assets,’’ for each quarter, a credit The proposed rule would define the dividing by the total amount of union must elect one of the four term ‘‘weighted-average life of principal. The proposed definition of measures of total assets listed in investments’’ as follows: For weighted-average life of investments paragraph (2) of the definition to apply investments in registered investment reflects the current method used by for all purposes under part 702 except companies (e.g., mutual funds) and credit unions to report investments on §§ 702.103 through 702.105 (risk-based collective investment funds (e.g., the Statement of Financial Condition on capital ratio requirements). Proposed common trusts), the term ‘‘weighted- the Call Report. The definition has paragraph (2) under the definition of average life of investments’’ would remained largely unchanged from when total assets would provide that ‘‘total mean the maximum weighted-average the risk-based net worth requirements of assets’’ means a credit union’s total life or duration target of the investment part 702 were first implemented.34 assets as measured by either: (i) The disclosed, directly or indirectly, in the credit union’s total assets measured by most recent prospectus or trust 34 See 65 FR 8597 (Feb. 18, 2000) (providing that: ‘‘The definition [of weighted-average life] is the average of quarter-end balances of instrument (if the maximum weighted- adopted in modified form from Fabozzi, Frank and the current and three preceding average life or duration target is not T. Dessa, eds., The Handbook of Fixed Income calendar quarters; (ii) the credit union’s disclosed, the weighted-average life of Securities (4th ed. 1995) at 518, and reflects the

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A. Subpart A—Prompt Corrective uses the general term ‘‘net worth by the use of the alternative term risk- Action categories,’’ NCUA believes that based capital in the proposed rule. replacing the term ‘‘net worth’’ with the The proposed rule would establish Consistent with subsections general term ‘‘capital categories’’ better new subpart A titled ‘‘Prompt Corrective 216(c)(1)(A) through (E) of the FCUA, describes the combined ‘‘net worth the net worth ratio measures listed in Action.’’ New subpart A would contain ratio’’ and ‘‘risk-based net worth’’ the sections of part 702 relating to proposed §§ 702.102(a)(1) through (5) measurements that make up the five would continue to match those listed in capital measures, supervisory PCA categories listed in the statute. actions, requirements for net worth the statute for each capital category, and Moreover, the term ‘‘capital’’ is would use both the net worth ratio and restoration plans, and reserve generally more inclusive of all accounts requirements for all credit unions not the new risk-based capital ratio as available to pay losses than the term elements of the capital categories for defined as ‘‘new’’ pursuant to section ‘‘net worth’’ and is more commonly 216(b)(2) of the FCUA.35 ‘‘well capitalized’’, ‘‘adequately used in the financial services industry. capitalized’’ and ‘‘undercapitalized’’ Section 702.101 Capital Measures, No substantive changes to the credit unions. The risk-based capital Effective Date of Classification, and requirements of section 216(c) are ratio measure complements the net Notice to NCUA intended by these changes in worth ratio, and section 216(d) of the terminology. This section would FCUA requires the risk-based capital The requirements of proposed continue to list the five statutory capital § 702.101 would remain largely requirement be designed ‘‘to take categories that are provided in section account of any material risks against unchanged from current § 702.101. The 216(c) of the FCUA.36 title of proposed § 702.101, however, which the net worth ratio required for would be changed to ‘‘Capital measures, 102(a) Capital Categories an insured credit union to be adequately effective date of classification, and Proposed § 702.102(a) would replace capitalized may not provide adequate notice to NCUA’’ to better reflect the current § 702.102(a) and would set forth protection.’’ Accordingly, the risk-based three major topics that would be new minimum capital measures for capital ratio includes components that covered in the section. In addition, the complex credit unions. Although require higher capital levels to reflect proposed rule would replace the terms sections 216(c)(1)(A)(ii), (B)(ii), (C)(ii) increased risk due to interest rate risk, ‘‘net worth measures’’ with ‘‘capital and 216(d) of the FCUA use the term concentration risk, credit risk, market measure,’’ ‘‘net worth classification’’ ‘‘risk-based net worth’’ requirement, risk, and liquidity risk. with ‘‘capital classification,’’ and ‘‘net NCUA believes that replacing the term In essence, the current RBNW worth category’’ with ‘‘capital category’’ ‘‘risk-based net worth’’ with the requirement is evaluated on a pass/fail to reflect the terminology changes being functionally equivalent term ‘‘risk-based basis. The proposed rule, in contrast, made throughout the proposed rule, capital’’ in the proposed rule would would introduce a new scaled risk- which were discussed above and are better describe the equity and assets the based capital measurement approach for discussed in further detail below. requirement would measure. Moreover, assigning capital classifications for well the term ‘‘risk-based capital’’ is more capitalized, adequately capitalized, and Section 702.102 Capital Classifications commonly used in the financial services undercapitalized credit unions. This The proposal would change the title industry, and is defined in a manner scaled approach would recognize the of § 702.102 from ‘‘Statutory net worth consistent with the requirements set relationship between higher risk-based categories’’ to ‘‘Capital classifications.’’ forth in section 216. No changes to the capital ratios and the creditworthiness Although section 216(c) of the FCUA requirements of the statute are intended of credit unions.

TABLE 4—PROPOSED CAPITAL CATEGORIES

A credit union’s net worth classification is . . . Net worth ratio Risk-based capital ratio * And subject to following condition(s) . . .

Well Capitalized ...... 7% or above ...... 10.5% or above ...... Must pass both net worth ratio and risk-based capital ratio. Adequately Capitalized ...... 6% to 6.99% ...... 8% to 10.49% ...... Must pass both net worth ratio and risk-based capital ratio. Undercapitalized ...... 4% to 5.99% ...... Less than 8% ...... Must pass both net worth ratio and risk-based capital ratio. Significantly Undercapital- 2% to 3.99% ...... N/A ...... Or if undercapitalized at <5% net worth and fails to ized. timely submit or materially implement an approved net worth restoration plan. Critically Undercapitalized ... Less than 2% ...... N/A ...... None. * Applies only to credit unions with quarter-end total assets exceeding $50 million.

method by which credit unions report investments 35 12 U.S.C. 1790d(b)(2). in Schedule C of the Call Report.’’). 36 12 U.S.C. 1790d(c).

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102(a)(1) Well Capitalized restoration plan has not been The proposal would eliminate current 38 Under proposed § 702.102(a)(1), to be approved; (2) the credit union has a § 702.103(b) and define all credit unions classified as well capitalized, a credit net worth ratio of 2 percent or more but with over $50 million in assets as union must maintain a net worth ratio less than 4 percent; or (3) the credit ‘‘complex.’’ Under the current rule, of 7 percent or greater and, if a complex union has a net worth ratio of 4 percent credit unions are ‘‘complex’’ and subject credit union, must also have a risk- or more but less than 5 percent, and the to the RBNW requirement only if they based capital ratio of 10.5 percent or credit union either fails to submit an have quarter-end total assets over $50 greater. The higher proposed risk-based acceptable net worth restoration plan million and they have an RBNW over 6 capital requirement for the well within the time prescribed in § 702.111, percent. In the proposed rule all credit capitalized classification is designed to or materially fails to implement a net unions with total quarter end assets over bolster the resiliency of complex credit worth restoration plan approved by $50 million would be considered unions throughout financial cycles. The NCUA. Although proposed ‘‘complex’’ and subject to the risk-based proposed 10.5 percent risk-based capital § 702.102(a)(4) has been worded capital ratio. differently to help clarify the ratio target is comparable to the Other requirements of the paragraph, the In January 2013, NCUA revised part Federal Banking Regulatory Agencies’ 8 proposed rule would not change the 702 by increasing the asset size of credit percent Total Risk-based Capital ratio criteria for being classified as unions subject to the risk-based net plus the 2.5 percent capital conservation significantly undercapitalized under worth requirement from $10 million to buffer which is expected to be fully 39 part 702. $50 million. In setting the $50 million implemented in 2019.37 NCUA is asset threshold, the Board considered proposing the 10.5 percent risk-based 102(a)(5) Critically Undercapitalized the following factors for a variety of capital ratio requirement, rather than Under proposed § 702.102(a)(5), a asset size ranges: the Other Federal Banking Regulatory credit union is classified as critically • The percentage of industry assets Agencies’ 8 percent, to avoid the undercapitalized if it has a net worth and units; complexity of implementing a capital ratio of less than 2 percent. The • Credit union complexity as conservation buffer. proposal would not change the criteria measured by products and services; 102(a)(2) Adequately Capitalized for being classified as critically undercapitalized. • The history of failures; and Under proposed § 702.102(a)(2), to be • classified as adequately capitalized, a 102(b) Reclassification Based on The risk to the NCUSIF. credit union must maintain a net worth Supervisory Criteria Other Than Net NCUA estimates that, as of June 30, ratio of 6 percent or greater and, if a Worth 2013, approximately 2,237 of 6,681 complex credit union, must also have a Proposed § 702.102(b) would remain credit unions reported total assets over risk-based capital ratio of 8 percent or mostly unchanged from current $50 million. These credit unions hold greater. For example, a complex credit § 702.102(b), with only a few approximately 94 percent of total credit union with an 8 percent net worth ratio amendments to update terminology and union system assets. and an 8.5 percent risk-based capital make minor edits for clarity. No Section 702.104 Risk-Based Capital ratio would be adequately capitalized substantive changes are intended. under the proposed rule. The 8 percent Ratio Measures 102(c) Non-Delegation risk-based capital ratio requirement for Proposed § 702.104 would change the the credit union industry is a measure Proposed § 702.102(c) would be title of current § 702.104 from ‘‘Risk comparable to the 8 percent total risk- unchanged from current § 702.102(c). portfolio defined’’ to ‘‘Risk-based capital based capital ratio required by the Other 102(d) Consultation With State Officials ratio measures.’’ Proposed § 702.104 Federal Banking Regulatory Agencies’ would entirely replace the requirements Proposed § 702.102(d) would remain for a bank to be adequately capitalized. for calculating the RBNW requirement mostly unchanged from current for ‘‘complex’’ credit unions under 102(a)(3) Undercapitalized § 702.102(d), with only a few small current § 702.104 with a new risk-based Under proposed § 702.102(a)(3), to be amendments for consistency with other capital ratio requirement.40 The classified as undercapitalized, a credit sections of NCUA’s regulations. No proposed section would require all union must maintain a net worth ratio substantive changes are intended. of 4 percent or greater and, if a complex ‘‘complex’’ credit unions to calculate Section 702.103 Applicability of Risk- credit union, fail to meet the minimum the risk-based capital ratio as directed in Based Capital Ratio Measure 8 percent total risk-based capital ratio this section. The proposed risk-based requirement. For example, a complex Proposed § 702.103 would change the capital ratio is designed to enhance credit union with an 8 percent net title of current § 702.103 from sound capital management and help worth ratio and a 7.5 percent risk-based ‘‘Applicability of risk-based net worth ensure that credit unions maintain capital ratio would be undercapitalized requirement’’ to ‘‘Applicability of risk- adequate levels of loss-absorbing capital under the proposed rule. based capital ratio measure.’’ Proposed going forward, strengthening the § 702.103 would provide that, for stability of the credit union system and 102(a)(4) Significantly Undercapitalized purposes of § 702.102, a credit union is ensuring credit unions serve as a source Under proposed § 702.102(a)(4), a defined as ‘‘complex,’’ and a risk-based of credit in times of stress. credit union is classified as significantly capital ratio requirement is applicable, undercapitalized if: (1) It has a net only if the credit union’s quarter-end 39 On January 18, 2013, NCUA published a final worth ratio of less than 5 percent, and total assets exceed $50 million, as rule and IRPS 13–1 redefining ‘‘small entity’’ as a credit union with less than $50 million in assets has received notice that its net worth reflected in its most recent Call Report. and amending 12 CFR 702.103 increasing to $50 million the asset threshold used to define 37 On September 10, 2013, FDIC published an 38 To qualify for a higher net worth classification, ‘‘complex’’ credit union for determined whether interim final rule that revised it risk-based and a significantly undercapitalized credit union must RBNW requirements apply. 78 FR 4032 (Jan. 18, leverage capital requirements for FDIC-supervised have a net worth restoration plan approved by 2013). institutions. 78 FR 55339 (Sept. 10, 2013). NCUA. 40 12 U.S.C. 1790d(d).

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104(a) Calculation of Capital for the financial services industry. Conversely, the sum of the specific certain capital Risk-Based Capital Ratio the method of computing the RBNW elements listed in § 702.104(b)(1), minus Proposed § 702.104(a) would provide measure in current § 702.104 is unique certain regulatory adjustments listed in that to determine its risk-based capital within the financial services industry, § 702.104(b)(2). The proposed ratio, a complex credit union must and frequently results in confusion and numerator for the risk-based capital calculate the percentage, rounded to two incorrect analyses when industry ratio would continue to consist decimal places, of its risk-based capital analysts attempt to compare credit primarily of the components of a credit numerator as described in § 702.104(b) union risk-weights for assets to bank union’s net worth. In order to capture to its total risk-weighted assets risk-weights for assets. As with the all of the material risks while keeping denominator as described in current RBNW ratio, the proposed risk- the calculation from becoming overly § 702.104(c). In simplest terms, the based capital ratio calculation would be complex, the proposed rule would add proposed risk-based capital ratio would calculated primarily using information some additional equity items and other credit unions already report on the Call be the percentage of a defined measure specified balance sheet items would be Report form required under § 741.6(a)(2) of the equity and other accounts held by subtracted. The goal of the proposed of NCUA’s regulations. a credit union that are available to cover risk-based capital ratio numerator is to losses, divided by a defined risk- 104(b) Risk-based Capital Ratio achieve a measure that reflects a more weighted asset base. The proposed Numerator accurate amount of equity and reserves method of calculating risk-based capital available to cover losses. would be generally consistent with the Proposed § 702.104(b) would provide methods used in other sectors of the that the risk-based capital numerator is

TABLE 5—PROPOSED RISK-BASED CAPITAL NUMERATOR

Additions Deductions

Undivided earnings (includes any regular reserve) ...... NCUSIF deposit. Appropriations for non-conforming investments ...... Goodwill. Other reserves ...... Other intangible assets. Equity acquired in merger ...... Identified losses not reflected as adjustments to components of the risk-based numerator. Net income. ALLL (limited to 1.25% of risk assets). Secondary capital accounts included in net worth. Section 208 assistance included in net worth (as defined in § 702.2).

104(b)(1) Capital Elements of the Risk- GAAP accounting item. The use of The proposed risk-based capital Based Capital Ratio Numerator equity acquired in a merger, as numerator would not include the measured using GAAP, more accurately following Call Report equity items: Proposed § 702.104(b)(1) would list • the capital elements of the risk-based reflects the overall value of the business Accumulated unrealized gains combination transaction. (losses) on available for sale securities; capital numerator as follows: • • Undivided earnings (includes any Because the ALLL is available to Accumulated unrealized losses for regular reserve); cover expected levels of loan losses, the OTTI on debt securities; • Accumulated unrealized net gains • Appropriation for non-conforming proposed numerator also would include (losses) on cash flow hedges; and investments; the ALLL, but it would be limited to • Other comprehensive income. • Other reserves; 1.25 percent of total risk-weighted NCUA recognizes the items listed • Equity acquired in merger; assets.41 The RBNW calculation for above reflect a credit union’s actual loss • Net income; ALLL in current § 702.104(h) is limited absorption capacity at a specific point in • ALLL, limited to 1.25% of risk to 1.50 percent of loans and is included time, but includes gains or losses that assets; as a reduction in the level of risk assets. • may or may not be realized. NCUA also Secondary capital accounts By establishing a limit in the amount of recognizes that including these items in included in net worth (as defined in ALLL included in the numerator, the the risk-based numerator could lead to § 702.2); and proposed rule would provide an • volatility in the risk-based capital Section 208 assistance included in incentive for granting quality loans and measure, difficulty in capital planning net worth (as defined in § 702.2). recording loan losses in a timely and asset-management and other The proposed risk-based numerator manner. The proposed 1.25 percent unintended consequences.42 would include the equity acquired in limit should not result in a disincentive Accordingly, NCUA chose to exclude merger component of the balance sheet. to fully fund the ALLL above the 1.25 these items from the proposed risk- This equity item would be used in place percent ceiling, because complex credit based capital numerator. of the total adjusted retained earnings unions are bound by GAAP in acquired through business combinations maintaining the ALLL. NCUA estimates 104(b)(2) Risk-Based Capital Numerator amount credit unions report on the PCA that, as of June 30, 2013, approximately Deductions Net Worth Calculation Worksheet in the 468 of the 2,237 ‘‘complex’’ credit Call Report. The equity acquired in Proposed § 702.104(b)(2) would unions have an ALLL greater than 1.25 provide that the elements deducted merger is the GAAP equity recorded in percent of total risk assets. a business combination and can vary 42 The Other Federal Banking Agencies’ from the amount of total adjusted 41 The 1.25 percent of risk-weighted assets regulatory capital rules (12 CFR 324.22) allow retained earning acquired through limitation is consistent with the Basel III framework institutions to make an opt-out election for similar business combinations, which is not a and the regulatory capital rules for U.S. banks. accounts. See, e.g., 78 FR 55339 (Sept. 10, 2013).

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from the sum of the risk-based capital would be subject to this provision weighted derivatives in § 702.104(c)(4), elements are: include shortages in the ALLL, minus the risk-based capital numerator • NCUSIF Capitalization Deposit; underfunded pension accounts, and deductions in § 702.104(b)(2). The • Goodwill; unsupported valuations of bond claim proposal would require a complex • Other intangible assets; and receivables. credit union to calculate its risk- • Identified losses not reflected in the weighted asset amount for its on- and 104(c) Total Risk-Weighted Assets risk-based capital ratio numerator. off-balance sheet exposures. (NCUA’s In order to achieve a risk-based In developing the proposed risk- Call Report system would be upgraded capital numerator reflecting equity weights, NCUA reviewed the Basel to conduct the calculations available to cover losses in the event of accords and both the U.S. and automatically.) In the proposal, risk- liquidation, goodwill and other international banking system’s existing weighted asset amounts would generally intangible assets would be deducted risk-weight measures.44 NCUA be determined by assigning an on- from both the risk-based capital considered the comments contained in balance sheet asset to broad risk-weight numerator and denominator. Goodwill material loss reviews prepared by the categories according to the asset type, and other intangible assets contain a NCUA Inspector General and GAO collateral, and level of concentration. high level of uncertainty regarding a comments in their reviews of the Similarly, risk-weighted assets amounts credit union’s ability to realize value financial services industry’s for off-balance sheet items would be from these assets, especially under 45 implementation of PCA. As previously calculated using a two-step process: (1) adverse financial conditions. mentioned, because the FCUA requires Multiplying the amount of the off- The proposed rule would address the risk-based measure to include all balance sheet exposure by a credit concerns about the NCUSIF deposit material risks, consideration was given conversion factor (CCF) to determine a reflected on the NCUSIF’s balance sheet to credit risk, concentration risk, market credit equivalent amount, and (2) both as equity to pay losses and as an risk, interest rate risk, operational risk, asset of the insured credit unions. In the assigning the credit equivalent amount and liquidity risk. to a relevant risk-weighted category. A proposed rule, the NCUSIF deposit is Proposed § 702.104(c) would address credit union would determine its total subtracted from both the numerator and concentration risk by assigning higher risk-weighted assets by calculating (1) denominator of the risk-based capital risk-weights to larger percentages of its risk-weighted assets, minus (2) ratio.43 This treatment for the risk-based assets in MBLs and real estate loans. goodwill and other intangibles, and regulatory capital standard would not The concentration threshold amounts minus (3) the NCUSIF deposit. alter the NCUSIF deposit accounting are generally based on the average treatment for credit unions. percentage of assets held in the asset 104(c)(2) Risk-Weights for On-Balance The proposed rule would include a types. Sheet Assets provision to allow for identified losses, not otherwise reflected as adjustments 104(c)(1) General Proposed § 702.104(c)(2) would define in the risk-based capital numerator, to Proposed § 702.104(c)(1) would the risk categories and risk-weights to be be deducted to reflect an accurate risk- provide that total risk-weighted assets assigned to each specifically defined on- based capital ratio. The inclusion of include risk-weighted on-balance sheet balance sheet asset. All on-balance sheet identified losses would allow for the assets as described in § 702.104(c)(2), assets would be assigned to one of the calculation of an accurate risk-based plus the risk-weighted off-balance sheet categories and risk-weights listed in capital ratio. Examples of items that assets in § 702.104(c)(3), plus the risk- Table 6.

TABLE 6—RISK-WEIGHT CATEGORIES AND ASSOCIATED RISK-WEIGHTS

Risk-weight category Risk-weight Items included

Category 1 ...... 0 percent ...... • Cash on hand, which includes the change fund (coin, currency, and cash items), vault cash, vault funds in transit, and currency supplied from automatic teller machines. • NCUSIF capitalization deposit. • Debt instruments unconditionally guaranteed by the NCUA or the FDIC. • U.S. Government obligations directly and unconditionally guaranteed by the full faith and credit of the U.S. Government, including U.S. Treasury bills, notes, bonds, zero coupon bonds, and separate trading of registered interest and principal securities (STRIPS). • Non-delinquent student loans unconditionally guaranteed by a U.S. Government agency. Category 2 ...... 20 percent ...... • Cash on deposit, which includes balances on deposit in insured financial institutions and de- posits in transit. These amounts may or may not be subject to withdrawal by check, and they may or may not bear interest. Examples include overnight accounts, corporate credit union daily accounts, money market accounts, and checking accounts. • Cash equivalents (investments with original maturities of three months or less). Cash equiva- lents are short-term, highly liquid non-security investments that have an original maturity of 3 months or less at the time of purchase, are readily convertible to known amounts of cash, and are used as part of the credit union’s cash management activities. • The total amount of investments with a weighted-average life of one year or less. • Residential mortgages guaranteed by the federal government through the FHA or the VA.

43 See U.S. Govt. Accountability Office, GAO–04– 45 Section 988 of the Dodd-Frank Wall Street due to unusual circumstances. The MLRs are 849, Available Information Indicates No Compelling Reform and Consumer Protection Act obligates the available at http://www.ncua.gov/about/Leadership/ Need for Secondary Capital (2004), available at NCUA’s Inspector General to conduct material loss CO/OIG/Pages/MaterialLossReviews.aspx; see also http://www.gao.gov/assets/250/243642.pdf. reviews (MLRs) of credit unions that incurred a loss GAO/GGD–98–153 (July 1998); GAO–07–253 (Feb. 44 of $25 million or more to the NCUSIF. In addition, The Basel Committee on Banking Supervision 2007), GAO–11–612 (June 2011), GAO–12–247 (Jan. (BCBS) published Basel III in December 2010 and section 988 requires the NCUA’s Inspector General 2012), and GAO–13–71 (Jan. 2013). revised it in June 2011, available at http:// to review all losses under the $25 million threshold www.bis.org/publ/bcbs189.htm. to assess whether an in-depth review is warranted

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TABLE 6—RISK-WEIGHT CATEGORIES AND ASSOCIATED RISK-WEIGHTS—Continued

Risk-weight category Risk-weight Items included

• Loans guaranteed 75 percent or more by the SBA, U.S. Department of Agriculture, or other U.S. Government agency. Category 3 ...... 50 percent ...... • The total amount of investments with a weighted-average life of greater than one year, but less than or equal to three years. • The total amount of current and non-delinquent first mortgage real estate loans less than or equal to 25 percent of total assets. Category 4 ...... 75 percent ...... • The total amount of investments with a weighted-average life of greater than three years, but less than or equal to five years. • Current and non-delinquent unsecured credit card loans, other unsecured loans and lines of credit, short-term, small amount loans (STS), new vehicle loans, used vehicle loans, leases receivable and all other loans. (Excluding loans reported as MBLs). • Current and non-delinquent first mortgage real estate loans greater than 25 percent of total assets and less than or equal to 35 percent of assets. Category 5 ...... 100 percent ...... • Corporate credit union nonperpetual capital. • The total outstanding principal amount loaned to CUSOs. • Current and non-delinquent first mortgage real estate loans greater than 35 percent of total assets. • Delinquent first mortgage real estate loans. • Other real estate-secured loans less than or equal to 10 percent of assets. • MBLs less than or equal to 15 percent of assets. • Loans held for sale. • The total amount of any foreclosures and repossessed assets. • Land and building, less depreciation on building. • Any other fixed assets, such as furniture and fixtures and leasehold improvements, less re- lated depreciation. • Current non-federally insured student loans. • All other assets not specifically assigned a risk-weight but included in the balance sheet. Category 6 ...... 125 percent ...... • Total amount of all other real estate-secured loans greater than 10 percent of assets and less than or equal to 20 percent of assets. Category 7 ...... 150 percent ...... • The total amount of investments with a weighted-average life of greater than five years, but less than or equal to ten years. • Any delinquent unsecured credit card loans; other unsecured loans and lines of credit; short- term, small amount loans; non-federally guaranteed student loans; new vehicle loans; used vehicle loans; leases receivable; and all other loans (excluding loans reported as MBLs). • The total amount of all other real estate-secured loans greater than 20 percent of assets. • Any MBLs greater than 15 percent of assets and less than or equal to 25 percent of assets. Category 8 ...... 200 percent ...... • Corporate credit union perpetual capital. • The total amount of investments with a weighted-average life of greater than 10 years. • The total amount of MBLs greater than 25 percent of assets, other than MBLs included in Category 3 above. Category 9 ...... 250 percent ...... • The total value of investments in CUSOs. • The total value of mortgage servicing assets. Category 10 ...... 1,250 percent ...... • An asset-backed investment for which the credit union is unable to demonstrate, as required under § 702.104(d), a comprehensive understanding of the features of the asset-backed in- vestment that would materially affect its performance.

A further explanation of risk-weights the existing structure for measuring risk- of investments’’ (WAL), as defined based on balance sheet asset type weights for most cash items and within the regulation. The WAL is follows. investments. For specific investments, generally the average time until a dollar Cash and investment risk-weights. the risk-weights would continue to be of principal is repaid. The proposal generally would maintain based upon the ‘‘weighted-average life

TABLE 7—PROPOSED RISK-WEIGHTS FOR CASH AND INVESTMENTS

Proposed Item risk-weight (percent)

Cash on hand ...... 0 NCUA and FDIC issued Guaranteed Notes ...... 0 Direct, unconditional U.S. Government obligations ...... 0 Cash on deposit ...... 20 Cash equivalents ...... 20 Total investments with WAL ≤ 1-year ...... 20 Total investments with WAL >1-year and ≤ 3-years ...... 50 Total investments with WAL >3-year and ≤ 5-years ...... 75 Corporate credit union nonperpetual capital ...... 100 Total investments with WAL >5-year and ≤ 10-years ...... 150 Total investments with WAL > 10-years ...... 200

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TABLE 7—PROPOSED RISK-WEIGHTS FOR CASH AND INVESTMENTS—Continued

Proposed Item risk-weight (percent)

Corporate credit union perpetual capital ...... 200

Cash held by a credit union for Government obligations (FDIC issued applies to concentrations over 15 normal operations—such as vault cash, Guaranteed Notes, and other U.S. percent and up to 25 percent, and the ATM cash, and teller cash—typically Government obligations) from the WAL third applies to concentrations in excess present no risk because it is protected measure to zero risk-weighted assets, of 25 percent. The proposed rule would from loss by a credit union’s fidelity and maintain the current zero risk- maintain the same threshold levels for bond and would be assigned a zero risk- weight for NCUA Guaranteed Notes. assigning risk-weights. Since current weight. In the current rule, the investment in MBL regulations generally limit MBLs To maintain continuity and provide a nonperpetual and perpetual capital in a to 12.25 percent of total assets,48 fair measure of the interest rate and corporate credit union are reported in typically only those credit unions with liquidity risks associated with longer the ‘‘>1–3 Years’’ WAL bucket on the an MBL exemption are subject to the term investments, the proposed rule Call Report and assigned the associated higher risk-weightings assigned to the would continue to use the measure in risk-weight. higher concentrations of MBLs. current § 702.105 for investments. The Member Business Loans (MBLs). Supervisory experience has current risk-weights for investments Consistent with the existing rule, the demonstrated that certain MBLs present relied on the results of 300 basis point risk portfolio for ‘‘member business multiple risks for which credit unions interest rate ‘‘shock tests’’ to corroborate loans outstanding’’ in the proposal will should hold additional capital. Many of the assigned risk-weights. The 300 basis consist of loans outstanding that qualify the largest losses to the NCUSIF point shock test is a widely accepted as MBLs under NCUA’s definition,46 or occurred in credit unions with high measure of interest rate risk. The under a state’s NCUA-approved concentrations of MBLs.49 Similarly, the proposed risk-weight for investments definition.47 If a loan qualifies as a MBL failures of many small banks between with a WAL of less than 5 years would when it is originated, it will remain so 2008 and 2011 were also largely driven be lower, relative to the existing rule, to until it has been repaid in full, sold, or by high concentrations of MBLs. The reflect lower interest rate risk and otherwise disposed of. Unused MBL GAO reported that in the 10 states with liquidity risk. The proposed risk-weight commitments would be addressed in a 10 or more bank failures between 2008 for investments with a WAL from 5 to separate off-balance sheet risk portfolio. and 2011, the failure of the small and 10 years would be about the same and In the current rule, the risk-weights medium-size banks were largely the risk-weight for investments with a for MBLs apply across three thresholds associated with high concentrations of WAL over 10 years would be decreased based on the amount of MBLs as a commercial real estate loans.50 slightly. percentage of total assets. The first As illustrated in Table 8, the proposed The proposal would lower the risk- threshold applies to concentrations rule would moderately increase all of weight for direct and unconditional U.S. between 0 and 15 percent, the second the risk-weights for MBLs.

TABLE 8—COMPARISON OF CURRENT REGULATION AND PROPOSED MBL COMPONENT

Current MBL risk- weightings 51— (converted for Proposed MBL Total MBLs 8% adequately risk-weightings capitalized level) (percent) (percent)

0 to 15% of Assets ...... 75 52 100 >15 to 25% of Assets ...... 100 150 Amount over 25% ...... 175 200

MBLs that are government guaranteed U.S. Department of Agriculture, would As of June 2013, for the 1,579 at least 75 percent, normally by the receive a lower risk-weight of 20 percent complex credit unions with outstanding Small Business Administration (SBA) or under the proposed rule. MBLs, MBLs comprise an aggregate of

46 See 12 CFR 723.1. available at http://www.gao.gov/assets/660/ 8 percent risk-weighting, which is equivalent to a 47 See 12 CFR 723.20. 655193.pdf. 100 percent risk-weight under this proposal (8% 51 divided by 8%) and the highest concentrations of 48 See 12 CFR 723.16(a). The current MBL risk-weightings were converted to a comparable risk-weight by dividing MBLs received a 14 percent risk-weight, which is 49 See NCUA Office of the Inspector General, the current risk-weighting by 8 percent, with 8 equivalent to a 175 percent risk-weight under this OIG–10–20, OIG Capping Report on Material Loss percent representing the level of risk-weighted proposal (14% divided by 8%). Reviews (Nov. 23, 2010), Chart G, available at capital needed to be adequately capitalized. In the 52 This is consistent with the Other Federal http://www.ncua.gov/about/Leadership/CO/OIG/ current rule total MBLs less than the threshold 15 Banking Regulatory Agencies’ capital rules (e.g., 12 Documents/OIG201020CappRpt.pdf. percent of assets receive a 6 percent risk-weighting, CFR 324.32), which maintain a 100 percent risk- 50 U.S. Government Accountability Office, GAO– which is equivalent to a 75 percent risk-weight weight for commercial real estate (CRE) and 13–704T, Causes and Consequences of Recent under this proposal (6% divided by 8%). The next includes a 150 percent risk-weigh for loans defined Community Bank Failures (June 12, 2013), page 4, threshold in the current regulation for total MBLs as high volatility commercial real estate (HVCRE). from 15 percent to 25 percent of assets received an See, e.g., 78 FR 55339 (Sept. 10, 2013).

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4.80 percent of assets and an average real estate loan concentrations without unprecedented levels of mortgage loan 5.14 percent of assets. Only 70 of the appropriate capital. Additionally, the defaults and home foreclosures. The credit unions holding MBLs have MBL junior lien real estate loans, with a cause for the significant increase in loan portfolios in excess of 15 percent of total significantly higher loss history, are defaults and home foreclosures assets. The threshold of 15 percent was combined with first mortgage real estate included inadequate underwriting selected to provide for the possibility of loans. An unintended consequence of standards, high-risk mortgage products a decline in asset size once a credit the current real estate loan risk-weight providing for negative amortization and union reaches the 12.25 percent is the structuring of mortgage products significant payment shock to the statutory limit for MBLs. to minimize capital requirements which borrowers, unverified or undocumented NCUA considered developing an could impact the marketability of such income, and a rise in unemployment.54 alternative version of the current loans. Therefore, NCUA is proposing that real method for computing the MBL’s 15 The proposed rule would recognize estate-secured loans not meeting the percent concentration level that would the lower loss history for current, definition of first mortgage real estate have addressed the potential for prudently written first lien real estate- loans would be referred to as ‘‘other real reduced risk in a well-diversified MBL secured loans by assigning a lower risk- estate loans’’ and assigned a higher risk- portfolio. However, before developing weight of 50 percent to the first 25 weight. First lien real estate loans such a method, NCUA staff evaluated percent of assets.53 To account for delinquent for 60 days or more or the diversity of MBL loan types using concentration risk, the risk-weight for carried on non-accrual status would be the data reported in the Call Report. The first lien real estate loans would included in the category of other real data was summarized into the following increase for loans between 25 and 35 five subcategories: (1) Construction and percent of assets from 50 percent to 75 estate loans for the purpose of assigning development, (2) agriculture related percent. First lien real estate loans over the risk-weight. loans, (3) non-farm, non-residential 35 percent of assets would be accorded In the proposed rule, other real estate property, (4) commercial and industrial a 100 percent risk-weight. The threshold loans would be assigned a risk-weight of loans, and (5) unsecured business loans. of 25 percent is based on the average 100 percent for the first 10 percent of NCUA noted as they evaluated the Call percent of first mortgage real estate assets. To account for concentration Report data that, of the 70 credit unions loans to total assets, which, as of June risk, the risk-weight for other real estate with MBLs over the 15 percent of assets 30, 2013, is 24.9 percent for all complex loans would increase to 125 percent for threshold that would be subject to credit unions. Out of the 2,188 complex loans between 10 and 20 percent of higher risk-weights on a portion of their credit unions with first mortgage real assets. Other real estate loans over 20 MBLs, most tended to primarily estate loans, 510 have a concentration in percent of assets would be risk-weighted originate one particular type of MBL. excess of 25 percent of assets and 160 150 percent. The threshold of 10 percent The Call Report data provides no have a concentration in excess of 35 is roughly based on the average percent information on the geographic percent of assets. of other real estate loans to total assets, distribution of the MBL portfolio and In the proposed rule, if a credit union which, as of June 30, 2013, is 6.85 the additional information needed to holds the first and junior lien(s) on a percent for all complex credit unions. properly identify the nature and extent property, and no other party holds an Out of the 2,218 complex credit unions of any diversification would place an intervening lien, the credit union could with other real estate loans, 533 have a additional data reporting burden on treat the combined exposure as a single concentration in excess of 10 percent of credit unions with an uncertain result. loan secured by a first lien for purpose assets and 100 have a concentration in Due to the lack of diversity in the types of assigning a risk-weight. A first lien excess of 20 percent of assets. of MBLs held by credit unions and the real estate loan could be assigned to the Tables 9, 10, and 11 below provide a reporting requirements to potentially 50 percent risk-weight category only if comparison of current and proposed identify diversification, the Board it is not restructured or modified. A first risk-weights for real estate-secured decided to propose maintaining the lien real estate loan modified or current risk-weight concentration levels. structured on a permanent or trial basis loans: The Board believes that maintaining the solely pursuant to the U.S. Treasury’s current methodology avoids adding the Home Affordability Mortgage Program TABLE 9—CURRENT RISK-WEIGHTS complexity required to define the (HAMP) would not be considered to be FOR LONG TERM REAL ESTATE LOANS adequate level of diversification and restructured or modified. A first lien associated reporting necessary to real estate loan guaranteed by the Current Risk-Weights for Long-Term Real implement such an alternative method federal government through the Federal Estate Loans (revised for an 8 percent in the proposed rule. Housing Administration (FHA) or the adequately capitalized standard) Real Estate Loans. The current rule Department of Veterans Affairs (VA) excludes from the real estate risk- Definition: RE Loans—Loans Maturing, Refi- generally would be risk-weighted at 20 nancing, or Re-Pricing in 5 years—RE weights those real estate loans reported percent. While a government guarantee as MBLs. The proposed rule would Loans also reported as MBLs = Long-Term against default mitigates credit risk, it RE Loans. continue this exclusion. does not affect interest rate risk. The current standard risk-weighting During the recent market turmoil, the Threshold Current risk- approach establishes higher capital U.S. housing market experienced weight 55 requirements only for ‘‘long term’’ real significant deterioration and (percent) estate loans, excluding loans that re- 0–25% of assets ...... 75 price, refinance, or mature within five 53 This is consistent with the Other Federal years or less. By excluding loans that re- Banking Regulatory Agencies’ capital rules (e.g., 12 Excess over 25% of assets ...... 175 price, refinance, or mature within five CFR 324.32), which maintained the 50 percent risk- years or less from higher capital weight for one to four family real estate loans that are prudently underwritten, not 90 days or more 54 In drafting these proposed regulations, NCUA requirements, the current formula does past due, and not restructured or modified, and a is mindful of the implications of other recently not address a large amount of real estate 100 percent risk-weight for such loans otherwise. published regulations that have been issued to loans. As a result, credit unions build See, e.g., 78 FR 55339 (Sept. 10, 2013). improve the quality of mortgage underwriting.

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TABLE 10—PROPOSED RISK-WEIGHTS most current consumer loans, the higher risk-weight on past due FOR FIRST LIEN REAL ESTATE LOANS proposed rule would assign a risk- exposures ensures sufficient regulatory weight of 75 percent, which maintains capital for the increased probability of Proposed Risk-Weights for First Lien Real the existing risk-based capital unexpected losses on these exposures. Estate Loans requirement.57 Non-federally The higher risk-weights better capture guaranteed student loans, which contain the risk associated with the impaired Definition: 1st Lien RE Loans—1st Lien RE higher risks (e.g., default risk and credit quality of these exposures. Loans also reported as MBLs—Delinquent extension risk), would be risk-weighted 1st Lien RE Loans = First Lien RE Loans. at 100 percent in the proposal. Federally TABLE 13—PROPOSED RISK-WEIGHTS Threshold Proposed guaranteed student loans would receive FOR DELINQUENT CONSUMER LOANS risk-weight a zero percent risk-weight.58 Table 12 (percent) below lists the proposed risk-weights for Consumer loan type—Delin- Proposed each current consumer loan type quent more than 60 days risk-weight 0–25% of assets ...... 50 reported on the Call Report. (percent) >25–35% of assets ...... 75 Excess over 35% of assets ...... 100 Unsecured Credit Card Loan ... 150 TABLE 12—PROPOSED RISK-WEIGHTS All Other Unsecured Loans/ FOR CONSUMER LOAN TYPES RE- Lines of Credit ...... 150 TABLE 11—PROPOSED RISK-WEIGHTS PORTED ON CALL REPORT Short-Term, Small Amount FOR JUNIOR LIEN REAL ESTATE LOANS Loans ...... 150 Proposed Non-Federally Guaranteed Stu- Consumer loan type—Less dent Loans ...... 150 Proposed Risk-Weights for Junior Lien risk-weight than 60 days delinquent New Vehicle Loans ...... 150 Real Estate Loans (percent) Used Vehicle Loans ...... 150 Definition: Junior Lien RE Loans + Delin- Unsecured Credit Card Loan ... 75 Leased Receivable ...... 150 All Other Unsecured Loans/ quent 1st Lien RE Loans—Junior Lien RE All Other Loans/Lines of Credit 150 Lines of Credit ...... 75 Loans also reported as MBLs = Junior Lien Short-Term, Small Amount Real Estate Loans. Loans to CUSOs and CUSO Loans ...... 75 investments. Since Call Reports are Threshold Proposed Federally Guaranteed Student prepared on a consolidated basis, risk-weight Loans ...... 0 wholly owned or majority owned CUSO (percent) Non-Federally Guaranteed Stu- dent Loans ...... 100 assets are consolidated with the credit 0–10% of assets ...... 100 New Vehicle Loans ...... 75 union’s books and records with >10–20% of assets ...... 125 Used Vehicle Loans ...... 75 applicable risk-weights assigned by the Excess over 20% of assets ...... 150 Leased Receivable ...... 75 asset type. The current risk-based All Other Loans/Lines of Credit 75 measure assigns the risk-weight for The aggregate minimum capital average-risk assets to the amount of the requirement, using the proposed risk- Delinquent consumer loans. The credit union’s investments in CUSOs weights for first lien and junior lien real current risk-based capital measure does and loans to CUSOs, as reported in the estate loans, is slightly less than the not contain a higher risk-weight for Other Asset Call Report item. The current minimum requirement.56 The delinquent consumer loans. Rising proposal would increase the risk-weight proposed risk-weights for real estate levels of delinquent loans are an to 250 percent for investments in loans, however, would result in a higher indicator of increased risk. To reflect the CUSOs. This increase is due to the risk variance in the minimum capital impaired credit quality of past due of this unsecured equity investment, requirement for individual affected loans, the proposal would require credit which is almost always in a non- credit unions because the risk-weights unions to assign a 150 percent risk- publicly traded entity. Loans to CUSOs better differentiate the risk associated weight to a non-real estate loan if it is are normally a higher payout priority in with lien position and concentration. 60 days or more past due or in the event of liquidation of a CUSO, and Current consumer loans. Consumer nonaccrual status. NCUA realizes that thus would be assigned a risk-weight of loans (unsecured credit card loans, lines the ALLL is already reflected in the risk- 100 percent. of credit, automobile loans, and leases) based capital numerator and increased are generally highly desired credit provision expenses decrease retained TABLE 14—PROPOSED RISK-WEIGHTS earnings. However, the ALLL is union assets and a key element of FOR LOANS TO CUSOS & INVEST- providing basic financial services. For intended to cover estimated, incurred losses as of the balance sheet date, MENTS IN CUSOS 55 rather than unexpected losses. The The risk-weightings were converted to a Proposed comparable risk-weight by dividing the current risk- risk-weight weighting by 8 percent, representing the level of 57 This is consistent with the Other Federal (percent) risk-weighted capital need to be adequately Banking Regulatory Agencies’ capital rules (e.g., 12 capitalized. In the current rule, long-term real estate CFR 324.32), which maintained the 100 percent Loans to CUSO ...... 100 loans less than the 25 percent threshold receive a risk-weight for non-delinquent consumer loans. Investment in CUSO ...... 250 6 percent risk-weighting, which is equivalent to a See, e.g., 78 FR 55339 (Sept. 10, 2013). 75 percent risk weight under this proposal (6% 58 Up until 2010, guaranteed student loans were divided by 8%). Total long-term real estate loans available through private lending institutions under Mortgage servicing asset (MSA). The over the 25 percent threshold receive a 14 percent the Federal Family Education Loan Program proposal would address the complexity risk-weighting, which is equivalent to a 175 percent (FFELP). These loans were funded by the Federal and variability of the risks, including risk weight under this proposal (14% divided by government, and administered by approved private 8%). lending organizations. In effect, these loans were interest rate risk and market risk, 56 Analysis of call report data indicates that the underwritten and guaranteed by the Federal associated with a MSA by assigning a proposed risk weights produce an aggregate government, ensuring that the private lender would 250 percent risk-weight. MSAs can minimum capital requirement, at the well assume no risk should the borrower ultimately become impaired when interest rates capitalized level, of 97 percent of the current default. Loans issued under this program prior to minimum RBNW requirement for real estate loans June 30, 2012 will remain on the books of credit fall and borrowers refinance or prepay when applied to affected credit unions. unions for many years. their mortgage loans. This impairment

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can lead to earnings volatility and and separate trading of registered • Current and non-delinquent erosion of capital. Additional risks interest and principal securities unsecured credit card loans, other include those associated with valuation (STRIPS). unsecured loans and lines of credit, and modeling processes. • Non-delinquent student loans short-term, small amount loans, new unconditionally guaranteed by a U.S. vehicle loans, used vehicle loans, leases TABLE 15—PROPOSED RISK-WEIGHT Government agency. receivable and all other loans. (Excluding loans reported as MBLs). FOR MORTGAGE SERVICING ASSETS 104(c)(2)(ii) Category 2—20 Percent • Current and non-delinquent first Risk-Weight Proposed mortgage real estate loans greater than risk-weight Proposed § 702.104(c)(2)(ii) would 25 percent of total assets and less than (percent) provide that credit unions assign a 20 or equal to 35 percent of assets. percent risk-weight to the following on- MSA ...... 250 balance sheet assets: 104(c)(2)(v) Category 5—100 Percent • Cash on deposit, which includes Risk-Weight Other on-balance sheet assets. The balances on deposit in insured financial current risk-based measure for all other Proposed § 702.104(c)(2)(v) would institutions and deposits in transit. balance sheet assets not otherwise require that credit unions assign a 100 These amounts may or may not be assigned a specific risk-weight is 100 percent risk-weight to the following on- subject to withdrawal by check, and percent of the risk-based target. Under balance sheet assets: they may or may not bear interest. • the proposed rule, these same assets Corporate credit union Examples include overnight accounts, would receive a 100 percent risk- nonperpetual capital. corporate credit union daily accounts, • The total outstanding principal weight.59 Credit unions with high levels money market accounts, and checking amount of loans to CUSOs. of other assets, predominately non- accounts. • Current and non-delinquent first earning assets, often have lower net • Cash equivalents (investments with mortgage real estate loans greater than income resulting in pressure on capital. original maturities of three months or 35 percent of total assets. less). Cash equivalents are short-term, • Delinquent first mortgage real estate TABLE 16—PROPOSED RISK-WEIGHTS highly liquid non-security investments loans. FOR OTHER ON-BALANCE SHEET that have an original maturity of 3 • Other real estate-secured loans less ASSETS months or less at the time of purchase, than or equal to 10 percent of assets. are readily convertible to known • MBLs less than or equal to 15 Proposed amounts of cash, and are used as part of percent of assets. Other asset type risk-weight • (percent) the credit union’s cash management Loans held for sale. activities. • The total amount of any Loans Held for Sale ...... 100 • The total amount of investments foreclosures and repossessed assets. Foreclosed and Repossessed with a weighted-average life of one year • Land and building, less Assets ...... 100 or less. depreciation on building. Land and Building ...... 100 • Residential mortgages guaranteed • Any other fixed assets, such as Other Fixed Assets ...... 100 by the federal government through the furniture and fixtures and leasehold Accrued Interest on Loans ...... 100 FHA or the VA. improvements, less related depreciation. Accrued Interest on Invest- • • ments ...... 100 Loans guaranteed 75 percent or Current non-federally insured more by the SBA, U.S. Department of student loans. All Other Assets not otherwise • specifically assigned a risk- Agriculture, or other U.S. Government All other assets not specifically weight ...... 100 agency. assigned a risk-weight but included in the balance sheet. 104(c)(2)(iii) Category 3—50 Percent 104(c)(2)(i) Category 1—Zero Percent Risk-Weight 104(c)(2)(vi) Category 6—125 Percent Risk-Weight Risk-Weight Proposed § 702.104(c)(2)(iii) would Proposed § 702.104(c)(2)(i) would require that credit unions assign a 50 Proposed § 702.104(c)(2)(vi) would require that credit unions assign a zero percent risk-weight to the following on- require that credit unions assign a 125 percent risk-weight to the following balance sheet assets: percent risk-weight to the total amount asset types: • of all other real estate-secured loans • The total amount of investments Cash on hand, which includes the with a weighted-average life of greater greater than 10 percent of assets and less change fund (coin, currency, and cash than one year, but less than or equal to than or equal to 20 percent of assets. items), vault cash, vault funds in transit, three years. 104(c)(2)(vii) Category 7—150 Percent and currency supplied from automatic • The total amount of current and Risk-Weight teller machines. non-delinquent first mortgage real estate • NCUSIF capitalization deposit. Proposed § 702.104(c)(2)(vii) would • loans less than or equal to 25 percent of Debt instruments unconditionally total assets. require that credit unions assign a 150 guaranteed by the NCUA or the FDIC. percent risk-weight to the following on- • U.S. Government obligations 104(c)(2)(iv) Category 4—75 Percent balance sheet assets: directly and unconditionally guaranteed Risk-Weight • The total amount of investments by the full faith and credit of the U.S. Proposed § 702.104(c)(2)(iv) would with a weighted-average life of greater Government, including U.S. Treasury require that credit unions assign a 75 than five years, but less than or equal to bills, notes, bonds, zero coupon bonds, percent risk-weight to the following on- ten years. balance sheet assets: • Any delinquent unsecured credit 59 This is consistent with the Other Federal • The total amount of investments card loans; other unsecured loans and Banking Regulatory Agencies’ capital rules (e.g., 12 CFR 324.32), which maintained the 100 percent with a weighted-average life of greater lines of credit; short-term, small amount risk-weight for assets not assigned to a risk weight than three years, but less than or equal loans; non-federally guaranteed student category. See, e.g., 78 FR 55339 (Sept. 10, 2013). to five years. loans; new vehicle loans; used vehicle

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loans; leases receivable; and all other exclusively on ratings issued by • A 10 percent conversion factor with loans (excluding loans reported as Nationally Recognized Statistical a 75 percent risk-weight for total MBLs). Organizations (NRSOs) and did not unfunded commitments for non- • The total amount of all other real perform internal credit analysis of asset- business loans. estate-secured loans greater than 20 backed investments. Complex credit The risk-based capital measure in percent of assets. unions must be able to demonstrate a current § 702.104 includes the amount • Any MBLs greater than 15 percent comprehensive understanding of any of commitments outstanding for loans of assets and less than or equal to 25 investment, particularly an percent of assets. sold with recourse and unused member understanding of the features of an business loan commitments in the 104(c)(2)(viii) Category 8—200 Percent asset-backed investment that would calculation of risk-assets. The current Risk-Weight materially affect its performance. Upon rule recognizes the potential for these purchase and on an ongoing basis, the commitments to quickly become on- Proposed § 702.104(c)(2)(viii) would credit union must evaluate, review, and require that credit unions assign a 200 balance sheet assets with their related update as appropriate the analysis risks. percent risk-weight to the following on- performed on an asset-backed balance sheet assets: investment. In the event a credit union Under this proposal, a credit union • Corporate credit union perpetual is unable to demonstrate a would calculate the exposure amount of capital. comprehensive understanding of an an off-balance sheet component, which • The total amount of investments asset-backed investment, the proposed is usually the contractual amount with a weighted-average life of greater rule would provide for assigning a risk- multiplied by the applicable credit than 10 years. • weight of 1,250 percent to that conversion factor (CCF). This treatment The total amount of MBLs greater would apply to specific off-balance than 25 percent of assets, other than investment. sheet items, including loans sold with MBLs included in Category 3 above. 104(c)(3) Risk-Weights for Off-Balance recourse, unfunded commitments for 104(c)(2)(ix) Category 9—250 Percent Sheet Activities business loans, and other unfunded Risk-Weight Proposed § 702.104(b)(3) would commitments. The proposed rule would Proposed § 702.104(c)(2)(ix) would provide that the risk-weighted amounts improve risk sensitivity and implement require that credit unions assign a 250 for all off-balance sheet items are capital requirements for certain percent risk-weight to the following on- determined by multiplying the notional exposures through a simple balance sheet assets: principal, or face value, by the methodology. • The total value of investments in appropriate conversion factor and the Large draws on unused MBL CUSOs. assigned risk-weight as follows: commitments may cause liquidity • • The total value of MSAs. A 75 percent conversion factor with problems and heighten exposure to a 100 percent risk-weight for unfunded 104(c)(2)(x) Category 10—1,250 Percent credit risk. MBL commitments typically commitments for MBLs. do not feature a ‘‘material adverse Risk-Weight • A 75 percent conversion factor with conditions’’ clause as grounds for Proposed § 702.104(c)(2)(x) would a 100 percent risk-weight for MBLs revocation. The proposed rule would require that credit unions assign a 1,250 transferred with limited recourse. assign a 75 percent CCF and a 100 percent risk-weight (8% * 1,250% = • A 75 percent conversion factor with percent risk-weight to unused member 100%) to an asset-backed investment for a 50 percent risk-weight for first business loan commitments. which the credit union is unable to mortgage real estate loans transferred demonstrate, as required under with limited recourse. The proposal would retain the § 702.104(d), a comprehensive • A 75 percent conversion factor with existing assumption that the risk understanding of the features of the a 100 percent risk-weight for other real exposure associated with recourse loans asset-backed investment that would estate loans transferred with limited is analogous to that associated with materially affect its performance. A recourse. similar on-balance sheet loans. The 1,250 percent risk-weight is equivalent • A 75 percent conversion factor with proposal would reduce the existing to holding capital equal to 100 percent a 100 percent risk-weight for non- capital requirement for first mortgage of the investment’s balance sheet federally guaranteed student loans real estate loans and consumer loans by value.60 transferred with limited recourse. assigning them a 75 percent CCF and a During the recent financial crisis, it • A 75 percent conversion factor with risk-weight consistent with the risk- became apparent that many federally a 75 percent risk-weight for all other weight assigned for the loan type for on- insured financial institutions relied loans transferred with limited recourse. balance sheet loans.

TABLE 17—PROPOSED CREDIT CONVERSION FACTORS AND RISK-WEIGHTS FOR OFF-BALANCE SHEET ASSETS

Proposed Proposed CCF risk-weight (percent) (percent)

Unused MBL commitments ...... 75 100 MBLs sold with recourse ...... 75 100 First mortgage real estate loans sold with recourse ...... 75 50 Other real estate loans sold with recourse ...... 75 100 Non-federally guaranteed student loans sold with recourse ...... 75 100 All other loans sold with recourse ...... 75 75

60 8 percent adequately capitalized level * 1,250 percent = 100 percent.

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This proposal would add a relatively commitment with a relatively small creating a drain on liquidity and a small capital requirement for the total capital requirement in order to shifting of assets which could cause a reported unfunded commitments for recognize the risk that a credit union significant increase in the minimum non-MBL. The proposal would apply a with a substantial amount of unfunded capital requirement. CCF of 10 percent with a 75 percent loan commitments may unexpectedly be risk-weight. NCUA included this required to fund such obligations,

TABLE 18—PROPOSED CREDIT CONVERSION FACTOR AND RISK-WEIGHT FOR TOTAL UNFUNDED COMMITMENTS FOR NON- BUSINESS LOANS

Proposed CCF risk-weight (percent) (percent)

Total unfunded commitments for non-business loans ...... 10 75

The proposed rule would expressly 104(c)(4) Derivatives issued final rule regarding clearing exclude loans sold to the secondary Proposed § 702.104(c)(4) would adopt exemption for certain swaps entered mortgage market that feature an approach to assign risk-weights to into by cooperatives.63 representations and warranties derivatives that is generally consistent Derivatives transaction risk-weighting. customarily required by the U.S. with the approach adopted by the FDIC To determine the risk-weighted asset Government (e.g., Ginnie Mae) and in its recently issued interim final rule amount for a derivatives contract under government-sponsored enterprises (e.g., regarding regulatory capital.61 the proposed rule, a credit union would Fannie Mae and Freddie Mac). These Under the FDIC’s interim rule, first determine its exposure amount for include representations that the credit derivatives transactions covered under the contract. It would then apply to that clearing arrangements are treated union has underwritten the loan and amount a risk-weight based on the differently than non-cleared appraised the collateral in conformity counterparty or recognized collateral. transactions. The NCUA Board is with identified standards. These For a single derivatives contract that is representations provide for the return of proposing a single regulatory capital approach regardless of the credit not subject to a qualifying master assets to the originating credit union in netting agreement (as defined further instances of incomplete documentation union’s derivatives transaction clearing status. This selection of regulatory below in this section), the proposed rule or fraud. Such representations would be capital treatment is not intended to would require the exposure amount to exempt provided the history of payment express a position on credit union be the sum of (1) the credit union’s on these representations is infrequent. clearing. This approach was selected current credit exposure (CCE), which is Credit enhancing representations and because most credit unions have less the greater of the fair value or zero, and warranties beyond the usual agency than $10 billion in total assets and are (2) potential future exposure (PFE), requirements would be considered exempt from the Commodity Futures which is calculated by multiplying the recourse and thus would not be Trading Commission’s (CFTC) clearing notional principal amount of the excluded from this risk portfolio. requirements.62 Credit unions with derivatives contract by the appropriate more than $10 billion in total assets conversion factor, in accordance with would fall under the CFTC’s recently Table 19 below.

TABLE 19—PROPOSED CONVERSION FACTOR MATRIX FOR DERIVATIVES CONTRACTS

Remaining maturity Interest rate risk All other hedge derivatives derivatives 64

One year or less ...... 0.00 0.10 Greater than one year and less than or equal to five years ...... 0 .005 0.12 Greater than five years ...... 0.015 0.15

For multiple derivatives contracts master netting agreement. The adjusted counterparty exposure if the subject to a qualifying master netting sum of the PFE amounts would be transactions fall under an International agreement, a credit union would calculated as described in Swaps and Derivatives Association, Inc. calculate the exposure amount by § 702.104(c)(4)(ii)(B) of the proposed (ISDA) Master Agreement and Schedule. adding the net CCE and the adjusted rule. If a derivatives contract is sum of the PFE amounts for all To recognize the netting benefit of collateralized by financial collateral, a derivatives contracts subject to that multiple derivatives contracts, the credit union would first determine the qualifying master netting agreement. contracts would have to be subject to exposure amount of the derivatives The net CCE is the greater of zero and the same qualifying master netting contract as described in § 702.14(c)(4)(i). the net sum of all positive and negative agreement. For example, a credit union Next, to recognize the credit risk fair values of the individual derivatives with multiple derivatives contracts with mitigation benefits of the financial contracts subject to the qualifying a single counterparty could add the collateral, the credit union would use

61 See 78 FR 55339 (Sept. 10, 2013). 63 78 FR 52285 (Aug. 22, 2013); see also 17 CFR 64 This would include all other derivatives 62 17 CFR part 50. 50.51. contracts including foreign exchange, equity, credit, and commodity.

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the approach for collateralized A credit union should also ensure that materiality of the position in relation to transactions as described in the legal mechanism under which the regulatory capital according to this part. § 702.104(c)(4)(v)(B) of the proposed collateral is pledged or transferred (d)(2) rule. ensures that the credit union has the Collateralized transactions. Under the right to liquidate or take legal Proposed § 702.104(d)(2) would proposed rule, NCUA would permit a possession of the collateral in a timely provide that a credit union must credit union to recognize risk-mitigating manner in the event of the default, demonstrate its comprehensive effects of financial collateral. The insolvency, or bankruptcy (or other understanding of each asset-backed collateralized portion of the exposure defined credit event) of the counterparty investment exposure under receives the risk-weight applicable to and, where applicable, the custodian § 702.104(d)(1) by: the collateral. In all cases, (1) the holding the collateral. • Conducting an analysis of the risk collateral must be subject to a collateral In addition, a credit union should characteristics of an investment’s agreement (for example, an ISDA Credit ensure that it (1) has taken all steps exposure prior to acquiring the Support Annex) for at least the life of necessary to fulfill any legal investment and documenting such the exposure; (2) the credit union must requirements to secure its interest in the analysis within three business days after revalue the collateral at least every three collateral so that it has, and maintains, acquiring the exposure, considering: months; and (3) the collateral and the an enforceable security interest; (2) has Æ Structural features of the exposure must be denominated in U.S. set up clear and robust procedures to investment that would materially dollars. ensure satisfaction of any legal impact the performance of the exposure, Generally, the risk-weight assigned to conditions required for declaring the for example, the contractual cash flow the collateralized portion of the borrower’s default and prompt waterfall, waterfall-related triggers, exposure would be no less than 20 liquidation of the collateral in the event credit enhancements, liquidity percent. However, the collateralized of default; (3) has established enhancements, fair value triggers, the portion of an exposure may be assigned procedures and practices for performance of organizations that a risk-weight of less than 20 percent for conservatively estimating, on a regular service the position, and deal-specific the following exposures. Derivatives ongoing basis, the fair value of the definitions of default; contracts that are marked to fair value collateral, taking into account factors Æ Relevant information regarding the on a daily basis and subject to a daily that could affect that value (for example, performance of the underlying credit margin maintenance agreement could the liquidity of the market for the exposure(s), for example, the percentage receive (1) a zero percent risk-weight to collateral and deterioration of the of loans 30, 60, and 90 days past due; the extent that contracts are collateral); and (4) has in place systems default rates; prepayment rates; loans in collateralized by cash on deposit, or (2) for promptly requesting and receiving foreclosure; property types; occupancy; a 10 percent risk-weight to the extent additional collateral for transactions average credit score or other measures of that the contracts are collateralized by whose terms require maintenance of creditworthiness; average loan-to-value an exposure that qualifies for a zero collateral values at specified thresholds. ratio; and industry and geographic percent risk-weight under diversification data on the underlying 104(d) Due Diligence Requirements for § 702.104(c)(2)(i) of the proposed rule. exposure(s); In addition, a credit union could assign Asset-Backed Investments Æ Relevant market data of the asset- a zero percent risk-weight to the Proposed § 702.104(d) would contain backed investment, for example, bid-ask collateralized portion of an exposure due diligence requirements credit spreads, most recent sales price and where the financial collateral is cash on unions would have to implement in historical price volatility, trading deposit. It also could do so if the demonstrating a comprehensive volume, implied market rating, and size, financial collateral is an exposure that understanding of the features of an depth, and concentration level of the qualifies for a zero percent risk-weight asset-backed investment. The NCUSIF market for the investment; and under § 702.104(c)(2)(i) of the proposed has experienced significant losses by Æ For reinvestment exposures, rule, and the credit union has credit unions that invested heavily in performance information on the discounted the fair value of the asset-backed investments without the underlying investment exposures, for collateral by 20 percent. The credit board of directors or staff having example, the issuer name and credit union would be required to use the sufficient expertise to understand and quality, and the characteristics and same approach for similar exposures or manage the risks. The proposed rule performance of the exposures transactions. defines the general content of an underlying the investment exposures; Risk management guidance for adequate analysis and the timing of the and recognizing collateral. Before a credit analysis. • On an ongoing basis (no less union recognizes collateral for credit frequently than quarterly), evaluating, (d)(1) risk mitigation purposes, it should: (1) reviewing, and updating as appropriate Conduct sufficient legal review to Proposed § 702.104(d)(1) would the analysis required under this section ensure, at the inception of the provide that if a credit union is unable for each investment exposure. collateralized transaction and on an to demonstrate a comprehensive ongoing basis, that all documentation understanding, as required under Current Section 702.105 Weighted- used in the transaction is binding on all proposed § 702.104(d)(2), of the features Average Life of Investments parties and legally enforceable in all of an asset-backed investment exposure As discussed above in the definitions relevant jurisdictions; (2) consider the that would materially affect the part of the section-by-section analysis, correlation between risk of the performance of the exposure, the credit proposed § 702.105 would replace underlying direct exposure and union must assign a 1,250 percent risk- current § 702.105 regarding weighted- collateral in the transaction; and (3) weight to the asset-backed investment average life of investments, and the fully take into account the time and cost exposure. The proposed rule would also definition in the current section would needed to realize the liquidation require that the credit union’s analysis be moved to the definition of proceeds and the potential for a decline be commensurate with the complexity ‘‘weighted-average life of investments’’ in collateral value over this time period. of the asset-backed investment and the in proposed § 702.2.

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Section 702.105 Individual Minimum appropriate for a credit union that has • A credit union has inadequate Capital Requirements significant exposure to declines in the underwriting policies, standards, or Capital helps ensure individual credit economic value of its capital due to procedures for its loans and changes in interest rates. Part 747 would investments. unions can continue to serve as credit • intermediaries even during times of contain procedures for requiring a credit A credit union has failed to stress, thereby promoting the safety and union to maintain a higher minimum properly plan for, or execute, necessary soundness of the U.S. credit union capital. retained earnings growth. • A credit union has a record of system. As with the current Part 702, 105(a) General operational losses that exceeds the the proposed capital rules would be Proposed § 702.105(a) would provide average of other similarly situated credit minimum standards generally based on that the rules and procedures specified unions; has management deficiencies, broad credit risk and concentration in this paragraph apply to the including failure to adequately monitor considerations. establishment of an individual and control financial and operating A complex credit union is generally minimum capital requirement for a risks, particularly the risks presented by expected to have internal processes for credit union that varies from any of the concentrations of credit and assessing capital adequacy that reflects risk-based capital requirement(s) that nontraditional activities; or has a poor a full understanding of its risk exposure would otherwise apply to the credit record of supervisory compliance. and to ensure that it holds capital union under this part. corresponding to those risks. The nature 105(c) Standards for Determination of of such capital adequacy assessments 105(b) Appropriate Considerations for Appropriate Individual Minimum should be commensurate with the credit Establishing Individual Minimum Capital Requirements union’s size, complexity, and risk Capital Requirements Proposed § 702.105(c) would provide profile. Supervisory assessment of Proposed § 702.105(b) would provide that the appropriate minimum capital capital adequacy will take into account that minimum capital levels higher than levels for an individual credit union whether a credit union plans the risk-based capital requirements cannot be determined solely through the appropriately to maintain an adequate under this part may be appropriate for application of a rigid mathematical level of capital given its activities and individual credit unions. NCUA may formula or wholly objective criteria, and risk profile, as well as risks and other establish increased individual minimum that the decision is necessarily based, in factors that can affect a credit union’s capital requirements upon its part, on a subjective judgment grounded financial condition. The supervisory determination that the credit union’s in agency expertise. The proposed rule assessment will also consider the capital is or may become inadequate in provides the following additional potential impact on earnings and the view of the credit union’s factors that may be considered by NCUA capital base from prospective economic circumstances. In addition, the in making its determination: conditions. For this reason, a proposed rule provides the following • The conditions or circumstances supervisory assessment of capital situations in which NCUA may find that leading to the determination that a adequacy may differ significantly from higher capital levels are appropriate: higher minimum capital requirement is conclusions that might be drawn solely • A credit union is receiving special appropriate or necessary for the credit from the level of a credit union’s supervisory attention. union. regulatory capital ratios. • A credit union has or is expected to • The urgency of those circumstances In light of these considerations, as a have losses resulting in capital or potential problems. prudent matter, a complex credit union inadequacy. • The overall condition, management is generally expected to operate with • A credit union has a high degree of strength, and future prospects of the capital positions above the minimum exposure to interest rate risk, credit union and, if applicable, its risk-based capital measures and hold prepayment risk, credit risk, subsidiaries, affiliates, and business capital commensurate with the level concentration risk, certain risks arising partners. and nature of the risk to which it is from nontraditional activities or similar • The credit union’s liquidity, capital, exposed. Credit unions contemplating risks, or a high proportion of off-balance and other indicators of financial significant expansion proposals are sheet risk. stability, particularly as compared with expected to maintain strong capital • A credit union has poor liquidity or those of similarly situated credit unions. levels above the minimum ratios and cash flow. • The policies and practices of the should not allow significant diminution • A credit union is growing, either credit union’s directors, officers, and of financial strength below these strong internally or through acquisitions, at senior management as well as the levels to fund their expansion plans. such a rate that supervisory problems internal control and internal audit Complex credit unions with high levels are presented that are not adequately systems for implementation of such of risk are also expected to operate with addressed by other NCUA regulations or adopted policies and practices. capital well above minimum risk-based other guidance. standards. • A credit union may be adversely Current Section 702.106 Standard This proposed rule includes a affected by the activities or condition of Calculation of Risk-Based Net Worth provision that NCUA may require a its CUSOs or other persons or entities Requirement higher minimum risk-based capital ratio with which it has significant business The proposed rule would eliminate for an individual credit union in any relationships, including concentrations current § 702.106 regarding the standard case where the circumstances, such as of credit. RBNW requirement. The current rule is the level of risk of a particular • A credit union with a portfolio structured so that credit unions have a investment portfolio, the risk reflecting weak credit quality or a standard measure and optional management systems, or other significant likelihood of financial loss, alternatives for measuring a credit information, indicate that a higher or which has loans or securities in union’s RBNW. The proposed rule, on minimum risk-based capital nonperforming status or on which the other hand, would contain only a requirement is appropriate. For borrowers fail to comply with single measurement for calculating a example, higher capital may be repayment terms. credit union’s risk-based capital ratio.

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Accordingly, current § 702.106 would subject to increasingly strict limits on Section 702.109 Prompt Corrective no longer be necessary and has been their activities.66 Action for Critically Undercapitalized eliminated from the proposed rule. The proposal would generally Credit Unions maintain the existing mandatory and Current Section 702.107 Alternative discretionary supervisory actions (PCA The proposed rule would renumber Component for Standard Calculation actions) currently contained in current § 702.204 as proposed § 702.109, §§ 702.201 through 702.204.67 The PCA and would make only minor conforming The proposed rule would eliminate actions aid in accomplishing the PCA’s amendments to the text of the section. current § 702.107 regarding the use of purpose and provide a transparent guide Consistent with the proposed alternative risk-weight measures. NCUA of supervisory actions that a credit elimination of the regular reserve believes the current alternative risk- union can expect as capital measures requirement in current § 702.401(b), weight measures add unnecessary decline. proposed § 702.109(a)(1) would be complexity to the rule. The current amended to remove the requirement alternative risk-weights focus almost Section 702.106 Prompt Corrective that critically undercapitalized credit exclusively on interest rate risk, which Action for Adequately Capitalized unions transfer the earnings retention has resulted in some credit unions with Credit Unions amount from undivided earnings to higher risk operations reducing their The proposed rule would renumber their regular reserve account. regulatory minimum capital current § 702.201 as proposed § 702.106, requirement to a level inconsistent with and would make only minor conforming Section 702.110 Consultation With the risk of the credit union’s business amendments to the text of the section. State Official on Proposed Prompt model. The proposed risk-weights Consistent with the proposed Corrective Action would provide for lower risk-based elimination of the regular reserve capital requirements for those credit requirement in current § 702.401(b), The proposed rule would renumber unions making good quality loans, proposed § 702.106(a) would be current § 702.205 as proposed § 702.110, investing prudently, and avoiding amended to remove the requirement and would make only minor conforming concentrations of assets. that adequately capitalized credit amendments to the text of the section. unions transfer the earnings retention Current Section 702.108 Risk amount from undivided earnings to Section 702.111 Net Worth Restoration Mitigation Credit their regular reserve account. Plans (NWRPs) This proposed rule would eliminate Section 702.107 Prompt Corrective The proposed rule would renumber § 702.108 regarding the risk mitigation Action for Undercapitalized Credit current § 702.206 as proposed § 702.111, credit. The risk mitigation credit Unions and would make only minor conforming provides a system for reducing a credit The proposed rule would renumber amendments to the text of most of the union’s risk-based capital requirement if current § 702.202 as proposed § 702.107, subsections, with a few exceptions it can demonstrate significant mitigation and would make only minor conforming discussed in more detail below. of credit or interest rate risk. Credit amendments to the text of the section. 111(c) Contents of NWRP unions have rarely taken advantage of Consistent with the proposed risk mitigation credits, with only one elimination of the regular reserve Proposed § 702.111(c)(1)(i) would credit union receiving a risk mitigation requirement in current § 702.401(b), provide that the contents of an NWRP credit. The review of a credit union’s proposed § 702.107(a)(1) would be must specify a quarterly timetable of application for a risk mitigation credit amended to remove the requirement steps the credit union will take to requires a substantial commitment of that undercapitalized credit unions increase its net worth ratio and risk- NCUA and credit union resources. In transfer the earnings retention amount based capital ratio, if applicable, so that practice, it is very difficult to determine from undivided earnings to their regular it becomes adequately capitalized by the the validity of the credit union’s reserve account. end of the term of the NWRP, and will mitigation efforts and how much Section 702.108 Prompt Corrective remain so for four (4) consecutive mitigation credit to allow. Action for Significantly calendar quarters; and that if complex, the credit union is subject to a RBNW Mandatory and Discretionary Undercapitalized Credit Unions requirement that may require a net Supervisory Actions The proposed rule would renumber current § 702.203 as proposed § 702.108, worth ratio higher than 6 percent to Section 216(a)(2) of the FCUA directs and would make only minor conforming become adequately capitalized. The NCUA to take prompt corrective actions amendments to the text of the section. proposed rule would add the italicized to resolve the problems of insured credit Consistent with the proposed words ‘‘and risk-based capital ratio, if unions.65 To facilitate this purpose, the elimination of the regular reserve applicable’’ above to clarify that an FCUA defined five regulatory capital requirement in current § 702.401(b), NWRP prepared by a complex credit categories that include capital proposed § 702.108(a)(1) would be union must specify the steps the credit thresholds for a defined net worth ratio amended to remove the requirement union will take to increase its risk-based and risk-based capital measure for that significantly undercapitalized capital ratio. ‘‘complex’’ credit unions. These five credit unions transfer the earnings In addition, consistent with the PCA categories are: Well capitalized, retention amount from undivided proposed elimination of the regular adequately capitalized, earnings to their regular reserve reserve requirement in current undercapitalized, significantly account. § 702.401(b), proposed undercapitalized, and critically § 702.111(c)(1)(ii) would be amended to undercapitalized. Credit unions that fail 66 Credit union defined as ‘‘new credit unions’’ remove the requirement that credit under section 1790(d)(2) of the FCUA are subject to to meet these capital measures are an alternative PCA system. unions transfer the earnings retention 67 The requirements would be moved to proposed amount from undivided earnings to 65 12 U.S.C. 1790d(a)(2). §§ 702.106 through 702.109. their regular reserve account.

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111(g) NWRP Not Approved Upon the effective date of a final rule, The proposed rule eliminates the cross 111(g)(4) Submission of Multiple federal credit unions would close out references to the regular reserve Unapproved NWRPs the regular reserve balance into requirement as discussed in more detail undivided earnings. A state-chartered, in each corresponding part of the Proposed § 702.111(g)(4) would federally insured credit union may still section-by-section analysis. provide that the submission of more be required to maintain a regular reserve than two NWRPs that are not approved account by its respective state Section 702.113 Full and Fair is considered an unsafe and unsound supervisory authority. Disclosure of Financial Condition condition and may subject the credit The Board initially included the The proposed rule would renumber union to administrative enforcement regular reserve in part 702 for purposes current § 702.402 as proposed § 702.113, actions under section 206 of the of continuity from past regulatory and would make only minor conforming FCUA.68 NCUA regional directors have expectations that involved this account amendments to the text of the section expressed concerns that some credit to ease credit unions’ transition to the with one exception, which is discussed unions have in the past submitted then new PCA rules. The regular reserve in more detail below. multiple NWRPs that could not be account is not necessary to satisfying approved due to non-compliance with the statutory ‘‘earnings retention 113(d) Charges for Loan Losses the requirements of the current rule, requirement’’ and is not required under Consistent with the proposed resulting in delayed implementation of GAAP. CUMAA requires credit unions elimination of the regular reserve actions to improve the credit union’s net that are not well capitalized to requirement in current § 702.401(b), worth. The proposed amendments are ‘‘annually set aside as net worth an proposed § 702.113(d) would be intended to clarify that submitting amount equal to not less than 0.4 amended to remove paragraph (d)(4) of multiple NWRPs that are rejected by percent of its total assets.’’ 69 The the current rule, which provided that NCUA, or the applicable state official, earnings retention requirement in the maintenance of an ALLL shall not because of the inability of the credit current § 702.201(a) requires a credit affect the requirement to transfer union to produce an acceptable NWRP union that is not well capitalized to earnings to a credit union’s regular is an unsafe and unsound practice and increase the ‘‘dollar amount of its net reserve when required under subparts B may subject the credit union to further worth either in the current quarter, or or C of this part. actions as permitted under the FCUA. on average over the current and three Section 702.114 Payment of Dividends preceding quarters by an amount 111(j) Termination of NWRP equivalent to at least 1/10th percent of The proposed rule would renumber Proposed § 702.111(j) would provide total assets.’’ Under the current rule, the current § 702.402 as proposed § 702.114 that, for purposes of part 702, an NWRP credit union must then ‘‘quarterly and make a number of amendments to terminates once the credit union has transfer that amount’’ from undivided the text of subsections (a) and (b), and been classified as adequately capitalized earnings to the regular reserve account. add new subsection (c). or well capitalized and for four Increasing net worth alone satisfies the 114(a) Restriction on Dividends consecutive quarters. The proposed statutory earnings retention paragraph would also provide as an requirement. The additional step of Current § 702.402(a) permits credit example that if a credit union with an transferring earnings from the unions with a depleted undivided active NWRP attains the classification as undivided earnings account to the earnings balance to pay dividends out of adequately capitalized on December 31, regular reserve account is not necessary the regular reserve account without 2015, this would be quarter one and the to meet the PCA statutory requirement. regulatory approval, as long as the credit fourth consecutive quarter would end The regular reserve was initially union will remain at least adequately September 30, 2016. The proposed incorporated into the earnings retention capitalized. Proposed § 702.114(a), paragraph is intended to provide process because of familiarity. Prior to however, would allow only credit clarification for credit unions on the PCA, credit unions used the regular unions that have substantial net worth, timing of an NWRP’s termination. reserve account under the former but no undivided earnings, to pay reserving process prescribed by the now dividends without regulatory approval. Section 702.112 Reserves 70 repealed section 116 of the FCUA. 114(b) Payment of Dividends if Retained The proposed rule would renumber However, examiner experience indicates Earnings Depleted current § 702.401 as proposed § 702.112. that since PCA was first implemented, Consistent with the text of current the regular reserve account in part 702 Proposed § 702.114(b) would provide § 702.401(a), it also would require that has been a source of unnecessary that well capitalized credit unions could each credit union establish and confusion. Some credit unions have pay dividends only if their net worth maintain such reserves as may be continued to make transfers as if the classification do not fall below required by the FCUA, by state law, by repealed section 116 were still in force. adequately capitalized. As with the regulation, or, in special cases, by the Other credit unions have confused the current § 702.402(b)(2), proposed NCUA Board or appropriate state purpose of the regular reserve in the § 702.114(b)(2) would require approval official. current PCA process. Thus, some credit from the appropriate Regional Director, Regular reserve account. As unions have made earnings transfers and if state-chartered, the appropriate mentioned above, the proposed rule that are not required and others have state official, if after payment of the would eliminate current § 702.401(b) done so without first increasing net dividend the credit union’s net worth regarding the regular reserve account worth. classification would fall below from the earnings retention process. For these reasons, the Board now adequately capitalized. In addition, the Additionally, the process and substance considers the regular reserve account to proposed rule would require that the of requesting permission for charges to be obsolete and proposes its elimination credit union’s request for written the regular reserve would be eliminated upon the effective date of a final rule. approval include the credit union’s plan upon the effective date of a final rule. for eliminating any negative retained 69 12 U.S.C. 1790(e)(1). earnings balance. Secondary capital 68 12 U.S.C. 1786 and 1790d. 70 12.U.S.C. 1762. accounts would continue to be excluded

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as a direct source of dividend payments. Section 702.201 Scope and Definition Section 702.203 Prompt Corrective Dividends would not be considered Action for Adequately Capitalized New operating losses and could not be paid The proposed rule would renumber Credit Unions out of secondary capital. current § 702.301 as proposed § 702.201. The proposed rule would eliminate the The proposed rule would renumber 114(c) Restriction on Payments of ability of a credit union to regain a current § 702.303 as proposed § 702.203, Dividends if, After Payment of designation of new after reporting total and would make only minor conforming Dividends, the Credit Union’s Net assets in excess of $10 million. amendments to the text of the section. Consistent with the proposed Worth Ratio Would Be Less Than 6 Section 216(b)(2) of the FCUA Percent elimination of the regular reserve requires the NCUA to prepare requirement in current § 702.401(b), Proposed § 702.114(c) would prohibit regulations that apply to new credit proposed § 702.203 would be amended a credit union from unreasonably unions. The FCUA further requires that to remove the requirement that dissipating its capital through excessive rules for new credit unions prevent adequately capitalized credit unions dividend payments or a refund of evasion of the purpose of section 216, transfer the earnings retention amount interest in a manner that would which provides new credit unions a from undivided earnings to their regular undermine the safety and soundness of period of time to accumulate net worth. reserve account. the credit union. In particular, the NCUA recently conducted a postmortem proposed rule would prohibit a credit review of a credit union failure that Section 702.204 Prompt Corrective union currently classified as well caused a loss to the NCUSIF. The review Action for Moderately Capitalized, Marginally Capitalized or Minimally capitalized from paying dividend rates revealed that the credit union Capitalized New Credit Unions that are higher than the prevailing intentionally reduced its total assets market rates, declaring a non-repetitive below $10 million to regain the The proposed rule would renumber dividend, or approving a refund of designation ‘‘new’’ credit union under current § 702.304 as proposed § 702.204, interest if, after the payment of the current part 702 and the associated and would make only minor conforming dividend, the credit union’s net worth lower net worth requirement. Shifting amendments to the text of the section. ratio would decline to less than 6 back and forth between the minimum Consistent with the proposed percent in the current quarter. This new capital requirement for ‘‘new’’ and all elimination of the regular reserve provision would prevent the unsafe other credit unions resulted in slowed requirement in current § 702.401(b), dissipation of capital through the capital accumulation, which which is discussed in more detail payment of special or bonus dividends contributed to the loss incurred by the below, proposed § 702.204(a)(1) would or interest refunds while still allowing NCUSIF. Accordingly, NCUA is now be amended to remove the requirement for continuity of operations. proposing to amend the definition of that such credit unions transfer the ‘‘new’’ credit union in current § 702.301 earnings retention amount from B. Subpart B—Alternative Prompt to eliminate such practices in the future. undivided earnings to their regular Corrective Action for New Credit Unions In general, credit unions attaining an reserve account. The proposed rule would add new asset size of $10 million begin to offer Section 702.205 Prompt Corrective subpart B, which would contain most of a greater range of services and loans, Action for Uncapitalized New Credit the capital adequacy rules that would which increase the credit union’s Unions complexity and risk to the NCUSIF. In apply to ‘‘new’’ credit unions. Section The proposed rule would renumber the event a new credit union reports 216(b)(2)(B)(iii) of the FCUA defines a current § 702.305 as proposed § 702.205, total assets of over $10 million and then ‘‘new’’ credit union as one that has been and would make only minor conforming subsequently declines to under $10 in operation for 10 years or less, or has amendments to the text of the section. $10 million or less in total assets.71 million, the additional PCA regulatory The current net worth measures, net requirements under the proposed rule Section 702.206 Revised Business worth classification, and text of the PCA would not be substantially increased. Plans (RBP) for New Credit Unions requirements applicable to new credit Both new credit unions and non-new The proposed rule would renumber unions would be renumbered. They credit unions with net worth ratios of current § 702.306 as proposed § 702.206, would remain mostly unchanged in the less than 6 percent, but over 2 percent, would make mostly minor conforming proposed rule, however, except for the are required under either § 702.206 or amendments to the text of the section, following substantive amendments: § 702.111 of the proposal to operate and would add new § 702.206(g)(3). under substantially similar plans to (1) Elimination of the regular reserve Consistent with the proposed restore their net worth. For example, a account requirement in current elimination of the regular reserve new credit union with a net worth ratio § 702.401(b) and all cross references to requirement in current § 702.401(b), of 5 percent is required to operate under the requirement; which is discussed in more detail a revised business plan, and a non-new (2) Addition of new § 701.206(f)(3) below, proposed § 702.206(b)(3) would credit union with a net worth ratio of 5 be amended to remove the requirement clarifying that the submission of more percent is required to operate under a than two revised business plans would that new credit unions transfer the NWRP. Therefore, any burden earnings retention amount from be considered and unsafe and unsound associated with this change to the condition; and undivided earnings to their regular requirements of part 702 should be reserve account. (3) Amendment of the requirements of minimal. current § 702.403 regarding the payment 206(g)(3) Submission of Multiple of dividends. Section 702.202 Net Worth Categories Unapproved Revised Business Plans for New Credit Unions Each of these substantive Proposed § 702.206(g)(3) would amendments is discussed in more detail The proposed rule would renumber provide that the submission of more below. current § 702.302 as proposed § 702.202, than two RBPs that are not approved is and would make only minor conforming considered an unsafe and unsound 71 12 U.S.C. 1790d(b)(2)(B)(iii). amendments to the text of the section. condition and may subject the credit

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union to administrative enforcement financial condition requirements for capitalized from paying dividend rates actions under section 206 of the new credit unions are intended. that are higher than the prevailing FCUA.72 NCUA regional directors have Section 702.210 Payment of Dividends market rates, declaring a non-repetitive expressed concerns that some credit dividend, or approving a refund of unions have in the past submitted The proposed rule would reorganize interest if, after the payment of the multiple RBPs that could not be the rules regarding the payment of dividend or a refund of interest, the approved due to non-compliance with dividends contained in the current credit union’s net worth ratio would the requirements of the current rule, § 702.403, which also apply to new decline to less than 6 percent in the resulting in delayed implementation of credit unions, to new § 702.210 of the current quarter. This new provision proposed rule. The proposed rule would actions to improve the credit union’s net would prevent the unsafe dissipation of make a number of amendments to the worth. The proposed amendments are capital through the payment of special text of paragraphs (a) and (b) of the intended clarify that submitting or bonus dividends or interest refunds current rule, and add a new paragraph multiple RBPs that are rejected by while still allowing for continuity of (c). Each of these changes is discussed NCUA, or the state official, because of operations. the failure of the credit union to in more detail below. produce an acceptable RBP is an unsafe 210(a) Restriction on Dividends C. Part 747—Administrative Actions, and unsound practice and may subject Adjudicative Hearings, Rules of Practice the credit union to further actions as Current § 702.402(a) permits credit and Procedure, and Investigations permitted under the FCUA. unions with a depleted undivided earnings balance to pay dividends out of Subpart L—Issuance, Review and Section 702.207 Incentives for New the regular reserve account without Enforcement of Orders Imposing Prompt Credit Unions regulatory approval, as long as the credit Corrective Action union will remain at least adequately The proposed rule would renumber Section 747.2006 Review of Order current § 702.307 as proposed § 702.207, capitalized. Proposed § 702.210(a), however, would allow only new credit Imposing Individual Minimum Capital and would make only minor conforming Requirements amendments to the text of the section. unions that have substantial net worth, but no undivided earnings, to pay Section 216(k) of the FCUA provides Section 702.208 Reserves dividends without regulatory approval. that ‘‘material supervisory The proposed rule would add new 210(b) Payment of Dividends if Retained determinations, including decisions to § 702.208 regarding reserves for new Earnings Depleted require prompt corrective action, made credit unions to the rule and, consistent Proposed § 702.210(b) would provide . . . by [NCUA] officials other than the with the text of current reserve that well capitalized new credit unions [NCUA] Board may be appealed to the requirement at § 702.401(a), would could pay dividends only if their net [NCUA] Board’’ through an independent require that each new credit union worth classification do not fall below appellate process ‘‘pursuant to separate establish and maintain such reserves as adequately capitalized. As with the procedures prescribed by regulation.’’ 73 may be required by the FCUA, by state current § 702.402(b)(2), proposed Consistent with the requirements of law, by regulation, or in special cases by § 702.210(b)(2) would require approval section 216(k), decisions of NCUA staff the NCUA Board or appropriate state from the appropriate Regional Director, to impose a discretionary supervisory official. and if state-chartered, the appropriate action (including imposing individual As explained under § 702.112, the state official, if after payment of the minimum capital requirements on a proposed rule would eliminate the dividend the credit union’s net worth credit union) would continue to be regular reserve account under current classification would fall below treated as ‘‘material supervisory § 702.402(b) from the earnings retention adequately capitalized. In addition, the determinations.’’ Proposed § 747.2006 requirement. Additionally the process proposed rule would require that the would require that NCUA provide and substance of requesting permission credit union’s request for written reasonable prior notice and an for charges to the regular reserve would approval include the credit union’s plan independent process for appealing be eliminated upon the effective date of for eliminating any negative retained NCUA staff decisions to impose a final rule. Upon the effective date of earnings balance. Secondary capital individual minimal capital a final rule federal credit unions would accounts would continue to be excluded requirements (IMCR) under proposed close out the regular reserve balance as a direct source of dividend payments. § 702.105. into undivided earnings. A federally Dividends would not be considered insured state chartered credit union may operating losses and could not be paid 2006(a) Notice of Proposed Individual still be required to maintain a regular out of secondary capital. Minimum Capital Requirements reserve account as dictated by state law or by its respective state supervisory 210(c) Restriction on Payments of Proposed § 747.2006(a) would require authority. Dividends if, After Payment of NCUA to provide a credit union with Dividends, the Credit Union’s Net reasonable prior notice when NCUA Section 702.209 Full and Fair Worth Ratio Would Be Less Than 6 proposes to impose IMCR for a Disclosure of Financial Condition Percent particular credit union pursuant to The proposed rule would move the Proposed § 702.210(c) would prohibit proposed § 702.105. In addition, the full and fair disclosure of financial a new credit union from unreasonably proposed rule would require NCUA to condition requirements contained in the dissipating its capital through excessive forward a copy of the notifying letter to current § 702.402, and applicable to new dividend payments or a refund of the appropriate state supervisory credit unions, to new § 702.209 of the interest in a manner that would authority (SSA) if a state-chartered proposed rule. No substantive changes undermine the safety and soundness of credit union would be subject to an to the current full and fair disclosure of the credit union. In particular, the IMCR. proposed rule would prohibit a new 72 12 U.S.C. 1786 and 1790d. credit union currently classified as well 73 Section 1790d(k).

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2006(b) Contents of the Notice established for the credit union, or D. Other Conforming Changes to the Proposed § 747.2006(b) would require whether that proposed requirement Regulations that the notice of intention to impose should be adopted in modified form, In addition to the amendments IMCR for a credit union based on based on a review of the credit union’s discussed above, the proposed rule particular capital conditions at a credit response and other relevant would make minor conforming union state all of the following: (1) The information. The proposed rule would amendments to §§ 700.2, 701.21, 701.23, credit union’s net worth ratio, risk- require NCUA’s decision to address 701.34, 703.14, 713.6, 723.7, 747.2001, based capital ratio and net worth comments received within the response 747.2002, and 747.2003. The classification. (2) The specific minimum period from the credit union and the conforming amendments would capital levels that the NCUA Board appropriate state supervisory authority primarily involve updating terminology intends to impose on the credit union (if a state-chartered credit union is and cross citations to proposed part 702 under the IMCR, and the specific causes involved); and to state the level of and proposed § 747.2006. No for determining that the higher IMCR is capital required, the schedule for substantive changes are intended by necessary or appropriate for the credit compliance with this requirement, and these amendments. union. (3) The proposed schedule for any specific remedial action the credit III. Effective Date compliance with the new requirement. union could take to eliminate the need (4) That the credit union must file a for continued applicability of the IMCR. How much time would credit unions written response to the notice, which In addition, the proposal would require have to implement these new shall be no less than 30 calendar days NCUA to provide the credit union and requirements? the appropriate SSA (if a state-chartered from the date of service of the notice. The proposed amendments would go In addition, proposed § 747.2006(b) credit union is involved) with a written into effect approximately 18 months would provide that the NCUA Board decision on the IMCR, addressing the after the publication of a final rule in may extend the time period for good substantive comments made by the the Federal Register. This would give cause, and that the time period for credit union and setting forth the credit unions lead time to plan for the response by the insured credit union decision and the basis for that decision. new risk-based capital ratio may be shortened for good cause when, Finally, proposed § 747.2006(e) would requirements and other proposed in the opinion of NCUA, the condition provide that this decision represents changes to part 702. During the 18 of the credit union so requires, and final agency action; and that the IMCR month implementation period, credit NCUA informs the credit union of the becomes effective and binding upon the unions would be required to continue to shortened response period in the notice; credit union upon receipt of the comply with current part 702. The or with the consent of the credit union. decision by the credit union. Board believes this implementation 2006(c) Contents of Response to Notice 2006(f) Request To Modify or Rescind period is necessary to allow credit Proposed § 747.2006(c) would require IMCR unions to make adjustments to internal that the credit union’s response to a systems, balance sheets and operations Proposed § 747.2006(f) would provide well in advance of the effective date. notice under § 747.2006(b) of this that the IMCR shall remain in effect section include the following: (1) An while such request is pending unless IV. Regulatory Procedures explanation of why it contends the otherwise ordered by the NCUA Board, Regulatory Flexibility Act IMCR is not an appropriate exercise of but would permit a credit union that is The Regulatory Flexibility Act discretion under this part; (2) a request subject to an existing IMCR to request in (RFA) 74 requires NCUA to provide an that the NCUA Board modify or not writing that the NCUA Board reconsider initial regulatory flexibility analysis issue the IMCR; (3) any information, the terms of the IMCR due to changed with a proposed rule to certify that the mitigating circumstances, circumstances. In addition the proposed documentation, or other evidence in rule will not have a significant rule would provide that a request under economic impact on a substantial support of the credit union’s position proposed § 747.2006(f) that remains that the credit union wants NCUA to number of small entities (defined for pending 60 days following receipt by consider in deciding whether to purposed of the RFA to include credit the NCUA Board is deemed granted. establish or to amend an IMCR for the unions with assets less than or equal to credit union; and (4) if desired, a 2006(g) Ombudsman $50 million) and publish its certification request for a recommendation from the and a short explanatory statement in the NCUA’s Ombudsman pursuant to Proposed § 747.2006(g) would permit Federal Register also with the proposed § 747.2006(g). credit unions to request in writing the rule.75 The proposed amendments to recommendation of NCUA’s part 702 will primarily impact only 2006(d) Failure To File Response ombudsman to modify or to not issue a credit unions with more than $50 Proposed § 747.2006(d) would proposed IMCR under § 747.2006(b), or million in total assets. NCUA recognizes provide that failure by the credit union to modify or rescind an existing that there may, however, be some to respond within 30 days, or such other directive due to changed circumstances burden associated with the amendments time period as may be specified by under § 747.2006(f). However, the to the current rule relating to additional NCUA, may constitute a waiver of any proposed rule would provide that a data that will need to be collected on objections to the proposed IMCR or to credit union that fails to request the the Call Report; the elimination of the the schedule for complying with it, ombudsman’s recommendation in a regular reserve requirement; and unless NCUA has provided an extension response under § 747.2006(c), or in a changes to the payment of dividends. In of the response period for good cause. request under § 747.2006(f), shall be particular, implementation of the deemed to have waived the opportunity proposed rule will likely impose some 2006(e) Final Decision by NCUA to do so. Finally, the proposed rule one-time costs associated with Proposed § 747.2006(e) would provide would require the ombudsman to personnel training and updates to that after the expiration of the response promptly notify the credit union and the period, NCUA will decide whether or NCUA Board of his or her 74 5 U.S.C. 601 et seq. not the proposed IMCR should be recommendation. 75 78 FR 4032 (Jan. 18, 2013).

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systems for calculating regulatory Estimated Burden per Respondent: 1775 Duke Street, Alexandria, Virginia capital. NCUA believes these one-time One-time recordkeeping, 122 hours; on- 22314–3428. implementation costs will not constitute going recordkeeping, 20 hours; one time Executive Order 13132 a significant economic impact on small policy review and revision, 20 hours. credit unions. Accordingly, the NCUA Title of Information Collection: Risk- Executive Order 13132 encourages Board certifies the proposed rule will Based Capital Ratio policy implications independent regulatory agencies to not have a significant economic impact for complex credit unions. consider the impact of their actions on on a substantial number of small credit Affected Public: Complex Credit state and local interests. NCUA, an unions. Unions. independent regulatory agency as defined in 44 U.S.C. 3502(5), voluntarily Paperwork Reduction Act Estimated Number of Respondents: 2,237. complies with the executive order to The Paperwork Reduction Act of 1995 Estimated Burden per Respondent: adhere to fundamental federalism (PRA) applies to rulemakings in which One-time policy review and revision, 40 principles. This proposed rule will an agency by rule creates a new hours. apply to all federally insured natural paperwork burden on regulated entities Total Estimated Annual Burden: One- person credit unions, including or increases an existing burden.76 For time recordkeeping and disclosures, federally insured, state-chartered purposes of the PRA, a paperwork (122 hours * non-complex credit natural person credit unions. burden may take the form of a reporting unions, or 162 hours * complex credit Accordingly, it may have a direct effect or recordkeeping requirement, both unions); ongoing recordkeeping and on the states, on the relationship referred to as information collections. disclosures (20 hours * all credit between the national government and The proposed changes to part 702 unions). the states, or on the distribution of impose new information collection Submission of comments. NCUA power and responsibilities among the requirements. As required by the PRA, considers comments by the public on various levels of government. This NCUA is submitting a copy of this this proposed collection of information impact is an unavoidable consequence proposal to OMB for its review and in: of carrying out the statutory mandate to approval. Persons interested in • Evaluating whether the proposed adopt a system of PCA to apply to all submitting comments with respect to collection of information is necessary federally insured, natural person credit the information collection aspects of the for the proper performance of the unions. Throughout the rulemaking proposed rule should submit them to functions of NCUA, including whether process, NCUA has consulted with OMB at the address noted below. the information will have a practical representatives of state regulators NCUA has determined that the use; regarding the impact of PCA on state- proposed changes to part 702 will have • Evaluating the accuracy of NCUA’s chartered credit unions. The comments some one-time costs associated with estimate of the burden of the proposed and suggestions of those state regulators updating internal policies, and updating collection of information, including the are reflected in the proposed rule. data collection and reporting systems validity of the methodology and for preparing Call Reports. NCUA Assessment of Federal Regulations and assumptions used; Policies on Families estimates that all 6,681 credit unions • Enhancing the quality, usefulness, NCUA has determined that this will have to amend their procedures and and clarity of the information to be proposed rule will not affect family systems for preparing Call Reports. collected; and well-being within the meaning of However, a separate notice will be • Minimizing the burden of collection published for comment on the section 654 of the Treasury and General of information on those who are to Government Appropriations Act, 1999, regulatory reporting requirements. respond, including through the use of In addition, NCUA estimates that Public Law 105–277, 112 Stat. 2681 appropriate automated, electronic, approximately 2,606 federally insured (1998). mechanical, or other technological natural person credit unions hold asset- collection techniques or other forms of List of Subjects backed investments and would be information technology; e.g., permitting subject to the proposed due diligence 12 CFR Part 700 electronic submission of responses. requirements. Credit unions are already The PRA requires OMB to make a Credit unions. required to perform due diligence under decision concerning the collection of §§ 703.6, 703.10, and 703.12 of NCUA’s 12 CFR Part 701 information contained in the proposed regulations. Therefore, NCUA does not regulation between 30 and 60 days after Advertising, Aged, Civil rights, Credit, believe there will be any new burden publication of this document in the Credit unions, Fair housing, Individuals associated with this requirement. Federal Register. Therefore, a comment with disabilities, Insurance, Marital Finally, NCUA estimates that status discrimination, Mortgages, approximately 33.5 percent, or 2,237 to OMB is best assured of having its full effect if OMB receives it within 30 days Religious discrimination, Reporting and credit unions, will be defined as recordkeeping requirements, Sex ‘‘complex’’ under the proposed rule and of publication. This does not affect the deadline for the public to comment to discrimination, Signs and symbols, will have new data collection Surety bonds. requirements related to the new risk- NCUA on the substantive aspects of the based capital requirements. proposed regulation. 12 CFR Part 702 Title of Information Collection: Risk- Comments on the proposed Credit unions, Reporting and based Capital Ratio data. information collection requirements recordkeeping requirements. Frequency of Response: On occasion should be sent to: and quarterly. Office of Information and Regulatory 12 CFR Part 703 Affected Public: All credit unions. Affairs, OMB, Attn: Shagufta Ahmed, Credit unions, Investments, Reporting Estimated Number of Respondents: Room 10226, New Executive Office and recordkeeping requirements. 6,681. Building, Washington, DC 20503, with a copy to the Secretary of the Board, 12 CFR Part 713 76 44 U.S.C. 3507(d); 5 CFR part 1320. National Credit Union Administration, Bonds, Credit unions, Insurance.

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12 CFR Part 723 b. In paragraph (d)(1)(i) remove the § 702.1 Authority, purpose, scope, and other supervisory authority. Credit unions, Loan programs— words ‘‘net worth’’ and add in their business, Reporting and recordkeeping place the word ‘‘capital’’. (a) Authority. Subparts A and B of this requirements. part and subpart L of part 747 of this Appendix to § 701.34 [Amended] chapter are issued by the National 12 CFR Part 747 ■ 7. In the appendix to § 701.34, amend Credit Union Administration (NCUA) Administrative practice and the paragraph beginning ‘‘8. Prompt pursuant to sections 120 and 216 of the procedure, Bank deposit insurance, Corrective Action’’ by removing the Federal Credit Union Act (FCUA), 12 Claims, Credit unions, Crime, Equal words ‘‘net worth classifications (see 12 U.S.C. 1776 and 1790d (section 1790d), access to justice, Investigations, CFR 702.204(b)(11), 702.304(b) and as revised by section 301 of the Credit Lawyers, Penalties. 702.305(b), as the case may be)’’ and Union Membership Access Act, Public adding in their place the words ‘‘capital Law 105–219, 112 Stat. 913 (1998). By the National Credit Union (b) Purpose. The express purpose of classifications (see 12 CFR part 702)’’. Administration Board on January 23, 2014. prompt corrective action under section Gerard Poliquin, ■ 8. Revise part 702 to read as follows: 1790d is to resolve the problems of Secretary of the Board. federally insured credit unions at the For the reasons discussed above, PART 702—CAPITAL ADEQUACY least possible long-term loss to the NCUA Board proposes to amend 12 CFR Sec. National Credit Union Share Insurance parts 700, 701, 702, 703, 713, 723, and 702.1 Authority, purpose, scope, and other Fund. Subparts A and B of this part 747 as follows: supervisory authority. carry out the purpose of prompt 702.2 Definitions. corrective action by establishing a PART 700—DEFINITIONS framework of minimum capital Subpart A—Prompt Corrective Action requirements, mandatory, and ■ 1. The authority citation for part 700 702.101 Capital measures, effective date of discretionary supervisory actions continues to read as follows: classification, and notice to NCUA. applicable according to a credit union’s Authority: 12 U.S.C. 1752, 1757(6), 1766. 702.102 Capital category classification. net worth classification, designed 702.103 Applicability of risk-based capital primarily to restore and improve the § 700.2 [Amended] ratio measure. capital adequacy of federally insured ■ 2. Amend the definition of ‘‘net 702.104 Risk-based capital ratio measure. credit unions. worth’’ in § 700.2 by removing 702.105 Individual minimum capital (c) Scope. This part implements the ‘‘§ 702.2(f)’’ and adding in its place requirements. provisions of section 1790d as they ‘‘§ 702.2’’. 702.106 Prompt corrective action for apply to federally insured credit unions, adequately capitalized credit unions. whether federally- or state-chartered; to PART 701—ORGANIZATION AND 702.107 Prompt corrective action for such credit unions defined as ‘‘new’’ OPERATION OF FEDERAL CREDIT undercapitalized credit unions. pursuant to section 1790d(b)(2); and to UNIONS 702.108 Prompt corrective action for significantly undercapitalized credit such credit unions defined as ■ 3. The authority citation for part 701 unions. ‘‘complex’’ pursuant to section continues to read as follows: 702.109 Prompt corrective action for 1790d(d). Certain of these provisions Authority: 12 U.S.C. 1752(5), 1755, 1756, critically undercapitalized credit unions. also apply to officers and directors of 1757, 1758, 1759, 1761a, 1761b, 1766, 1767, 702.110 Consultation with state officials on federally insured credit unions. This 1782, 1784, 1786, 1787, 1789. Section 701.6 proposed prompt corrective action. part does not apply to corporate credit is also authorized by 15 U.S.C. 3717. Section 702.111 Net worth restoration plans unions. Procedures for issuing, 701.31 is also authorized by 15 U.S.C. 1601 (NWRP). reviewing and enforcing orders and et seq.; 42 U.S.C. 1981 and 3601–3610. 702.112 Reserves. directives issued under this part are set Section 701.35 is also authorized by 42 702.113 Full and fair disclosure of financial forth in subpart L of part 747 of this U.S.C. 4311–4312. condition. chapter. § 701.21 [Amended] 702.114 Payment of dividends. (d) Other supervisory authority. ■ 4. Amend § 701.21(h)(4)(iv) by Subpart B—Alternative Prompt Corrective Neither section 1790d nor this part in removing ‘‘§ 702.2(f)’’ and adding in its Action for New Credit Unions any way limits the authority of the NCUA Board or appropriate state place ‘‘§ 702.2’’. 702.201 Scope and definition. 702.202 Net worth categories for new credit official under any other provision of law § 701.23 [Amended] unions. to take additional supervisory actions to ■ 5. Amend § 701.23(b)(2) by removing 702.203 Prompt corrective action for address unsafe or unsound practices or the words ‘‘net worth’’ and adding in adequately capitalized new credit conditions, or violations of applicable their place the word ‘‘capital’’, and unions. law or regulations. Action taken under removing the words ‘‘or, if subject to a 702.204 Prompt corrective action for this part may be taken independently of, risk-based net worth (RBNW) moderately capitalized, marginally in conjunction with, or in addition to requirement under Part 702 of this capitalized, or minimally capitalized any other enforcement action available chapter, has remained ‘well capitalized’ new credit unions. to the NCUA Board or appropriate state for the six (6) immediately preceding 702.205 Prompt corrective action for official, including issuance of cease and quarters after applying the applicable uncapitalized new credit unions. desist orders, orders of prohibition, RBNW requirement’’. 702.206 Revised business plans (RBP) for suspension and removal, or assessment new credit unions. of civil money penalties, or any other § 701.34 [Amended] 702.207 Incentives for new credit unions. actions authorized by law. ■ 6. Amend § 701.34 as follows: 702.209 Reserves. ■ a. In paragraph (b)(12) by remove the 702.210 Full and fair disclosure of financial § 702.2 Definitions. words ‘‘§§ 702.204(b)(11), 702.304(b) condition. Unless provided otherwise in this and 702.305(b)’’ and add in their place 702.211 Payment of dividends. part, the terms used in this part have the the words ‘‘part 702’’. Authority: 12 U.S.C. 1766(a), 1790d. same meanings as set forth in FCUA

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sections 101 and 216, 12 U.S.C. 1752, particular instrument or five business transfer qualified for true sale 1790d. The following definitions apply days. accounting treatment under GAAP, and to this part: First mortgage real estate loan means for which the transferor credit union Allowance for loan and lease loss loans and lines of credit fully secured retained some limited recourse (i.e. (ALLL) means reserves that have been by first liens on real estate (excluding insufficient recourse to preclude true established through charges against MBLs), where: sale accounting treatment). The term earnings to absorb future losses on (1) The original amortization of the does not include transfers that qualify loans, lease financing receivables, or mortgage exposure does not exceed 30 for true sale accounting treatment but other extensions of credit. years, contain only routine representation and Appropriate regional director means (2) The loan underwriting took into warranty paragraphs that are standard the director of the NCUA regional office account all the borrower’s obligations, for sales on the secondary market having jurisdiction over federally including mortgage obligations, provided the credit union is in insured credit unions in the state where principal, interest, taxes, insurance compliance with all other related the affected credit union is principally (including mortgage guarantee requirements such as capital located or, for credit unions with $10 insurance) and assessments, and requirements. billion or more in assets, the Director of (3) The loan underwriting concluded Mortgage servicing asset (MSA) means the Office of National Examinations and the borrower is able to repay the those assets (net of any related valuation Supervision. exposure using the maximum interest allowances) resulting from contracts to Appropriate state official means the rate that may apply in the first five service loans secured by real estate (that commission, board or other supervisory years, the maximum contract exposure have been securitized or owned by authority having jurisdiction over credit over the life of the mortgage, and others) for which the benefits of unions chartered by the state which verified income. servicing are expected to more than chartered the affected credit union. GAAP means generally accepted adequately compensate the servicer for accounting principles as used in the Call Report means the Call Report performing the servicing. United States. required to be filed by all credit unions NCUSIF means the National Credit Goodwill means an intangible asset under § 741.6(a)(2) of this chapter. Union Share Insurance Fund as defined representing the future economic by 12 U.S.C. 1783. Capital means the equity, as measured benefits arising from other assets Net worth means: by GAAP, available to a credit union to acquired in a business combination cover losses. (e.g., merger) that are not individually (1) The retained earnings balance of Cash equivalents mean short-term identified and separately recognized. the credit union at quarter-end as highly liquid investments that: Intangible assets means those assets determined under GAAP, subject to (1) Have original maturities of 3 that are required to be reported as paragraph (3) of this definition. months or less, at the time of purchase; intangible assets in a credit union’s Call Retained earnings consists of undivided (2) Are readily convertible to known Report, including but not limited to earnings, regular reserves, and any other amounts of cash; and purchased credit card relationships, appropriations designated by (3) Are used as part of the credit goodwill, favorable leaseholds, and core management or regulatory authorities. union’s cash-management activities. deposit value. (2) For a low income-designated Commitment means any legally Investment in CUSO means the credit union, net worth also includes binding arrangement that obligated the unimpaired value of the credit union’s secondary capital accounts that are credit union to extend credit or to aggregate CUSO investments as uninsured and subordinate to all other purchase assets. measured under GAAP on an claims, including claims of creditors, Credit union means a federally unconsolidated basis. shareholders, and the NCUSIF. insured, natural person credit union, Identified losses means those items (3) For a credit union that acquires whether federally- or state-chartered, as that have been determined by an another credit union in a mutual defined by 12 U.S.C. 1752(6). evaluation made by a state or federal combination, net worth also includes CUSO means a credit union service examiner, as measured on the date of the retained earnings of the acquired organization as defined in part 712 and examination, to be chargeable against credit union, or of an integrated set of 741 of this chapter. income, capital and/or valuation activities and assets, less any bargain Delinquent loans means loans that are allowances such as the allowance for purchase gain recognized in either case 60 days or more past due and loans loan and lease losses. Examples of to the extent the difference between the placed on nonaccrual status. identified losses would be assets two is greater than zero. The acquired Derivatives contract means, in classified as losses, off-balance sheet retained earnings must be determined at general, a financial instrument, traded items classified as losses, any provision the point of acquisition under generally on or off an exchange, the value of expenses that are necessary to replenish accepted accounting principles. A which is directly depended upon the valuation allowances to an adequate mutual combination is a transaction in value on or more underlying securities, level, liabilities not shown on the books, which a credit union acquires another equity indices, debt instruments, estimated losses in contingent credit union or acquires an integrated commodities, interest rates other liabilities, and differences in accounts set of activities and assets that is derivative instruments, or any agreed that represent shortages. capable of being conducted and upon pricing index or arrangement. Loans to CUSOs means the aggregate managed as a credit union. Derivatives contracts include interest outstanding loan balance, available (4) The term ‘‘net worth’’ also rate derivatives contracts and any other line(s) of credit from the credit union, includes loans to and accounts in an instrument that poses similar and guarantees the credit union has insured credit union, established counterparty credit risks. Derivatives made to or on behalf of a CUSO. pursuant to section 208 of the Act [12 contracts also include unsettled Loans transferred with limited U.S.C. 1788], provided such loans and securities with a contractual settlement recourse means the total principal accounts: or delivery lag that is longer than the balance outstanding of loans transferred, (i) Have a remaining maturity of more lesser of the market standard for the including participations, for which the than 5 years;

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(ii) Are subordinate to all other claims (4) In order to recognize an agreement explicitly guaranteed as to the timely including those of shareholders, as a qualifying master netting agreement payment of principal and interest by the creditors, and the NCUSIF; for purposes of this part, a credit union full faith and credit of the U.S. (iii) Are not pledged as security on a must conduct sufficient legal review, at Government. loan to, or other obligation of, any party; origination and in response to any Verified income means receipt and (iv) Are not insured by the NCUSIF; changes in applicable law, to conclude retention of corroborative information to (v) Have non-cumulative dividends; with a well-founded basis (and maintain establish the reality of the income (vi) Are transferable; and sufficient written documentation of that supporting the repayment of the loan. (vii) Are available to cover operating legal review) that: Weighted-average life of investments losses realized by the insured credit (i) The agreement meets the means: union that exceed its available retained requirements of paragraph (2) of this (1) For investments in registered earnings. definition of qualifying master netting investment companies (e.g., mutual Net worth ratio means the ratio of the agreement; and funds) and collective investment funds net worth of the credit union to the total (ii) In the event of a legal challenge (e.g., common trusts), the maximum assets of the credit union rounded to (including one resulting from default or weighted-average life or duration target two decimal places. from conservatorship, receivership, of the investment disclosed, directly or New credit union means a federally insolvency, liquidation, or similar indirectly, in the most recent prospectus insured credit union which both has proceeding), the relevant court and or trust instrument (if the maximum been in operation for less than ten (10) administrative authorities would find weighted-average life or duration target years and has $10,000,000 or less in the agreement to be legal, valid, binding, is not disclosed, the weighted-average total assets. and enforceable under the law of life of investments means greater than 5 Off-balance sheet items means items relevant jurisdictions. years, but less than 10 years); such as commitments, contingent items, Risk-based capital ratio means the (2) For investments in money market guarantees, certain repo-style percentage, rounded to two decimal funds, as defined in 17 CFR 270.2a–7, transactions, financial standby letters of places, of the risk-based capital and collective investment funds credit, and forward agreements that are numerator to total risk-weighted assets, operated in accordance with short-term not included on the balance sheet but as calculated in accordance with investment fund rules set forth in 12 are normally reported in the financial § 702.104(a). CFR 9.18(b)(4)(ii)(B)(1) through (3), 1 statement footnotes. Risk-weighted assets means the total year or less; Qualifying master netting agreement risk-weighted assets as calculated in (3) For fixed rate debt obligations and means a written, legally enforceable accordance with § 702.104(c). deposits that are callable in whole, the Senior executive officer means a agreement, provided that: period remaining to the maturity date; senior executive officer as defined by (1) The agreement creates a single (4) For fixed rate debt obligations and § 701.14(b)(2) of this chapter. deposits that are non-callable and non- legal obligation for all individual Shares means deposits, shares, share amortizing (e.g., bullet maturity transactions covered by the agreement certificates, share drafts, or any other instruments), the period remaining to upon an event of default, including depository account authorized by the maturity date; upon an event of conservatorship, federal or state law. receivership, insolvency, liquidation, or Total assets. (1) For each quarter, a (5) For fixed rate debt obligations or similar proceeding, of the counterparty; credit union must elect one of the deposits with periodic principal pay (2) The agreement provides the credit measures of total assets listed in downs (e.g., mortgage-backed union the right to accelerate, terminate, paragraph (2) of this definition to apply securities), the weighted-average life of and close out on a net basis all for all purposes under this part except investments as defined according to transactions under the agreement and to §§ 702.103 through 702.105 (risk-based industry standard calculations, which liquidate or set off collateral promptly capital ratio requirements). include the impact of unscheduled upon an event of default, including (2) Total assets means a credit union’s payments; upon an event of conservatorship, total assets as measured by either— (6) For variable rate debt obligations receivership, insolvency, liquidation, or (i) Average quarterly balance. The and deposits (regardless of whether the similar proceeding, of the counterparty, credit union’s total assets measured by investment amortizes), the period provided that, in any such case, any the average of quarter-end balances of remaining to the next rate adjustment exercise of rights under the agreement the current and three preceding date; will not be stayed or avoided under calendar quarters; (7) For capital stock in mixed- applicable law in the relevant (ii) Average monthly balance. The ownership Government corporations, as jurisdictions, other than in receivership, credit union’s total assets measured by defined in 31 U.S.C. 9101(2), greater conservatorship, resolution under the the average of month-end balances over than 1 year but less than or equal to 3 Federal Deposit Insurance Act, Title II the three calendar months of the years; of the Dodd-Frank Wall Street Reform applicable calendar quarter; (8) For other equity securities, greater and Consumer Protection Act, or under (iii) Average daily balance. The credit than 10 years. any similar insolvency law applicable to union’s total assets measured by the (9) For any other investments not GSEs; average daily balance over the addressed above, the average time to the (3) The agreement does not contain a applicable calendar quarter; or return of a dollar of principal, walkaway clause (that is, a provision (iv) Quarter-end balance. The credit calculated by multiplying each portion that permits a non-defaulting union’s total assets measured by the of principal received by the time it is counterparty to make a lower payment quarter-end balance of the applicable expected to be received (based on a than it otherwise would make under the calendar quarter as reported on the reasonable and supportable estimate of agreement, or no payment at all, to a credit union’s Call Report. that time), and then taking the total of defaulter or the estate of a defaulter, U.S. Government agency means an these time-weighted payments and even if the defaulter or the estate is a net instrumentality of the U.S. Government dividing by the total amount of creditor under the agreement); and whose obligations are fully and principal.

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Subpart A—Prompt Corrective Action (c) Notice to NCUA by filing Call (3) Undercapitalized if: Report. (1) Other than by filing a Call (i) Net worth ratio. The credit union § 702.101 Capital measures, effective date Report, a federally insured credit union of classification, and notice to NCUA. has a net worth ratio of 4.0 percent or need not notify the NCUA Board of a greater; and (a) Capital measure. For purposes of change in its capital measures that (ii) Risk-based capital ratio. The this part, a credit union must determine places the credit union in a lower credit union, if complex, fails to meet its capital classification at the end of capital category; each calendar quarter using the (2) Failure to timely file a Call Report the minimum 8.0 percent total risk following measures: as required under this section in no way based capital requirement. (1) The net worth ratio; and alters the effective date of a change in (4) Significantly undercapitalized if: (2) If determined to be applicable capital classification under paragraph (i) The credit union meets the under § 702.103, the risk-based capital (b) of this section, or the affected credit definition of undercapitalized, has a net ratio. union’s corresponding legal obligations worth ratio of less than 5.0 percent, and (b) Effective date of capital under this part. has received notice that its net worth classification. For purposes of this part, restoration plan has not been approved § 702.102 Capital classifications. the effective date of a federally insured (to qualify for a higher net worth credit union’s capital classification shall (a) Capital categories. Except for classification, a significantly be the most recent to occur of: credit unions defined as ‘‘new’’ under undercapitalized credit union must (1) Quarter-end effective date. The subpart B of this part, a credit union have a net worth restoration plan last day of the calendar month following shall be deemed to be classified (Table approved by NCUA); 1 of this section)— the end of the calendar quarter; or (1) Well capitalized if: (ii) The credit union has a net worth (2) Corrected capital classification. (i) Net worth ratio. The credit union ratio of 2.0 percent or more but less than The date the credit union received has a net worth ratio of 7.0 percent or 4.0 percent; or subsequent written notice from NCUA greater; and (iii) The credit union has a net worth or, if state-chartered, from the (ii) Risk-based capital ratio. The ratio of 4.0 percent or more but less than appropriate state official, of a decline in credit union, if complex, has a total risk- 5.0 percent, and either— capital classification due to correction based capital ratio of 10.5 percent or (A) Fails to submit an acceptable net of an error or misstatement in the credit greater. union’s most recent Call Report; or worth restoration plan within the time (2) Adequately capitalized if: prescribed in § 702.111; or (3) Reclassification to lower category. (i) Net worth ratio. The credit union The date the credit union received has a net worth ratio of 6.0 percent or (B) Materially fails to implement a net written notice from NCUA or, if state- greater; and worth restoration plan approved by the chartered, the appropriate state official, (ii) Risk-based capital ratio. The NCUA Board. of reclassification on safety and credit union, if complex, has a total risk- (5) Critically undercapitalized if it has soundness grounds as provided under based capital ratio of 8.0 percent or a net worth ratio of less than 2.0 §§ 702.102(b) or 702. 202(d). greater. percent.

TABLE 1 TO § 702.102—CAPITAL CATEGORIES

A credit union’s capital classification is . . . Net worth ratio Risk-based capital ratio And subject to following condition(s) . . .

Well Capitalized ...... 7% or above ...... 10.5% or above ...... Must pass both net worth ratio and risk-based capital ratio. Adequately Capitalized ...... 6% to 6.99% ...... 8% to 10.49% ...... Must pass both net worth ratio and risk-based capital ratio. Undercapitalized ...... 4% to 5.99% ...... Less than 8% ...... Must pass both net worth ratio and risk-based capital ratio. Significantly Undercapital- 2% to 3.99% ...... N/A ...... Or if ‘‘undercapitalized at < 5% net worth and fails to ized. timely submit or materially implement an approved net worth restoration plan. Critically Undercapitalized ... Less than 2% ...... N/A ...... None.

(b) Reclassification based on (1) Unsafe or unsound condition. The (c) Non-delegation. The NCUA Board supervisory criteria other than net NCUA Board has determined, after may not delegate its authority to worth. The NCUA Board may reclassify notice and opportunity for hearing reclassify a credit union under a well capitalized credit union as pursuant to § 747.2003 of this chapter, paragraph (b) of this section. adequately capitalized and may require that the credit union is in an unsafe or (d) Consultation with state officials. an adequately capitalized or unsound condition; or The NCUA Board shall consult and seek undercapitalized credit union to comply (2) Unsafe or unsound practice. The to work cooperatively with the with certain mandatory or discretionary NCUA Board has determined, after appropriate state official before supervisory actions as if it were notice and opportunity for hearing reclassifying a federally insured state- classified in the next lower capital pursuant to § 747.2003 of this chapter, chartered credit union under paragraph category (each of such actions that the credit union has not corrected (b) of this section, and shall promptly hereinafter referred to generally as a material unsafe or unsound practice of notify the appropriate state official of its ‘‘reclassification’’) in the following which it was, or should have been, decision to reclassify. circumstances: aware.

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§ 702.103 Applicability of risk-based (2) Risk-weights for on-balance sheet (B) The total amount of current and capital ratio measure. assets. The risk categories and weights non-delinquent first mortgage real estate For purposes of § 702.102, a credit for assets listed on a complex credit loans less than or equal to 25 percent of union is defined as ‘‘complex’’ and a union’s balance sheet are as follows: total assets. risk-based capital ratio requirement is (i) Category 1—zero percent risk- (iv) Category 4—75 percent risk- applicable only if the credit union’s weight. A credit union must assign a weight. A credit union must assign a 75 quarter-end total assets exceed fifty zero percent risk-weight to: percent risk-weight to: million dollars ($50,000,000), as (A) Cash on hand, which includes the (A) The total amount of investments reflected in its most recent Call Report. change fund (coin, currency, and cash with a weighted-average life of greater items), vault cash, vault funds in transit than three years, but less than or equal § 702.104 Risk-based capital ratio and currency supplied from automatic to five years. measures. teller machines. (B) Current and non-delinquent A complex credit union must (B) NCUSIF capital deposit. unsecured credit card loans, other calculate its risk-based capital ratio in (C) Debt instruments unconditionally unsecured loans and lines of credit, accordance with this section. guaranteed by the NCUA or the Federal short-term, small amount loans (STS), (a) Calculation of the risk-based Deposit Insurance Corporation. new vehicle loans, used vehicle loans, capital ratio. To determine its risk-based (D) U.S. Government obligations leases receivable and all other loans. capital ratio a complex credit union directly and unconditionally guaranteed (Excluding loans reported as member must calculate the percentage, rounded by the full faith and credit of the U.S. business loans). to two decimal places, of its risk-based Government, including U.S. Treasury (C) Current and non-delinquent first capital numerator as described in bills, notes, bonds, zero coupon bonds, mortgage real estate loans greater than paragraph (b) of this section to its total and separate trading of registered 25 percent of total assets and less than risk-weighted assets as described in interest and principal securities or equal to 35 percent of assets. paragraph (c) of this section. (STRIPS). (v) Category 5—100 percent risk- (b) Risk-based capital ratio (E) Non-delinquent student loans weight. A credit union must assign a 100 numerator. The risk-based capital ratio unconditionally guaranteed by a U.S. percent risk-weight to: numerator is the sum of the specific Government agency. (A) Corporate credit union capital elements in paragraph (b)(1) of (ii) Category 2—20 percent risk- nonperpetual capital. this section, minus the regulatory weight. A credit union must assign a 20 (B) The total outstanding principal adjustments in paragraph (b)(2) of this percent risk-weight to: amount of loans to CUSOs. section. (A) Cash on deposit, which includes (C) Current and non-delinquent first (1) Capital elements of the risk-based balances on deposit in insured financial mortgage real estate loans greater than capital ratio numerator. The capital institutions and deposits in transit. 35 percent of total assets. elements of the risk-based capital These amounts may or may not be (D) Delinquent first mortgage real numerator are: subject to withdrawal by check, and estate loans. (i) Undivided earnings (including any they may or may not bear interest. (E) Other real estate-secured loans less regular reserve); Examples include overnight accounts, than or equal to 10 percent of assets. (ii) Appropriation for non-conforming corporate credit union daily accounts, (F) Member business loans less than investments; money market accounts, and checking or equal to 15 percent of assets. (iii) Other reserves; accounts. (G) Loans held for sale. (iv) Equity acquired in merger; (B) Cash equivalents (investments (H) The total amount of any (v) Net income; with original maturities of three months foreclosures and repossessed assets. (vi) ALLL, limited to 1.25% of risk or less). Cash equivalents are short-term, (I) Land and building, less assets; highly liquid non-security investments depreciation on building. (vii) Secondary capital accounts that have an original maturity of 3 (J) Any other fixed assets, such as included in net worth (as defined in months or less at the time of purchase, furniture and fixtures and leasehold § 702.2); and are readily convertible to known improvements, less related depreciation. (viii) Section 208 assistance included amounts of cash, and are used as part of (K) Current non-federally insured in net worth (as defined in § 702.2). the credit union’s cash management student loans. (2) Risk-based capital numerator activities. (L) All other assets not specifically deductions. The elements deducted (C) The total amount of investments assigned a risk-weight but included in from the sum of the risk-based capital with a weighted-average life of one year the balance sheet. elements are: or less. (vi) Category 6—125 percent risk- (i) NCUSIF Capitalization Deposit; (D) Residential mortgages guaranteed weight. A credit union must assign a 125 (ii) Goodwill; by the U.S. Government through the percent risk-weight to the total amount (iii) Other intangible assets; and Federal Housing Administration or the of all other real estate-secured loans (iv) Identified losses not reflected in Department of Veterans Affairs. greater than 10 percent of assets and less the risk-based capital ratio numerator. (E) Loans guaranteed 75 percent or than or equal to 20 percent of assets. (c) Total risk-weighted assets. (1) more by the Small Business (vii) Category 7—150 percent risk- General. Total risk-weighted assets Administration, U.S. Department of weight. A credit union must assign a 150 includes risk-weighted on-balance sheet Agriculture, or other U.S. Government percent risk-weight to: assets as described in paragraph (c)(2) of agency. (A) The total amount of investments this section, plus the risk-weighted off- (iii) Category 3—50 percent risk- with a weighted-average life of greater balance sheet assets in paragraph (c)(3) weight. A credit union must assign a 50 than five years, but less than or equal to of this section, plus the risk-weighted percent risk-weight to: ten years. derivatives in paragraph (c)(4) of this (A) The total amount of investments (B) Any delinquent unsecured credit section, less the risk-based capital with a weighted-average life of greater card loans; other unsecured loans and numerator deductions in paragraph than one year, but less than or equal to lines of credit; short-term, small amount (b)(2) of this section. three years. loans; non-federally guaranteed student

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loans; new vehicle loans; used vehicle features of the asset-backed investment (4) Derivatives. (i) Single derivatives loans; leases receivable; and all other that would materially affect its contract exposure amount. Except as loans (excluding loans reported as performance. modified by paragraph (c)(4)(iii) of this member business loans). (3) Risk-weights for off-balance sheet section, the exposure amount for a (C) The total amount of all other real activities. The risk-weighted amounts single derivatives contract that is not estate-secured loans greater than 20 for all off-balance sheet items are subject to a qualifying master netting percent of assets. determined by multiplying the notional agreement is equal to the sum of the (D) Any member business loans principal, or face value, by the credit union’s current credit exposure greater than 15 percent of assets and less appropriate conversion factor and the and potential future credit exposure than or equal to 25 percent of assets. assigned risk-weight as follows: (PFE) on the derivatives contract. (viii) Category 8—200 percent risk- (i) A 75 percent conversion factor weight. A credit union must assign a 200 with a 100 percent risk-weight for (A) Current credit exposure. The percent risk-weight to: unfunded commitments for member current credit exposure for a single (A) Corporate credit union perpetual business loans. derivatives contract is the greater of the capital. (ii) A 75 percent conversion factor mark-to-fair value of the derivatives (B) The total amount of investments with a 100 percent risk-weight for contract or zero. with a weighted-average life of greater member business loans transferred with (B) Potential future credit exposure than 10 years. limited recourse. (PFE). (1) The PFE for a single (C) The total amount of member (iii) A 75 percent conversion factor derivatives contract, including a business loans greater than 25 percent of with a 50 percent risk-weight for first derivatives contract with a negative assets, other than member business mortgage real estate loans transferred mark-to-fair value, is calculated by loans included in Category 3 (paragraph with limited recourse. multiplying the notional principal (c)(2)(iii) of this section). (iv) A 75 percent conversion factor amount of the derivatives contract by (ix) Category 9—250 percent risk- with a 100 percent risk-weight for other the appropriate conversion factor in weight. A credit union must assign a 250 real estate loans transferred with limited Table 1 of this section. percent risk-weight to: recourse. (2) For a derivatives contract that is (A) The total value of investments in (v) A 75 percent conversion factor structured such that on specified dates CUSOs. with a 100 percent risk-weight for non- any outstanding exposure is settled and (B) The total value of mortgage federally guaranteed student loans the terms are reset so that the fair value servicing assets. transferred with limited recourse. (x) Category 10—1,250 percent risk- (vi) A 75 percent conversion factor of the contract is zero, the remaining weight. A credit union must assign a with a 75 percent risk-weight for all maturity equals the time until the next 1,250 percent risk-weight (8% * 1,250% other loans transferred with limited reset date. = 100%) to an asset-backed investment recourse. (3) For an interest rate derivatives for which the credit union is unable to (vii) A 10 percent conversion factor contract with a remaining maturity of demonstrate, as required under with a 75 percent risk-weight for total greater than one year that meets these paragraph (d) of this section, a unfunded commitments for non- criteria, the minimum conversion factor comprehensive understanding of the business loans. is 0.005.

TABLE 1 TO § 702.104—CONVERSION FACTOR MATRIX FOR DERIVATIVES CONTRACTS

Remaining maturity Interest rate Other

One year or less ...... 0.00 0.10 Greater than one year and less than or equal to five years ...... 0 .005 0.12 Greater than five years ...... 0.015 0.15

(ii) Multiple derivatives contracts Anet, is calculated as Anet = (0.4 × (iii) Recognition of credit risk subject to a qualifying master netting Agross) + (0.6 × NGR × Agross), where: mitigation of collateralized derivatives agreement. Except as modified by (1) Agross equals the gross PFE (that contracts. A credit union may recognize paragraph (c)(4)(iii) of this section, the is, the sum of the PFE amounts as the credit risk mitigation benefits of exposure amount for multiple determined under paragraph (c)(4)(i)(B) financial collateral that secures a derivatives contracts subject to a derivatives contract or multiple of this section for each individual qualifying master netting agreement is derivatives contracts subject to a derivatives contract subject to the equal to the sum of the net current qualifying master netting agreement credit exposure and the adjusted sum of qualifying master netting agreement); (netting set) by using the simple the PFE amounts for all derivatives and approach in paragraph (c)(4)(v) of this contracts subject to the qualifying (2) Net-to-gross Ratio (NGR) equals section. master netting agreement. the ratio of the net current credit (iv) Alternative approach. As an (A) Net current credit exposure. The exposure to the gross current credit alternative to the simple approach, a net current credit exposure is the greater exposure. In calculating the NGR, the credit union may recognize the credit of the net sum of all positive and gross current credit exposure equals the risk mitigation benefits of financial negative mark-to-fair values of the sum of the positive current credit collateral that secures such a contract or individual derivatives contracts subject exposures (as determined under netting set if the financial collateral is to the qualifying master netting paragraph(c)(4)(i)(A) of this section) of marked-to-fair value on a daily basis agreement or zero. all individual derivatives contracts and subject to a daily margin (B) Adjusted sum of the PFE amounts. subject to the qualifying master netting maintenance requirement by applying a The adjusted sum of the PFE amounts, agreement. risk-weight to the exposure as if it were

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uncollateralized and adjusting the percent risk-weight under the analysis required under this section exposure amount calculated under § 702.104(c)(2)(ii), and the credit union for each investment exposure. paragraph (c)(4)(i) of this section using has discounted the fair value of the the collateral approach in paragraph collateral by 20 percent. § 702.105 Individual minimum capital requirements. (c)(4)(v) of this section. The credit union (d) Due diligence requirements for must substitute the exposure amount asset-backed investments. (1) If a credit (a) General. The rules and procedures calculated under paragraph (c)(4)(i)(A) union is unable to demonstrate to the specified in this paragraph (a) apply to or (B) of this section for exposure NCUA a comprehensive understanding the establishment of an individual amount in the equation in paragraph of the features of an asset-backed minimum capital requirement for a (c)(4)(v). investment exposure that would credit union that varies from any of the (v) Collateralized transactions. (A) materially affect the performance of the risk-based capital requirement(s) that General. A credit union may use the exposure, the credit union must assign would otherwise apply to the credit approach in paragraph (c)(4)(v)(B) of a 1,250 percent risk-weight to the asset- union under this part. this section to recognize the risk- backed investment exposure. The credit (b) Appropriate considerations for mitigating effects of financial collateral. union’s analysis must be commensurate establishing individual minimum (B) Simple collateralized derivatives with the complexity of the asset-backed capital requirements. Minimum capital approach. To qualify for the simple investment and the materiality of the levels higher than the risk-based capital approach, the financial collateral must position in relation to regulatory capital requirements under this part may be meet the following requirements: according to this part. appropriate for individual credit unions. (1) The collateral must be subject to (2) A credit union must demonstrate NCUA may establish increased a collateral agreement for at least the life its comprehensive understanding of an individual minimum capital of the exposure; asset-backed investment exposure under requirements upon its determination (2) The collateral must be revalued at paragraph (d)(1) of this section, for each that the credit union’s capital is or may least every six months; and asset-backed investment exposure by: become inadequate in view of the credit (3) The collateral and the exposure (i) Conducting an analysis of the risk union’s circumstances. For example, must be denominated in the same characteristics of an investment higher capital levels may be appropriate currency. exposure prior to acquiring the exposure when NCUA determines that: (C) Risk-weight substitution. (1) A and documenting such analysis within (1) A credit union is receiving special credit union may apply a risk-weight to three business days after acquiring the supervisory attention; the portion of an exposure that is exposure, considering: (2) A credit union has or is expected secured by the fair value of financial (A) Structural features of the to have losses resulting in capital collateral (that meets the requirements investment that would materially inadequacy; for the simple collateralized approach of impact the performance of the exposure, (3) A credit union has a high degree this section) based on the risk-weight for example, the contractual cash flow of exposure to interest rate risk, assigned to the collateral as established waterfall, waterfall-related triggers, prepayment risk, credit risk, under § 702.104(c). credit enhancements, liquidity concentration risk, certain risks arising (2) A credit union must apply a risk- enhancements, fair value triggers, the from nontraditional activities or similar weight to the unsecured portion of the performance of organizations that risks, or a high proportion of off-balance exposure based on the risk-weight service the position, and deal-specific sheet risk; applicable to the exposure under this definitions of default; (4) A credit union has poor liquidity subpart. (B) Relevant information regarding the or cash flow; (D) Exceptions to the 20 percent risk- performance of the underlying credit (5) A credit union is growing, either weight floor and other requirements. exposure(s), for example, the percentage internally or through acquisitions, at Notwithstanding the simple of loans 30, 60, and 90 days past due; such a rate that supervisory problems collateralized derivatives approach in default rates; prepayment rates; loans in are presented that are not adequately paragraph (c)(4)(v)(B) of this section: foreclosure; property types; occupancy; addressed by other NCUA regulations or (1) A credit union may assign a zero average credit score or other measures of other guidance; percent risk-weight to an exposure to a creditworthiness; average loan-to-value (6) A credit union may be adversely derivatives contract that is marked-to- ratio; and industry and geographic affected by the activities or condition of market on a daily basis and subject to diversification data on the underlying its CUSOs or other persons or entities a daily margin maintenance exposure(s); with which it has significant business requirement, to the extent the contract (C) Relevant market data of the asset- relationships, including concentrations is collateralized by cash on deposit. backed investment, for example, bid-ask of credit; (2) A credit union may assign a 10 spreads, most recent sales price and (7) A credit union with a portfolio percent risk-weight to an exposure to an historical price volatility, trading reflecting weak credit quality or a derivatives contract that is marked-to- volume, implied market rating, and size, significant likelihood of financial loss, market daily and subject to a daily depth, and concentration level of the or which has loans or securities in margin maintenance requirement, to the market for the investment; and nonperforming status or on which extent that the contract is collateralized (D) For reinvestment exposures, borrowers fail to comply with by an exposure that qualifies for a zero performance information on the repayment terms; percent risk-weight under underlying investment exposures, for (8) A credit union has inadequate § 702.104(c)(2)(ii). example, the issuer name and credit underwriting policies, standards, or (E) A credit union may assign a zero quality, and the characteristics and procedures for its loans and percent risk-weight to the collateralized performance of the exposures investments; portion of an exposure where: underlying the investment exposures; (9) A credit union has failed to (1) The financial collateral is cash on and properly plan for, or execute, necessary deposit; or (ii) On an ongoing basis (no less retained earnings growth, or (2) The financial collateral is an frequently than quarterly), evaluating, (10) A credit union has a record of exposure that qualifies for a zero reviewing, and updating as appropriate operational losses that exceeds the

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average of other similarly situated credit (1) Is necessary to avoid a significant quarter-end balance of unused unions; has management deficiencies, redemption of shares; and commitments to lend and unused lines including failure to adequately monitor (2) Would further the purpose of this of credit provided however that a credit and control financial and operating part. union which increases a balance as risks, particularly the risks presented by (c) Decrease by FISCU. The NCUA permitted under paragraphs (a)(3)(ii)(A), concentrations of credit and Board shall consult and seek to work (B) or (C) of this section cannot offer nontraditional activities; or has a poor cooperatively with the appropriate state rates on shares in excess of prevailing record of supervisory compliance. official before permitting a federally rates on shares in its relevant market (c) Standards for determination of insured state-chartered credit union to area, and cannot open new branches; appropriate individual minimum decrease its earnings retention under (4) Restrict member business loans. capital requirements. The appropriate paragraph (b) of this section. Beginning the effective date of minimum capital levels for an (d) Periodic review. A decision under classification as undercapitalized or individual credit union cannot be paragraph (b) of this section to permit a lower, not increase the total dollar determined solely through the credit union to decrease its earnings amount of member business loans application of a rigid mathematical retention is subject to quarterly review (defined as loans outstanding and formula or wholly objective criteria. The and revocation except when the credit unused commitments to lend) as of the decision is necessarily based, in part, on union is operating under an approved preceding quarter-end unless it is subjective judgment grounded in agency net worth restoration plan that provides granted an exception under 12 U.S.C. expertise. The factors to be considered for decreasing its earnings retention as 1757a(b). in NCUA’s determination will vary in provided under paragraph (b) of this (b) Second tier discretionary each case and may include, for example: section. supervisory actions by NCUA. Subject to (1) The conditions or circumstances the applicable procedures for issuing, leading to the determination that a § 702.107 Prompt corrective action for undercapitalized credit unions. reviewing and enforcing directives set higher minimum capital requirement is forth in subpart L of part 747 of this (a) Mandatory supervisory actions by appropriate or necessary for the credit chapter, the NCUA Board may, by credit union. A credit union which is union; directive, take one or more of the (2) The urgency of those undercapitalized must— (1) Earnings retention. Increase net following actions with respect to an circumstances or potential problems; undercapitalized credit union having a (3) The overall condition, worth in accordance with § 702.106; (2) Submit net worth restoration plan. net worth ratio of less than five percent management strength, and future (5%), or a director, officer or employee prospects of the credit union and, if Submit a net worth restoration plan pursuant to § 702.111, provided of such a credit union, if it determines applicable, its subsidiaries, affiliates, that those actions are necessary to carry and business partners; however, that a credit union in this category having a net worth ratio of less out the purpose of this part: (4) The credit union’s liquidity, (1) Requiring prior approval for capital, and other indicators of financial than five percent (5%) which fails to timely submit such a plan, or which acquisitions, branching, new lines of stability, particularly as compared with business. Prohibit a credit union from, those of similarly situated credit unions; materially fails to implement an approved plan, is classified significantly directly or indirectly, acquiring any and interest in any business entity or (5) The policies and practices of the undercapitalized pursuant to financial institution, establishing or credit union’s directors, officers, and § 702.102(a)(4)(ii); acquiring any additional branch office, senior management as well as the (3) Restrict increase in assets. or engaging in any new line of business, internal control and internal audit Beginning the effective date of unless the NCUA Board has approved systems for implementation of such classification as undercapitalized or the credit union’s net worth restoration adopted policies and practices. lower, not permit the credit union’s assets to increase beyond its total assets plan, the credit union is implementing § 702.106 Prompt corrective action for for the preceding quarter unless— its plan, and the NCUA Board adequately capitalized credit unions. (i) Plan approved. The NCUA Board determines that the proposed action is (a) Earnings retention. Beginning on has approved a net worth restoration consistent with and will further the the effective date of classification as plan which provides for an increase in objectives of that plan; adequately capitalized or lower, a total assets and— (2) Restricting transactions with and federally insured credit union must (A) The assets of the credit union are ownership of CUSO. Restrict the credit increase the dollar amount of its net increasing consistent with the approved union’s transactions with a CUSO, or worth quarterly either in the current plan; and require the credit union to reduce or quarter, or on average over the current (B) The credit union is implementing divest its ownership interest in a CUSO; and three preceding quarters, by an steps to increase the net worth ratio (3) Restricting dividends paid. Restrict amount equivalent to at least 1/10th consistent with the approved plan; the dividend rates the credit union pays percent (0.1%) of its total assets (or (ii) Plan not approved. The NCUA on shares to the prevailing rates paid on more by choice), until it is well Board has not approved a net worth comparable accounts and maturities in capitalized. restoration plan and total assets of the the relevant market area, as determined (b) Decrease in retention. Upon credit union are increasing because of by the NCUA Board, except that written application received no later increases since quarter-end in balances dividend rates already declared on than 14 days before the quarter end, the of: shares acquired before imposing a NCUA Board, on a case-by-case basis, (A) Total accounts receivable and restriction under this paragraph may not may permit a credit union to increase accrued income on loans and be retroactively restricted; the dollar amount of its net worth by an investments; or (4) Prohibiting or reducing asset amount that is less than the amount (B) Total cash and cash equivalents; growth. Prohibit any growth in the required under paragraph (a) of this or credit union’s assets or in a category of section, to the extent the NCUA Board (C) Total loans outstanding, not to assets, or require the credit union to determines that such lesser amount— exceed the sum of total assets plus the reduce its assets or a category of assets;

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(5) Alter, reduce, or terminate activity. (b) Discretionary supervisory actions four (4) calendar quarters preceding the Require the credit union or its CUSO to by NCUA. Subject to the applicable effective date of classification of the alter, reduce, or terminate any activity procedures for issuing, reviewing and credit union as significantly which poses excessive risk to the credit enforcing directives set forth in subpart undercapitalized, and prohibit payment union; L of part 747 of this chapter, the NCUA of a bonus or profit share to such officer; (6) Prohibiting nonmember deposits. Board may, by directive, take one or (11) Other actions to carry out prompt Prohibit the credit union from accepting more of the following actions with corrective action. Restrict or require all or certain nonmember deposits; respect to any significantly such other action by the credit union as (7) Dismissing director or senior undercapitalized credit union, or a the NCUA Board determines will carry executive officer. Require the credit director, officer or employee of such out the purpose of this part better than union to dismiss from office any credit union, if it determines that those any of the actions prescribed in director or senior executive officer, actions are necessary to carry out the paragraphs (b)(1) through (10) of this provided however, that a dismissal purpose of this part: section; and under this clause shall not be construed (1) Requiring prior approval for (12) Requiring merger. Require the to be a formal administrative action for acquisitions, branching, new lines of credit union to merge with another removal under 12 U.S.C. 1786(g); business. Prohibit a credit union from, financial institution if one or more (8) Employing qualified senior directly or indirectly, acquiring any grounds exist for placing the credit executive officer. Require the credit interest in any business entity or union into conservatorship pursuant to union to employ qualified senior financial institution, establishing or 12 U.S.C. 1786(h)(1)(F), or into executive officers (who, if the NCUA acquiring any additional branch office, liquidation pursuant to 12 U.S.C. Board so specifies, shall be subject to its or engaging in any new line of business, 1787(a)(3)(A)(i). approval); and except as provided in § 702.107(b)(1); (c) Discretionary conservatorship or (9) Other action to carry out prompt (2) Restricting transactions with and liquidation if no prospect of becoming corrective action. Restrict or require ownership of CUSO. Restrict the credit adequately capitalized. such other action by the credit union as union’s transactions with a CUSO, or Notwithstanding any other actions the NCUA Board determines will carry require the credit union to divest or required or permitted to be taken under out the purpose of this part better than reduce its ownership interest in a this section, when a credit union any of the actions prescribed in CUSO; becomes significantly undercapitalized paragraphs (b)(1) through (8) of this (3) Restricting dividends paid. Restrict (including by reclassification under section. the dividend rates that the credit union § 702.102(b)), the NCUA Board may pays on shares as provided in (c) First tier application of place the credit union into § 702.107(b)(3); discretionary supervisory actions. An conservatorship pursuant to 12 U.S.C. (4) Prohibiting or reducing asset 1786(h)(1)(F), or into liquidation undercapitalized credit union having a growth. Prohibit any growth in the net worth ratio of five percent (5%) or pursuant to 12 U.S.C. 1787(a)(3)(A)(i), credit union’s assets or in a category of provided that the credit union has no more, or which is classified assets, or require the credit union to undercapitalized by reason of failing to reasonable prospect of becoming reduce assets or a category of assets; adequately capitalized. satisfy a risk-based net worth (5) Alter, reduce or terminate activity. requirement under § 702.104, is subject Require the credit union or its CUSO(s) § 702.109 Prompt corrective action for to the discretionary supervisory actions to alter, reduce, or terminate any critically undercapitalized credit unions. in paragraph (b) of this section if it fails activity which poses excessive risk to (a) Mandatory supervisory actions by to comply with any mandatory the credit union; credit union. A credit union which is supervisory action in paragraph (a) of (6) Prohibiting nonmember deposits. critically undercapitalized must— this section or fails to timely implement Prohibit the credit union from accepting (1) Earnings retention. Increase net an approved net worth restoration plan all or certain nonmember deposits; worth in accordance with § 702.106; under § 702.111, including meeting its (7) New election of directors. Order a (2) Submit net worth restoration plan. prescribed steps to increase its net new election of the credit union’s board Submit a net worth restoration plan worth ratio. of directors; pursuant to § 702.111; (8) Dismissing director or senior (3) Restrict increase in assets. Not § 702.108 Prompt corrective action for significantly undercapitalized credit unions. executive officer. Require the credit permit the credit union’s total assets to union to dismiss from office any increase except as provided in (a) Mandatory supervisory actions by director or senior executive officer, § 702.107(a)(3); and credit union. A credit union which is provided however, that a dismissal (4) Restrict member business loans. significantly undercapitalized must— under this clause shall not be construed Not increase the total dollar amount of (1) Earnings retention. Increase net to be a formal administrative action for member business loans (defined as worth in accordance with § 702.106; removal under 12 U.S.C. 1786(g); loans outstanding and unused (2) Submit net worth restoration plan. (9) Employing qualified senior commitments to lend) as provided in Submit a net worth restoration plan executive officer. Require the credit § 702.107(a)(4). pursuant to § 702.111; union to employ qualified senior (b) Discretionary supervisory actions (3) Restrict increase in assets. Not executive officers (who, if the NCUA by NCUA. Subject to the applicable permit the credit union’s total assets to Board so specifies, shall be subject to its procedures for issuing, reviewing and increase except as provided in approval); enforcing directives set forth in subpart § 702.107(a)(3); and (10) Restricting senior executive L of part 747 of this chapter, the NCUA (4) Restrict member business loans. officers’ compensation. Except with the Board may, by directive, take one or Not increase the total dollar amount of prior written approval of the NCUA more of the following actions with member business loans (defined as Board, limit compensation to any senior respect to any critically loans outstanding and unused executive officer to that officer’s average undercapitalized credit union, or a commitments to lend) as provided in rate of compensation (excluding director, officer or employee of such § 702.107(a)(4). bonuses and profit sharing) during the credit union, if it determines that those

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actions are necessary to carry out the interest on the credit union’s uninsured documents why such action in lieu of purpose of this part: secondary capital accounts established conservatorship or liquidation would do (1) Requiring prior approval for after August 7, 2000, except that unpaid so, provided however, that other acquisitions, branching, new lines of dividends or interest shall continue to corrective action may consist, in whole business. Prohibit a credit union from, accrue under the terms of the account to or in part, of complying with the directly or indirectly, acquiring any the extent permitted by law; quarterly timetable of steps and meeting interest in any business entity or (12) Requiring prior approval. Require the quarterly net worth targets financial institution, establishing or a critically undercapitalized credit prescribed in an approved net worth acquiring any additional branch office, union to obtain the NCUA Board’s prior restoration plan. or engaging in any new line of business, written approval before doing any of the (2) Renewal of other corrective action. except as provided by § 702.107(b)(1); following: A determination by the NCUA Board to (2) Restricting transactions with and (i) Entering into any material take other corrective action in lieu of ownership of CUSO. Restrict the credit transaction not within the scope of an conservatorship or liquidation under union’s transactions with a CUSO, or approved net worth restoration plan (or paragraph (c)(1)(iii) of this section shall require the credit union to divest or approved revised business plan under expire after an effective period ending reduce its ownership interest in a subpart C of this part); no later than 180 calendar days after the CUSO; (ii) Extending credit for transactions determination is made, and the credit (3) Restricting dividends paid. Restrict deemed highly leveraged by the NCUA union shall be immediately placed into the dividend rates that the credit union Board or, if state-chartered, by the conservatorship or liquidation under pays on shares as provided in appropriate state official; paragraphs (c)(1)(i) and (ii) of this § 702.107(b)(3); (iii) Amending the credit union’s section, unless the NCUA Board makes (4) Prohibiting or reducing asset charter or bylaws, except to the extent a new determination under paragraph growth. Prohibit any growth in the necessary to comply with any law, (c)(1)(iii) of this section before the end credit union’s assets or in a category of regulation, or order; of the effective period of the prior assets, or require the credit union to (iv) Making any material change in determination; reduce assets or a category of assets; accounting methods; and (3) Mandatory liquidation after 18 (5) Alter, reduce or terminate activity. (v) Paying dividends or interest on months —(i) Generally. Require the credit union or its CUSO(s) new share accounts at a rate exceeding Notwithstanding paragraphs (c)(1) and to alter, reduce, or terminate any the prevailing rates of interest on (2) of this section, the NCUA Board activity which poses excessive risk to insured deposits in its relevant market must place a credit union into the credit union; area; liquidation if it remains critically (6) Prohibiting nonmember deposits. (13) Other action to carry out prompt undercapitalized for a full calendar Prohibit the credit union from accepting corrective action. Restrict or require quarter, on a monthly average basis, all or certain nonmember deposits; such other action by the credit union as following a period of 18 months from (7) New election of directors. Order a the NCUA Board determines will carry the effective date the credit union was new election of the credit union’s board out the purpose of this part better than first classified critically of directors; any of the actions prescribed in undercapitalized. (8) Dismissing director or senior paragraphs (b)(1) through (12) of this (ii) Exception. Notwithstanding executive officer. Require the credit section; and paragraph (c)(3)(i) of this section, the union to dismiss from office any (14) Requiring merger. Require the NCUA Board may continue to take other director or senior executive officer, credit union to merge with another corrective action in lieu of liquidation if provided however, that a dismissal financial institution if one or more it certifies that the credit union— under this clause shall not be construed grounds exist for placing the credit (A) Has been in substantial to be a formal administrative action for union into conservatorship pursuant to compliance with an approved net worth removal under 12 U.S.C. 1786(g); 12 U.S.C. 1786(h)(1)(F), or into restoration plan requiring consistent (9) Employing qualified senior liquidation pursuant to 12 U.S.C. improvement in net worth since the executive officer. Require the credit 1787(a)(3)(A)(i). date the net worth restoration plan was union to employ qualified senior (c) Mandatory conservatorship, approved; executive officers (who, if the NCUA liquidation or action in lieu thereof—(1) (B) Has positive net income or has an Board so specifies, shall be subject to its Action within 90 days. Notwithstanding upward trend in earnings that the approval); any other actions required or permitted NCUA Board projects as sustainable; (10) Restricting senior executive to be taken under this section (and and officers’ compensation. Reduce or, with regardless of a credit union’s prospect of (C) Is viable and not expected to fail. the prior written approval of the NCUA becoming adequately capitalized), the (iii) Review of exception. The NCUA Board, limit compensation to any senior NCUA Board must, within 90 calendar Board shall, at least quarterly, review executive officer to that officer’s average days after the effective date of the certification of an exception to rate of compensation (excluding classification of a credit union as liquidation under paragraph (c)(3)(ii) of bonuses and profit sharing) during the critically undercapitalized— this section and shall either— four (4) calendar quarters preceding the (i) Conservatorship. Place the credit (A) Recertify the credit union if it effective date of classification of the union into conservatorship pursuant to continues to satisfy the criteria of credit union as critically 12 U.S.C. 1786(h)(1)(G); or paragraph (c)(3)(ii) of this section; or undercapitalized, and prohibit payment (ii) Liquidation. Liquidate the credit (B) Promptly place the credit union of a bonus or profit share to such officer; union pursuant to 12 U.S.C. into liquidation, pursuant to 12 U.S.C. (11) Restrictions on payments on 1787(a)(3)(A)(ii); or 1787(a)(3)(A)(ii), if it fails to satisfy the uninsured secondary capital. Beginning (iii) Other corrective action. Take criteria of paragraph (c)(3)(ii) of this 60 days after the effective date of other corrective action, in lieu of section. classification of a credit union as conservatorship or liquidation, to better (4) Nondelegation. The NCUA Board critically undercapitalized, prohibit achieve the purpose of this part, may not delegate its authority under payments of principal, dividends or provided that the NCUA Board paragraph (c) of this section, unless the

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credit union has less than $5,000,000 in insured state-chartered credit union; (i) A quarterly timetable of steps the total assets. A credit union shall have a shall provide prompt notice of its credit union will take to increase its net right of direct appeal to the NCUA decision to the appropriate state official; worth ratio, and risk-based capital ratio Board of any decision made by and shall allow the appropriate state if applicable, so that it becomes delegated authority under this section official to take the proposed action adequately capitalized by the end of the within ten (10) calendar days of the date independently or jointly with NCUA. term of the NWRP, and to remain so for of that decision. four (4) consecutive calendar quarters. If (d) Mandatory liquidation of insolvent § 702.111 Net worth restoration plans ‘‘complex,’’ the credit union is subject (NWRP). federal credit union. In lieu of to a risk-based net worth requirement paragraph (c) of this section, a critically (a) Schedule for filing—(1) Generally. that may require a net worth ratio higher undercapitalized federal credit union A credit union shall file a written net than six percent (6%) to become that has a net worth ratio of less than worth restoration plan (NWRP) with the adequately capitalized; zero percent (0%) may be placed into appropriate Regional Director and, if (ii) The projected amount of net worth liquidation on grounds of insolvency state-chartered, the appropriate state increases in each quarter of the term of pursuant to 12 U.S.C. 1787(a)(1)(A). official, within 45 calendar days of the the NWRP as required under effective date of classification as either § 702.106(a), or as permitted under § 702.110 Consultation with state officials undercapitalized, significantly on proposed prompt corrective action. § 702.106(b); undercapitalized or critically (iii) How the credit union will comply (a) Consultation on proposed undercapitalized, unless the NCUA with the mandatory and any conservatorship or liquidation. Before Board notifies the credit union in discretionary supervisory actions placing a federally insured state- writing that its NWRP is to be filed imposed on it by the NCUA Board chartered credit union into within a different period. under this subpart; conservatorship (pursuant to 12 U.S.C. (2) Exception. An otherwise (iv) The types and levels of activities 1786(h)(1)(F) or (G)) or liquidation adequately capitalized credit union that in which the credit union will engage; (pursuant to 12 U.S.C. 1787(a)(3)) as is reclassified undercapitalized on and permitted or required under subparts A safety and soundness grounds under (v) If reclassified to a lower category or B of this part to facilitate prompt § 702.102(b) is not required to submit a under § 702.102(b), the steps the credit corrective action— NWRP solely due to the reclassification, union will take to correct the unsafe or (1) The NCUA Board shall seek the unless the NCUA Board notifies the unsound practice(s) or condition(s); views of the appropriate state official (as credit union that it must submit an (2) Include pro forma financial defined in § 702.2), and give him or her NWRP. an opportunity to take the proposed (3) Filing of additional plan. statements, including any off-balance action; Notwithstanding paragraph (a)(1) of this sheet items, covering a minimum of the (2) The NCUA Board shall, upon section, a credit union that has already next two years; and timely request of the appropriate state submitted and is operating under a (3) Contain such other information as official, promptly provide him or her NWRP approved under this section is the NCUA Board has required. with a written statement of the reasons not required to submit an additional (d) Criteria for approval of NWRP. for the proposed conservatorship or NWRP due to a change in net worth The NCUA Board shall not accept a liquidation, and reasonable time to category (including by reclassification NWRP plan unless it— respond to that statement; and under § 702.102(b)), unless the NCUA (1) Complies with paragraph (c) of (3) If the appropriate state official Board notifies the credit union that it this section; makes a timely written response that must submit a new NWRP. A credit (2) Is based on realistic assumptions, disagrees with the proposed union that is notified to submit a new and is likely to succeed in restoring the conservatorship or liquidation and gives or revised NWRP shall file the NWRP in credit union’s net worth; and reasons for that disagreement, the writing with the appropriate Regional (3) Would not unreasonably increase NCUA Board shall not place the credit Director within 30 calendar days of the credit union’s exposure to risk union into conservatorship or receiving such notice, unless the NCUA (including credit risk, interest-rate risk, liquidation unless it first considers the Board notifies the credit union in and other types of risk). views of the appropriate state official writing that the NWRP is to be filed (e) Consideration of regulatory and determines that— within a different period. capital. To minimize possible long-term (i) The NCUSIF faces a significant risk (4) Failure to timely file plan. When losses to the NCUSIF while the credit of loss if the credit union is not placed a credit union fails to timely file an union takes steps to become adequately into conservatorship or liquidation; and NWRP pursuant to this paragraph, the capitalized, the NCUA Board shall, in (ii) Conservatorship or liquidation is NCUA Board shall promptly notify the evaluating an NWRP under this section, necessary either to reduce the risk of credit union that it has failed to file an consider the type and amount of any loss, or to reduce the expected loss, to NWRP and that it has 15 calendar days form of regulatory capital which may the NCUSIF with respect to the credit from receipt of that notice within which become established by NCUA union. to file an NWRP. regulation, or authorized by state law (b) Nondelegation. The NCUA Board (b) Assistance to small credit unions. and recognized by NCUA, which the may not delegate any determination Upon timely request by a credit union credit union holds, but which is not under paragraph (a)(3) of this section. having total assets of less than $10 included in its net worth. (c) Consultation on proposed million (regardless how long it has been (f) Review of NWRP —(1) Notice of discretionary action. The NCUA Board in operation), the NCUA Board shall decision. Within 45 calendar days after shall consult and seek to work provide assistance in preparing an receiving an NWRP under this part, the cooperatively with the appropriate state NWRP required to be filed under NCUA Board shall notify the credit official before taking any discretionary paragraph (a) of this section. union in writing whether the NWRP has supervisory action under §§ 702.107(b), (c) Contents of NWRP. An NWRP been approved, and shall provide 702.108(b), 702.109(b), 702.204(b) and must— reasons for its decision in the event of 702.205(b) with respect to a federally (1) Specify— disapproval.

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(2) Delayed decision. If no decision is fourth consecutive quarter would end (4) At a minimum, adjustments to the made within the time prescribed in September 30, 2016. ALLL shall be made prior to the paragraph (f)(1) of this section, the distribution or posting of any dividend NWRP is deemed approved. § 702.112 Reserves. to the accounts of members. (3) Consultation with state officials. In Each credit union shall establish and § 702.114 Payment of dividends. the case of an NWRP submitted by a maintain such reserves as may be federally insured state-chartered credit required by the FCUA, by state law, by (a) Restriction on dividends. union (whether an original, new, regulation, or in special cases by the Dividends shall be available only from additional, revised or amended NWRP), NCUA Board or appropriate state net worth, if any. (b) Payment of dividends if retained the NCUA Board shall, when evaluating official. earnings depleted. The board of the NWRP, seek and consider the views § 702.113 Full and fair disclosure of directors of a well capitalized credit of the appropriate state official, and financial condition. union that has depleted the balance of provide prompt notice of its decision to (a) Full and fair disclosure defined. its retained earnings may authorize the appropriate state official. ‘‘Full and fair disclosure’’ is the level of dividend payments, provided that (g) NWRP not approved —(1) disclosure which a prudent person either— Submission of revised NWRP. If an would provide to a member of a credit (1) The payment of dividends will not NWRP is rejected by the NCUA Board, union, to NCUA, or, at the discretion of cause the credit union’s net worth the credit union shall submit a revised the board of directors, to creditors to classification to fall below adequately NWRP within 30 calendar days of fairly inform them of the financial capitalized under subpart A of this part; receiving notice of disapproval, unless it condition and the results of operations or is notified in writing by the NCUA of the credit union. (2) If the payment of dividends will Board that the revised NWRP is to be (b) Full and fair disclosure cause the net worth classification to fall filed within a different period. implemented. The financial statements below adequately capitalized, the (2) Notice of decision on revised of a credit union shall provide for full appropriate Regional Director and, if NWRP. Within 30 calendar days after and fair disclosure of all assets, state-chartered, the appropriate state receiving a revised NWRP under liabilities, and members’ equity, official, have given prior written paragraph (g)(1) of this section, the including such valuation (allowance) approval (in an NWRP or otherwise) to NCUA Board shall notify the credit accounts as may be necessary to present pay a dividend. The request for written union in writing whether the revised fairly the financial condition; and all approval must include the plan for NWRP is approved. The Board may income and expenses necessary to eliminating any negative retained extend the time within which notice of present fairly the statement of income earnings balance. its decision shall be provided. for the reporting period. (c) Restriction on payment of (3) Disapproval of reclassified credit (c) Declaration of officials. The dividends if, after payment of dividends, union’s NWRP. A credit union which Statement of Financial Condition, when the credit union’s net worth ratio would has been classified significantly presented to members, to creditors or to be less than 6 percent. If, after payment undercapitalized shall remain so NCUA, shall contain a dual declaration of a dividend or refund of interest, a classified pending NCUA Board by the treasurer and the chief executive well capitalized credit union’s net approval of a new or revised NWRP. officer, or in the latter’s absence, by any worth ratio would fall below 6 percent (4) Submission of multiple other officer designated by the board of in the current quarter, the board of unapproved NWRPs. The submission of directors of the reporting credit union to directors of the credit union may not: more than two NWRPs that are not make such declaration, that the report (1) Declare a dividend at a rate that is approved is considered an unsafe and and related financial statements are true higher than the prevailing rates paid on unsound condition and may subject the and correct to the best of their comparable accounts and maturities in credit union to administrative knowledge and belief and present fairly the relevant market area; (2) Declare a non-repetitive dividend; enforcement actions under section 206 the financial condition and the or of the FCUA, 12 U.S.C. 1786 and 1790d. statement of income for the period (3) Authorize a refund of interest. (h) Amendment of NWRP. A credit covered. union that is operating under an (d) Charges for loan losses. Full and Subpart B—Alternative Prompt approved NWRP may, after prior written fair disclosure demands that a credit Corrective Action for New Credit notice to, and approval by the NCUA union properly address charges for loan Unions Board, amend its NWRP to reflect a losses as follows: change in circumstance. Pending (1) Charges for loan losses shall be § 702.201 Scope and definition. approval of an amended NWRP, the made in accordance with GAAP; (a) Scope. This subpart B applies in credit union shall implement the NWRP (2) The ALLL established for loans lieu of subpart A of this part exclusively as originally approved. must fairly present the probable losses to credit unions defined in paragraph (b) (i) Publication. An NWRP need not be for all categories of loans and the proper of this section as ‘‘new’’ pursuant to published to be enforceable because valuation of loans. The valuation section 216(b)(2) of the FCUA, 12 U.S.C. publication would be contrary to the allowance must encompass specifically 1790d(b)(2). public interest. identified loans, as well as estimated (b) New credit union defined. A (j) Termination of NWRP. For losses inherent in the loan portfolio, ‘‘new’’ credit union for purposes of this purposes of this part, an NWRP such as loans and pools of loans for subpart is a credit union that both has terminates once the credit union is which losses have been incurred but are been in operation for less than ten (10) classified as adequately capitalized and not identifiable on a specific loan-by- years and has total assets of not more remains so for four consecutive quarters. loan basis; than $10 million. Once a credit union For example, if a credit union with an (3) Adjustments to the valuation reports total assets of more than $10 active NWRP attains the classification as ALLL will be recorded in the expense million on a Call Report, the credit adequately classified on December 31, account ‘‘Provision for Loan and Lease union is no longer new, even if its assets 2015 this would be quarter one and the Losses’’; and subsequently decline below $10 million.

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(c) Effect of spin-offs. A credit union TABLE 1 TO § 702.202—CAPITAL (iii) Has failed to comply with formed as the result of a ‘‘spin-off’’ of CATEGORIES FOR NEW CREDIT UNIONS paragraph (a)(3) of this section; and a group from the field of membership of (3) Restrict member business loans. an existing credit union is deemed to be A new credit union’s capital If it’s net worth Not increase the total dollar amount of in operation since the effective date of classification is . . . ratio is . . . member business loans (defined as the spin-off. A credit union whose total loans outstanding and unused Well Capitalized ...... 7% or above. assets decline below $10 million commitments to lend) as of the Adequately Capitalized ...... 6 to 7%. preceding quarter-end unless it is because a group within its field of Moderately Capitalized ...... 3.5% to 5.99%. membership has been spun-off is Marginally Capitalized ...... 2% to 3.49%. granted an exception under 12 U.S.C. deemed ‘‘new’’ if it has been in Minimally Capitalized ...... 0% to 1.99%. 1757a(b). operation less than 10 years. Uncapitalized ...... Less than 0%. (b) Discretionary supervisory actions by NCUA. Subject to the applicable (d) Actions to evade prompt corrective (d) Reclassification based on procedures set forth in subpart L of part action. If the NCUA Board determines supervisory criteria other than net 747 of this chapter for issuing, that a credit union was formed, or was worth. Subject to § 702.102(b), the reviewing and enforcing directives, the reduced in asset size as a result of a NCUA Board may reclassify a well NCUA Board may, by directive, take one spin-off, or was merged, primarily to capitalized, adequately capitalized or or more of the actions prescribed in qualify as ‘‘new’’ under this subpart, the moderately capitalized new credit union § 702.109(b) if the credit union’s net credit union shall be deemed subject to to the next lower capital category (each worth ratio has not increased consistent prompt corrective action under subpart of such actions is hereinafter referred to with its then-present business plan, or A of this part. generally as ‘‘reclassification’’) in either the credit union has failed to undertake of the circumstances prescribed in any mandatory supervisory action § 702.202 Net worth categories for new prescribed in paragraph (a) of this credit unions. § 702.102(b). (e) Consultation with state officials. section. (a) Net worth measures. For purposes The NCUA Board shall consult and seek (c) Discretionary conservatorship or of this part, a new credit union must to work cooperatively with the liquidation. Notwithstanding any other determine its capital classification appropriate state official before actions required or permitted to be quarterly according to its net worth reclassifying a federally insured state- taken under this section, the NCUA ratio. chartered credit union under paragraph Board may place a new credit union (d) of this section, and shall promptly which is moderately capitalized, (b) Effective date of net worth marginally capitalized or minimally classification of new credit union. For notify the appropriate state official of its decision to reclassify. capitalized (including by purposes of subpart B of this part, the reclassification under § 702.202(d)) into effective date of a new credit union’s § 702.203 Prompt corrective action for conservatorship pursuant to 12 U.S.C. classification within a capital category adequately capitalized new credit unions. 1786(h)(1)(F), or into liquidation in paragraph (c) of this section shall be Beginning on the effective date of pursuant to 12 U.S.C. 1787(a)(3)(A)(i), determined as provided in § 702.101(b); classification, an adequately capitalized provided that the credit union has no and written notice to the NCUA Board new credit union must increase the reasonable prospect of becoming of a decline in net worth classification dollar amount of its net worth by the adequately capitalized. in paragraph (c) of this section shall be amount reflected in its approved initial given as required by § 702.101(c). or revised business plan in accordance § 702.205 Prompt corrective action for uncapitalized new credit unions. (c) Net worth categories. A credit with § 702.204(a)(2), or in the absence of union defined as ‘‘new’’ under this such a plan, in accordance with (a) Mandatory supervisory actions by new credit union. Beginning on the section shall be classified (Table 1 of § 702.106 until it is well capitalized. effective date of classification as this section)— § 702.204 Prompt corrective action for uncapitalized, a new credit union (1) Well capitalized if it has a net moderately capitalized, marginally must— worth ratio of seven percent (7%) or capitalized, or minimally capitalized new (1) Earnings retention. Increase the greater; credit unions. dollar amount of its net worth by the (a) Mandatory supervisory actions by (2) Adequately capitalized if it has a amount reflected in the credit union’s new credit union. Beginning on the date net worth ratio of six percent (6%) or approved initial or revised business of classification as moderately more but less than seven percent (7%); plan; capitalized, marginally capitalized or (2) Submit revised business plan. (3) Moderately capitalized if it has a minimally capitalized (including by Submit a revised business plan within net worth ratio of three and one-half reclassification under § 702.202(d)), a the time provided by § 702.206, percent (3.5%) or more but less than six new credit union must— providing for alternative means of percent (6%); (1) Earnings retention. Increase the funding the credit union’s earnings (4) Marginally capitalized if it has a dollar amount of its net worth by the deficit, if the credit union either: net worth ratio of two percent (2%) or amount reflected in its approved initial (i) Has not increased its net worth more but less than three and one-half or revised business plan; ratio consistent with its then-present percent (3.5%); (2) Submit revised business plan. approved business plan; Submit a revised business plan within (ii) Has no then-present approved (5) Minimally capitalized if it has a the time provided by § 702.206 if the business plan; or net worth ratio of zero percent (0%) or credit union either: (iii) Has failed to comply with greater but less than two percent (2%); (i) Has not increased its net worth paragraph (a)(3) of this section; and and ratio consistent with its then-present (3) Restrict member business loans. (6) Uncapitalized if it has a net worth approved business plan; Not increase the total dollar amount of ratio of less than zero percent (0%) (e.g., (ii) Has no then-present approved member business loans as provided in a deficit in retained earnings). business plan; or § 702.204(a)(3).

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(b) Discretionary supervisory actions lower must file a written revised (c) Criteria for approval. The NCUA by NCUA. Subject to the procedures set business plan (RBP) with the Board shall not approve a new credit forth in subpart L of part 747 of this appropriate Regional Director and, if union’s RBP unless it— chapter for issuing, reviewing and state-chartered, with the appropriate (1) Addresses the items enumerated in enforcing directives, the NCUA Board state official, within 30 calendar days of paragraph (b) of this section; may, by directive, take one or more of either: (2) Is based on realistic assumptions, the actions prescribed in § 702.109(b) if (i) The last of the calendar month and is likely to succeed in building the the credit union’s net worth ratio has following the end of the calendar credit union’s net worth; and not increased consistent with its then- quarter that the credit union’s net worth (3) Would not unreasonably increase present business plan, or the credit ratio has not increased consistent with the credit union’s exposure to risk union has failed to undertake any its the-present approved business plan; (including credit risk, interest-rate risk, mandatory supervisory action (ii) The effective date of classification and other types of risk). prescribed in paragraph (a) of this as less than adequately capitalized if the (d) Consideration of regulatory section. credit union has no then-present capital. To minimize possible long-term (c) Mandatory liquidation or approved business plan; or losses to the NCUSIF while the credit conservatorship. Notwithstanding any (iii) The effective date of classification union takes steps to become adequately other actions required or permitted to be as less than adequately capitalized if the capitalized, the NCUA Board shall, in taken under this section, the NCUA credit union has increased the total evaluating an RBP under this section, Board— amount of member business loans in consider the type and amount of any (1) Plan not submitted. May place into violation of § 702.204(a)(3). form of regulatory capital which may liquidation pursuant to 12 U.S.C. (2) Exception. The NCUA Board may become established by NCUA 1787(a)(3)(A)(ii), or conservatorship notify the credit union in writing that its regulation, or authorized by state law pursuant to 12 U.S.C. 1786(h)(1)(F), an RBP is to be filed within a different and recognized by NCUA, which the uncapitalized new credit union which period or that it is not necessary to file credit union holds, but which is not fails to submit a revised business plan an RBP. included in its net worth. within the time provided under (3) Failure to timely file plan. When (e) Review of revised business plan— paragraph (a)(2) of this section; or a new credit union fails to file an RBP (1) Notice of decision. Within 30 (2) Plan rejected, approved, as provided under paragraphs (a)(1) or calendar days after receiving an RBP implemented. Except as provided in (a)(2) of this section, the NCUA Board under this section, the NCUA Board paragraph (c)(3) of this section, must shall promptly notify the credit union shall notify the credit union in writing place into liquidation pursuant to 12 that it has failed to file an RBP and that whether its RBP is approved, and shall U.S.C. 1787(a)(3)(A)(ii), or it has 15 calendar days from receipt of provide reasons for its decision in the conservatorship pursuant to 12 U.S.C. that notice within which to do so. event of disapproval. The NCUA Board 1786(h)(1)(F), an uncapitalized new (b) Contents of revised business plan. may extend the time within which credit union that remains uncapitalized A new credit union’s RBP must, at a notice of its decision shall be provided. one hundred twenty (120) calendar days minimum— (2) Delayed decision. If no decision is after the later of: (1) Address changes, since the new made within the time prescribed in (i) The effective date of classification credit union’s current business plan was paragraph (e)(1) of this section, the RBP as uncapitalized; or approved, in any of the business plan is deemed approved. (ii) The last day of the calendar month elements required for charter approval (3) Consultation with state officials. following expiration of the time period under chapter 1, section IV.D. of When evaluating an RBP submitted by provided in the credit union’s initial appendix B to part 701 of this chapter, a federally insured state-chartered new business plan (approved at the time its or for state-chartered credit unions credit union (whether an original, new charter was granted) to remain under applicable state law; or additional RBP), the NCUA Board uncapitalized, regardless whether a (2) Establish a timetable of quarterly shall seek and consider the views of the revised business plan was rejected, targets for net worth during each year in appropriate state official, and provide approved or implemented. which the RBP is in effect so that the prompt notice of its decision to the (3) Exception. The NCUA Board may credit union becomes adequately appropriate state official. decline to place a new credit union into capitalized by the time it no longer (f) Plan not approved—(1) Submission liquidation or conservatorship as qualifies as ‘‘new’’ per § 702.201(b); of new revised plan. If an RBP is provided in paragraph (c)(2) of this (3) Specify the projected amount of rejected by the NCUA Board, the new section if the credit union documents to earnings of net worth increases as credit union shall submit a new RBP the NCUA Board why it is viable and provided under § 702.204(a)(1) or within 30 calendar days of receiving has a reasonable prospect of becoming 702.205(a)(1); notice of disapproval of its initial RBP, adequately capitalized. (4) Explain how the new credit union unless it is notified in writing by the (d) Mandatory liquidation of will comply with the mandatory and NCUA Board that the new RBP is to be uncapitalized federal credit union. In discretionary supervisory actions filed within a different period. lieu of paragraph (c) of this section, an imposed on it by the NCUA Board (2) Notice of decision on revised plan. uncapitalized federal credit union may under this subpart; Within 30 calendar days after receiving be placed into liquidation on grounds of (5) Specify the types and levels of an RBP under paragraph (f)(1) of this insolvency pursuant to 12 U.S.C. activities in which the new credit union section, the NCUA Board shall notify 1787(a)(1)(A). will engage; the credit union in writing whether the (6) In the case of a new credit union new RBP is approved. The Board may § 702.206 Revised business plans (RBP) reclassified to a lower category under extend the time within which notice of for new credit unions. § 702.202(d), specify the steps the credit its decision shall be provided. (a) Schedule for filing—(1) Generally. union will take to correct the unsafe or (3) Submission of multiple Except as provided in paragraph (a)(2) unsound condition or practice; and unapproved RBPs. The submission of of this section, a new credit union (7) Include such other information as more than two RBPs that are not classified moderately capitalized or the NCUA Board may require. approved is considered an unsafe and

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unsound condition and may subject the presented to members, to creditors or to (c) Restriction on payment of credit union to administrative NCUA, shall contain a dual declaration dividends if, after payment of dividends, enforcement action pursuant to section by the treasurer and the chief executive the new credit union’s net worth ratio 206 of the FCUA, 12 U.S.C. 1786 and officer, or in the latter’s absence, by any would be less than 6 percent. If, after 1790d. other officer designated by the board of payment of a dividend or refund of (g) Amendment of plan. A credit directors of the reporting credit union to interest, a well capitalized new credit union that has filed an approved RBP make such declaration, that the report union’s net worth ratio would fall below may, after prior written notice to and and related financial statements are true 6 percent in the current quarter, the approval by the NCUA Board, amend it and correct to the best of their board of directors of the new credit to reflect a change in circumstance. knowledge and belief and present fairly union may not: Pending approval of an amended RBP, the financial condition and the (1) Declare a dividend at a rate that is the new credit union shall implement statement of income for the period higher than the prevailing rates paid on its existing RBP as originally approved. covered. comparable accounts and maturities in (h) Publication. An RBP need not be (d) Charges for loan losses. Full and the relevant market area; published to be enforceable because fair disclosure demands that a new (2) Declare a non-repetitive dividend; publication would be contrary to the credit union properly address charges or public interest. for loan losses as follows: (3) Authorize a refund of interest. § 702.207 Incentives for new credit unions. (1) Charges for loan losses shall be PART 703—INVESTMENT AND (a) Assistance in revising business made in accordance with generally DEPOSIT ACTIVITIES plans. Upon timely request by a credit accepted accounting principles (GAAP); union having total assets of less than (2) The allowance for loan and lease ■ 9. The authority citation for part 703 $10 million (regardless how long it has losses (ALL) established for loans must continues to read as follows: been in operation), the NCUA Board fairly present the probable losses for all Authority: 12 U.S.C. 1757(7), 1757(8), shall provide assistance in preparing a categories of loans and the proper 1757(15). valuation of loans. The valuation revised business plan required to be § 703.14 [Amended] filed under § 702.206. allowance must encompass specifically ■ (b) Assistance. Management training identified loans, as well as estimated 10. Amend § 703.14 as follows: ■ and other assistance to new credit losses inherent in the loan portfolio, a. In paragraph (i) remove the words unions will be provided in accordance such as loans and pools of loans for ‘‘net worth classification’’ and add in with policies approved by the NCUA which losses have been incurred but are their place the words ‘‘capital Board. not identifiable on a specific loan-by- classification’’, and remove the words (c) Small credit union program. A loan basis; ‘‘or, if subject to a risk-based net worth new credit union is eligible to join and (3) Adjustments to the valuation ALL (RBNW) requirement under part 702 of receive comprehensive benefits and will be recorded in the expense account this chapter, has remained ‘well assistance under NCUA’s Small Credit ‘‘Provision for Loan and Lease Losses; capitalized’ for the six (6) immediately Union Program. and preceding quarters after applying the (4) At a minimum, adjustments to the applicable RBNW requirement,’’. § 702.208 Reserves. ■ b. In paragraph (j)(4) remove the ALL shall be made prior to the words ‘‘net worth classification’’ and Each new credit union shall establish distribution or posting of any dividend and maintain such reserves as may be add in their place the words ‘‘capital to the accounts of members. required by the FCUA, by state law, by classification’’, and remove the words regulation, or in special cases by the § 702.210 Payment of dividends. ‘‘or, if subject to a risk-based net worth NCUA Board or appropriate state (a) Restriction on dividends. (RBNW) requirement under part 702 of official. Dividends shall be available only from this chapter, has remained ‘well net worth, if any. capitalized’ for the six (6) immediately § 702.209 Full and fair disclosure of preceding quarters after applying the financial condition. (b) Payment of dividends if retained applicable RBNW requirement,’’. (a) Full and fair disclosure defined. earnings depleted. The board of ‘‘Full and fair disclosure’’ is the level of directors of a well capitalized new PART 713—FIDELITY BOND AND disclosure which a prudent person credit union that has depleted the INSURANCE COVERAGE FOR would provide to a member of a new balance of its retained earnings may FEDERAL CREDIT UNIONS credit union, to NCUA, or, at the authorize dividend payments, provided discretion of the board of directors, to that either— ■ 11. The authority citation for part 713 creditors to fairly inform them of the (1) The payment of dividends will not continues to read as follows: financial condition and the results of cause the credit union’s net worth Authority: 12 U.S.C. 1761a, 1761b, 1766(a), operations of the credit union. classification to fall below adequately 1766(h), 1789(a)(11). (b) Full and fair disclosure capitalized under subpart B of this part; ■ 12. Amend § 713.6 as follows: implemented. The financial statements or ■ a. In paragraph (a)(1), revise the table; of a new credit union shall provide for (2) If the payment of dividends will and full and fair disclosure of all assets, cause the net worth classification to fall ■ b. In paragraph (c) remove the words liabilities, and members’ equity, below adequately capitalized, the ‘‘net worth’’ each place they appear and including such valuation (allowance) appropriate Regional Director and, if add in their place the word ‘‘capital’’, accounts as may be necessary to present state-chartered, the appropriate state and remove the words ‘‘or, if subject to fairly the financial condition; and all official, have given prior written a risk-based net worth (RBNW) income and expenses necessary to approval (in an NWRP or otherwise) to requirement under part 702 of this present fairly the statement of income pay a dividend. The request for written chapter, has remained ‘well capitalized’ for the reporting period. approval must include the plan for for the six (6) immediately preceding (c) Declaration of officials. The eliminating any negative retained quarters after applying the applicable Statement of Financial Condition, when earnings balance. RBNW requirement,’’.

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§ 713.6 What is the permissible deductible? (a)(1) * * *

Assets Maximum deductible

$0 to $100,000 ...... No deductible allowed. $100,001 to $250,000 ...... $1,000. $250,000 to $1,000,000 ...... $2,000. Over $1,000,000 ...... $2,000 plus 1/1000 of total assets up to a maximum of $200,000; for credit unions that have received a com- posite CAMEL rating of ‘‘1’’ or ‘‘2’’ for the last two (2) full examinations and maintained a capital classification of ‘‘well capitalized’’ under part 702 of this chapter for the six (6) immediately preceding quarters the maximum deductible is $1,000,000.

* * * * * requirements for a particular credit evidence in support of the credit union pursuant to § 702.105 of this union’s position that the credit union PART 723—MEMBER BUSINESS chapter (each such action hereinafter wants NCUA to consider in deciding LOANS referred to as an ‘‘IMCR’’), NCUA shall whether to establish or to amend an ■ 13. The authority citation for part 723 issue and serve on the credit union IMCR for the credit union; and continues to read as follows: reasonable prior notice of the proposed (4) If desired, a request for a IMCR. NCUA shall also forward a copy recommendation from the NCUA’s Authority: 12 U.S.C. 1756, 1757, 1757A, of the notifying letter to the appropriate Ombudsman pursuant to paragraph (g) 1766, 1785, 1789. state supervisory authority (SSA) if a of this section. § 723.7 [Amended] state-chartered corporate credit union (d) Failure to file response. Failure by ■ 14. Amend § 723.7(c)(1) by removing would be subject to an IMCR. the credit union to respond within 30 the words ‘‘as defined by (b) Contents of the Notice. A notice of days, or such other time period as may § 702.102(a)(1)’’ and adding in their intention to impose an IMCR for a credit be specified by NCUA, may constitute a place the words ‘‘under part 702’’. union based on particular capital waiver of any objections to the proposed conditions at a credit union shall state IMCR or to the schedule for complying PART 747—ADMINISTRATIVE the following: with it, unless NCUA has provided an ACTIONS, ADJUDICATIVE HEARINGS, (1) The credit union’s net worth ratio, extension of the response period for RULES OF PRACTICE AND risk-based capital ratio and net worth good cause. PROCEDURE, AND INVESTIGATIONS classification. (e) Final decision by NCUA. After (2) The specific minimum capital expiration of the response period, ■ 15. The authority citation for part 747 levels that the NCUA Board intends to NCUA will decide whether or not the continues to read as follows: impose on the credit union under the proposed IMCR should be established Authority: 12 U.S.C. 1766, 1782, 1784, IMCR, and the specific causes for for the credit union, or whether that 1785, 1786, 1787, 1790a, 1790d; 42 U.S.C. determining that the higher IMCR is proposed requirement should be 4012a; Pub. L. 101–410; Pub. L. 104–134; necessary or appropriate for the credit adopted in modified form, based on a Pub. L. 109–351; 120 Stat. 1966. union. review of the credit union’s response (3) The proposed schedule for § 747.2001 [Amended] and other relevant information. NCUA’s compliance with the new requirement. ■ decision will address comments 16. Amend § 747.2001(a) by removing (4) That the credit union must file a received within the response period the citation ‘‘702.302(d)’’ and adding in written response to the notice, which from the credit union and the its place the citation ‘‘702.202(d)’’. shall be due no less than 30 calendar appropriate state supervisory authority days from the date of service of the § 747.2002 [Amended] (SSA) (in the case of a state-chartered notice. The NCUA Board may extend ■ 17. Amend § 747.2002(a) by removing credit union) and will state the level of the time period for good cause, and the the words ‘‘§§ 702.202(b), 702.203(b) capital required, the schedule for time period for response by the insured and 702.204(b)’’ and adding in their compliance with this requirement, and credit union may be shortened for good place the words ‘‘§§ 702.107(b), any specific remedial action the credit 702.108(b), or 702.109(b)’’, and by cause: (i) When, in the opinion of NCUA, the union could take to eliminate the need removing the words ‘‘§§ 702.304(b) or condition of the credit union so for continued applicability of the IMCR. 702.305(b)’’ and adding in their place requires, and NCUA informs the credit NCUA will provide the credit union and the words ‘‘§§ 702.204(b) or 702.205(b)’’. union of the shortened response period the appropriate SSA (if a state-chartered § 747.2003 [Amended] in the notice; or credit union is involved) with a written ■ (ii) With the consent of the credit decision on the IMCR, addressing the 18. Amend § 747.2003(a) by removing substantive comments made by the the citation ‘‘702.302(d)’’ and adding in union. (c) Contents of response to notice. A credit union and setting forth the its place the citation ‘‘702.202(d)’’. decision and the basis for that decision. ■ 19. Add § 747.2006 to subpart L to credit union’s response to a notice Upon receipt of this decision by the read as follows: under paragraph (b) of this section must include: credit union, the IMCR becomes § 747.2006 Review of order imposing (1) An explanation of why it contends effective and binding upon the credit individual minimum capital requirements the IMCR is not an appropriate exercise union. This decision represents final (IMCR). of discretion under this part; agency action. (a) Notice of proposed individual (2) A request that the NCUA Board (f) Request to modify or rescind IMCR. minimum capital requirements. When modify or not issue the IMCR; A credit union that is subject to an NCUA proposes to impose (3) Any information, mitigating existing IMCR may request in writing individualized minimal capital circumstances, documentation, or other that the NCUA Board reconsider the

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terms of the IMCR due to changed of NCUA’s ombudsman to modify or to section, or in a request under paragraph circumstances. Unless otherwise not issue a proposed IMCR under (f) of this section, shall be deemed to ordered by the NCUA Board, the IMCR paragraph (b) of this section, or to have waived the opportunity to do so. shall remain in effect while such request modify or rescind an existing IMCR due The ombudsman shall promptly notify is pending. A request under this to changed circumstances under the credit union and the NCUA Board paragraph (f) that remains pending 60 paragraph (f) of this section. A credit of his or her recommendation. days following receipt by the NCUA union which fails to request the [FR Doc. 2014–01702 Filed 2–26–14; 8:45 am] Board is deemed granted. ombudsman’s recommendation in a BILLING CODE 7535–01–P (g) Ombudsman. A credit union may response under paragraph (c) of this request in writing the recommendation

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Part III

Environmental Protection Agency

40 CFR Parts 51, 60, 61, et al. Revisions to Test Methods and Testing Regulations; Final Rule

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ENVIRONMENTAL PROTECTION number: (919) 541–0516; email address: PP. Method 18 of Appendix A–6 of Part 60 AGENCY [email protected]. QQ. Method 23 of Appendix A–7 of Part 60 SUPPLEMENTARY INFORMATION: 40 CFR Parts 51, 60, 61, and 63 RR. Method 24 of Appendix A–7 of Part 60 Table of Contents SS. Method 25 of Appendix A–7 of Part 60 [EPA–HQ–OAR–2010–0114; FRL–9906–23– TT. Method 25C of Appendix A–7 of Part OAR] I. General Information 60 A. Does this action apply to me? UU. Method 25D of Appendix A–7 of Part RIN 2060–AQ01 B. Where can I obtain a copy of this action? 60 C. Judicial Review VV. Method 26 of Appendix A–8 of Part 60 Revisions to Test Methods and Testing II. Background WW. Method 26A of Appendix A–8 of Part Regulations III. Summary of Amendments 60 A. Appendix M of Part 51 XX. Method 29 of Appendix A–8 of Part 60 AGENCY: Environmental Protection B. Method 201A of Appendix M of Part 51 YY. Method 30B of Appendix A–8 of Part Agency (EPA). C. Method 202 of Appendix M of Part 51 60 ACTION: Final rule. D. General Provisions (Subpart A) Part 60 ZZ. Performance Specification 3 of E. Industrial-Commercial-Institutional Appendix B of Part 60 SUMMARY: This action promulgates Steam Generating Units (Subpart Db) AAA. Performance Specification 4 of technical and editorial corrections for Part 60 Appendix B of Part 60 source testing of emissions and F. Hospital/Medical/Infectious Waste BBB. Performance Specification 4B of operations. Some current testing Incinerators (Subpart Ec) Part 60 Appendix B of Part 60 provisions contain inaccuracies and G. Sulfuric Acid Plants (Subpart H) Part 60 CCC. Performance Specification 7 of H. Sewage Treatment Plants (Subpart O) outdated procedures, and new Appendix B of Part 60 Part 60 DDD. Performance Specification 11 of alternatives that have been approved are I. Kraft Pulp Mills (Subpart BB) Part 60 Appendix B of Part 60 being added. These revisions will J. Stationary Gas Turbines (Subpart GG) EEE. Performance Specification 12B of improve the quality of data and will Part 60 Appendix B of Part 60 give testers additional flexibility to use K. Lead-Acid Battery Manufacturing Plants FFF. Performance Specification 15 of the newly approved alternative (Subpart KK) Part 60 Appendix B of Part 60 procedures. L. Metallic Mineral Processing Plants GGG. Performance Specification 16 of (Subpart LL) Part 60 Appendix B of Part 60 DATES: This final rule is effective on M. Asphalt Processing and Asphalt Roofing HHH. Procedure 1 of Appendix F of Part February 27, 2014. The incorporation by Manufacture (Subpart UU) Part 60 60 reference materials listed in the rule are N. Volatile Organic Chemical (VOC) III. Procedure 2 of Appendix F of Part 60 approved by the Director of the Federal Emissions From Synthetic Organic JJJ. Procedure 5 of Appendix F of Part 60 Register as of February 27, 2014. Compound Manufacturing Industry KKK. General Provisions (Subpart A) Part (SOCMI) Distillation Operations (Subpart 61 ADDRESSES: The EPA has established a NNN) Part 60 LLL. Beryllium (Subpart C) Part 61 docket for this action under Docket ID O. Stationary Compression Ignition MMM. Beryllium Rocket Motor Firing No. EPA–HQ–OAR–2010–0114. All Internal Combustion Engines (Subpart (Subpart D) Part 61 documents in the docket are listed in IIII) Part 60 NNN. Mercury (Subpart E) Part 61 the http://www.regulations.gov index. P. Stationary Spark Ignition Internal OOO. Inorganic Arsenic Emissions From Although listed in the index, some Combustion Engines (Subpart JJJJ) Part Glass Manufacturing Plants (Subpart N) information is not publicly available, 60 Part 61 e.g., confidential business information Q. Method 1 of Appendix A–1 of Part 60 PPP. Method 101 of Appendix B of Part 61 R. Method 2 of Appendix A–1 of Part 60 QQQ. Method 101A of Appendix B of Part (CBI) or other information whose S. Method 2A of Appendix A–1 of Part 60 61 disclosure is restricted by statute. T. Method 2B of Appendix A–1 of Part 60 RRR. Method 102 of Appendix B of Part 61 Certain other material, such as U. Method 2D of Appendix A–1 of Part 60 SSS. Method 104 of Appendix B of Part 61 copyrighted material, is not placed on V. Method 3A of Appendix A–2 of Part 60 TTT. Methods 108 and 108A of Appendix the Internet and will be publicly W. Method 3C of Appendix A–2 of Part 60 B of Part 61 available only in hard copy form. X. Method 4 of Appendix A–3 of Part 60 UUU. General Provisions (Subpart A) Part Publicly available docket materials are Y. Method 5 of Appendix A–3 of Part 60 63 available either electronically at Z. Method 5A of Appendix A–3 of Part 60 VVV. Synthetic Organic Chemical AA. Method 5E of Appendix A–3 of Part Manufacturing Industry (Subpart G) Part www.regulations.gov or in hard copy at 60 63 the Air Docket, EPA/DC, William BB. Method 5H of Appendix A–3 of Part WWW. Chromium Emissions From Hard Jefferson Clinton (WJC) Building, Room 60 and Decorative Chromium Electroplating 3334, 1301 Constitution Avenue NW., CC. Method 6 of Appendix A–4 of Part 60 and Chromium Anodizing Tanks Washington, DC. The Docket Facility DD. Method 6C of Appendix A–4 of Part (Subpart N) Part 63 and the Public Reading Room are open 60 XXX. Ethylene Oxide Emissions Standards from 8:30 a.m. to 4:30 p.m., Monday EE. Method 7 of Appendix A–4 of Part 60 for Sterilization Facilities (Subpart O) through Friday, excluding legal FF. Method 7A of Appendix A–4 of Part 60 Part 63 GG. Method 7E of Appendix A–4 of Part YYY. Marine Tank Vessel Loading holidays. The telephone number for the 60 Operations (Subpart Y) Part 63 Public Reading Room is (202) 566–1744, HH. Method 8 of Appendix A–4 of Part 60 ZZZ. Aerospace Manufacturing and and the telephone number for the Air II. Method 10 of Appendix A–4 of Part 60 Rework Facilities (Subpart GG) Part 63 Docket is (202) 566–1742. JJ. Methods 10A and 10B of Appendix A– AAAA. Pharmaceuticals Production FOR FURTHER INFORMATION CONTACT: Ms. 4 of Part 60 (Subpart GGG) Part 63 Lula Melton, U.S. Environmental KK. Method 11 of Appendix A–5 of Part 60 BBBB. Secondary Aluminum Production Protection Agency, Office of Air Quality LL. Method 12 of Appendix A–5 of Part 60 (Subpart RRR) Part 63 MM. Method 14A of Appendix A–5 of Part CCCC. Manufacturing of Nutritional Yeast Planning and Standards, Air Quality 60 (Subpart CCCC) Part 63 Assessment Division, Measurement NN. Method 16A of Appendix A–6 of Part DDDD. Petroleum Refineries: Catalytic Technology Group (E143–02), Research 60 Cracking Units, Catalytic Reforming Triangle Park, North Carolina 27711; OO. Method 16C of Appendix A–6 of Part Units, and Sulfur Recovery Units telephone number: (919) 541–2910; fax 60 (Subpart UUUU) Part 63

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EEEE. Stationary Reciprocating Internal 307(d)(7)(B) of the CAA, only an C. Method 202 of Appendix M of Part Combustion Engines (Subpart ZZZZ) objection to this final rule that was 51 Part 63 raised with reasonable specificity Revisions are made to Method 202 as FFFF. Method 306 of Appendix A of Part during the period for public comment 63 published on December 21, 2010. In can be raised during judicial review. GGGG. Method 306A of Appendix A of Sections 7.2.1 and 7.2.2, an error in the Part 63 Moreover, under section 307(b)(2) of the units of the acetone blank is corrected. HHHH. Methods 308, 315, and 316 of CAA, the requirements established by In Section 8.5.3.1, the text erroneously Appendix A of Part 63 this action may not be challenged referring to empty impingers is deleted. IIII. Method 321 of Appendix A of Part 63 separately in any civil or criminal Section 11.2.1 is clarified concerning IV. Public Comments on the Proposed proceedings brought by EPA to enforce the use of Method 17 for quantifying Amendments these requirements. V. Statutory and Executive Order Reviews condensable particulate matter. Figures A. Executive Order 12866: Regulatory II. Background 2 and 3 are revised to correctly show the Planning and Review and Executive first impinger with an extended stem Order 13563: Improving Regulation and The revisions to test methods and instead of a shortened one to be Regulatory Review testing regulations were proposed in the consistent with the method text, and the B. Paperwork Reduction Act Federal Register on January 9, 2012, condensed moisture and sample portion C. Regulatory Flexibility Act with a public comment period that of the sampling train are labeled to D. Unfunded Mandates Reform Act ended March 9, 2012. Thirty-eight make it easy to identify. Figures 4, 5, E. Executive Order 13132: Federalism comment letters were received from the and 6 are republished because of the F. Executive Order 13175: Consultation public. Changes were made to this final and Coordination With Indian Tribal poor print quality in the December 21, Governments rule based on the public comments. 2010, publication. G. Executive Order 13045: Protection of III. Summary of Amendments D. General Provisions (Subpart A) Part Children From Environmental Health Risks and Safety Risks A. Appendix M of Part 51 60 H. Executive Order 13211: Actions In the General Provisions of part 60, Concerning Regulations That In the introduction of Appendix M of Section 60.13(d)(1) is revised to remove Significantly Affect Energy Supply, part 51, Methods 3A and 19 are added the phrase ‘‘automatically, intrinsic to Distribution or Use to the list of methods not requiring the the opacity monitor.’’ Methods 3A and I. National Technology Transfer and use of audit samples. Advancement Act 19 are added to the list of methods not J. Executive Order 12898: Federal Actions B. Method 201A of Appendix M of Part requiring the use of audit samples in To Address Environmental Justice in 51 Section 60.8(g). A new Section 60.8(i) is Minority Populations and Low-Income added to allow the use of Method 205 Populations Revisions are made to Method 201A of 40 CFR part 51, Appendix M, K. Congressional Review Act as published on December 21, 2010. ‘‘Verification of Gas Dilution Systems Typographical errors in references to I. General Information for Field Instrument Calibrations,’’ as an acetone blanks, isokinetic sampling rate, alternative provision whenever multiple A. Does this action apply to me? source gas temperatures, stack blockage calibration gases are required under part The revisions promulgated in this dimensions by the sampling heads, and 60. The agency notes, however, that the final rule apply to testing at a number particulate matter with an aerodynamic use of calibration gas dilution devices of source categories. If you have any diameter less than or equal to 10 continues to be disallowed for part 75 questions regarding the applicability of micrometers (PM10) in Sections 7.2.1, applications (see 40 CFR 75.22(a)(5)(i)). this action to a particular entity, consult 8.3.4(b), 8.3.4.1, 8.7.2.2, and 8.7.5.5(a), Section 60.17 is revised to arrange the the person listed in the preceding FOR respectively, are corrected. An consensus standards that are FURTHER INFORMATION CONTACT section. erroneous reference to Methods 4A and incorporated by reference in alpha- 5 in Section 10.1 when using a standard numeric order. B. Where can I obtain a copy of this pitot tube is corrected to refer to action? Methods 1 and 2. Section 10.5, which E. Industrial-Commercial-Institutional Steam Generating Units (Subpart Db) In addition to being available in the addresses Class A volumetric glassware Part 60 docket, an electronic copy of this rule is deleted because it is not needed. For will also be available on the Worldwide those filters that cannot be weighed to In subpart Db, Method 320 is allowed Web (WWW) through the Technology a constant weight in Section 11.2.1, as an alternative for determining Transfer Network (TTN). Following the instructions are added to flag and report nitrogen oxides (NOX) concentration in Administrator’s signature, a copy of the the data as a minimum value. It is noted Section 60.46b(f)(1)(ii), (h)(1) and (2), final rule will be placed on the TTN’s that the nozzle, front half, and in-stack and sulfur dioxide (SO2) concentration policy and guidance page for newly filter samples need to be speciated into in Section 60.47b(b)(2). proposed or promulgated rules at organic and inorganic fractions similar F. Hospital/Medical/Infectious Waste http://www.epa.gov/ttn/oarpg. The TTN to the practice in Method 17. The Incinerators (Subpart Ec) Part 60 provides information and technology method now notes that neither Method exchange in various areas of air 17 nor 201A require a separate analysis In subpart Ec, the definition of pollution control. of the filter for inorganic and organic medical/infectious wastes in Section particulate matter. Clarity is added for 60.51c is revised to correct the C. Judicial Review using Method 17 for quantifying misspelling of ‘‘cremation.’’ Under section 307(b)(1) of the Clean condensable particulate matter. An Air Act (CAA), judicial review of this incorrect term in Equation 9 of Section G. Sulfuric Acid Plants (Subpart H) Part final rule is available by filing a petition 12.5 is corrected. In the nomenclature in 60 for review in the U.S. Court of Appeals Section 12.1, Vb, the volume of aliquot In subpart H, an equation for for the District of Columbia Circuit by taken for ion chromatography (IC) calculating the SO2 emission rate in April 28, 2014. Under section analysis, is deleted. Section 60.84(d) is corrected.

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H. Sewage Treatment Plants (Subpart O) O. Stationary Compression Ignition U. Method 2D of Appendix A–1 of Part Part 60 Internal Combustion Engines (Subpart 60 IIII) Part 60 In subpart O, a reference to Method In Method 2D, calibrating a barometer 209F in Section 60.154(b)(5) is revised In Subpart IIII, the requirement to use against a NIST-traceable barometer is to reflect a newer available version of Method 1 or 1A for sampling point allowed as an alternative to calibrating the method (i.e., 2540G). selection in testing gaseous emission against a mercury barometer. I. Kraft Pulp Mills (Subpart BB) Part 60 from engines with smaller ducts is V. Method 3A of Appendix A–2 of Part dropped, and single- or three-point 60 In subpart BB, a typographical error is sampling, depending on duct size, is In Method 3A, a redundant sentence corrected in the equation for correcting added. the total reduced sulfur concentration to noting that pre-cleaned air may be used 10 percent oxygen. P. Stationary Spark Ignition Internal for the high-level calibration gas is Combustion Engines (Subpart JJJJ) Part deleted. J. Stationary Gas Turbines (Subpart GG) 60 Part 60 W. Method 3C of Appendix A–2 of Part 60 In Subpart JJJJ, the requirement to use In subpart GG, the definitions of terms In Method 3C, an equation for for the equation in Section 60.335(b)(l) Method 1 or 1A for sampling point selection in testing gaseous emissions correcting the sample nitrogen are revised to allow the reference concentration for tank dilution is added combustor inlet absolute pressure to be from engines with smaller ducts is dropped, and single- or three-point as a supplemental calculation option for measured in millimeters of mercury Method 25C samples. (mm Hg). The site barometric pressure sampling, depending on duct size, is is allowed as an alternative to the added. X. Method 4 of Appendix A–3 of Part 60 observed combustor inlet absolute Q. Method 1 of Appendix A–1 of Part 60 In Method 4, the English value for the pressure for calculating the mean NOX leak rate exceedance in Section 9.1 is emission concentration. In Method 1, the distances from the corrected from 0.20 cfm to 0.020 cfm. sampling point to flow disturbances is Method 6A, Method 320, and a K. Lead-Acid Battery Manufacturing clarified in Figure 1–1, and Figure 1–2 Plants (Subpart KK) Part 60 calculation using F-factors are added as is corrected to show the proper alternatives to Method 4 for the In subpart KK, Method 29 is allowed demarcation between the requirement moisture determination. as an alternative to Method 12 in for 12 and 16 sampling points. Section 60.374(b)(1) and (c)(2) for Y. Method 5 of Appendix A–3 of Part 60 determining the lead concentration and R. Method 2 of Appendix A–1 of Part 60 In Method 5, it is clarified that the flow rate of the effluent gas. An error in In Method 2, a pressure stability deionized water used in the analysis of the equation for calculating the lead material caught in the impingers must specification for the pitot tube leak- ≤ emission concentration in 60.374(b)(2) check is added. An erroneous reference have 0.001 percent residue; the factor is corrected. to Figure 2–6B is corrected to reference K is corrected to read K’ in Equation 5– Figure 2–7B. An error in a term in the 13; calibrating a barometer against a L. Metallic Mineral Processing Plants NIST-traceable barometer is allowed as (Subpart LL) Part 60 denominator of Equation 2–7 is corrected. The velocity constant in an alternative to calibrating against a In subpart LL, an error in the value of English units used in Equation 2–7 is mercury barometer; calibrating a the particulate matter standard in corrected by changing the units from m/ temperature sensor against a Section 60.382(a)(1) is corrected from sec to ft/sec. The term for absolute thermometer equivalent to a mercury-in- 0.02 g/dscm to 0.05 g/dscm. An temperature in Equations 2–7 and 2–8 is glass thermometer is allowed as an alternative procedure, wherein a single corrected to represent the average of the alternative to calibrating against a visible emission observer can conduct absolute temperatures; an inadvertently mercury-in-glass thermometer; visible emission observations for up to omitted term is added to Section 12.1 rechecking temperature sensors for the three fugitive, stack, or vent emission for the average absolute temperature; filter holder and metering system after points within a 15-second interval, is each test is allowed in place of having and calibrating a barometer against a ° allowed. NIST-traceable barometer is allowed as sensors calibrated within 3 F; the option to check the probe heater M. Asphalt Processing and Asphalt an alternative to calibrating against a mercury barometer. calibration after a test at a single point Roofing Manufacture (Subpart UU) Part using a reference thermometer is added; 60 S. Method 2A of Appendix A–1 of Part the use of weather station barometric In subpart UU, an error in the value 60 pressure corrected to testing point of the particulate matter standard for elevation is added as an option to saturated felt or smooth-surfaced roll In Method 2A, calibrating a barometer having an on-site barometer; a single roofing is corrected from 0.04 kg/Mg to against a NIST-traceable barometer is acetone blank per container is allowed 0.4 kg/Mg. allowed as an alternative to calibrating in place of a blank from each wash against a mercury barometer. bottle; Section 10.3.3 is clarified as a N. Volatile Organic Compound (VOC) post-test metering system calibration Emissions from Synthetic Organic T. Method 2B of Appendix A–1 of Part 60 check rather than a metering system Chemical Manufacturing Industry calibration, and an alternative metering (SOCMI) Distillation Operations In Method 2B, nomenclature errors check procedure is added; the use of (Subpart NNN) Part 60 are corrected and the assumed ambient filter holder supports or frits made of In subpart NNN, references to carbon dioxide concentration used in Teflon is allowed without having to first paragraphs in Section 60.660(c)(4) and the calculations is changed from 300 to obtain the Administrator’s approval; Section 60.665(h)(2) and (3) are 380 ppm to closer approximate current and Reference 13 for post-test corrected. ambient levels. calibration is added to the method.

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Z. Method 5A of Appendix A–3 of Part concentrations, and calibrating a MM. Method 14A of Appendix A–5 of 60 temperature sensor against a Part 60 thermometer equivalent to a mercury-in- In Method 5A, mercury-free In Section 10.1.1 of Method 14A, an thermometers are allowed as an glass thermometer is added as an acceptable alternative to using a incorrect reference to Figure 5–6 is alternative to mercury-in-glass corrected to reference Figure 5–5. thermometers. mercury-in-glass thermometer. GG. Method 7E of Appendix A–4 of Part NN. Method 16A of Appendix A–6 of AA. Method 5E of Appendix A–3 of Part Part 60 60 60 In Method 16A, the applicability In Method 5E, the requirement to use In Method 7E, the instructions for section notes that method results may the Rosemount Model 2100A total choosing the high-level calibration gas be biased low if used at sources other organic content analyzer is replaced are clarified. Instructions are added to than kraft pulp mills where stack with the Tekmar-Dohrmann or minimize contact of the sample with oxygen levels may be lower. equivalent analyzer. In Section 12.5, the any condensate to reduce the chance of equation for total particulate sample loss, and an error in the traverse OO. Method 16C of Appendix A–6 of concentration is correctly labeled as Eq. point locations used to determine Part 60 5E–5. stratification across large stacks is corrected. The basis of a stable response In Method 16C, errors in the BB. Method 5H of Appendix A–3 of Part for measurements in the system nomenclature and the equation for 60 response time determination is revised calculating the total reduced sulfur In Method 5H, Section 12.1 is revised in Section 8.2.5 to conform with Section concentration are corrected. to add missing terms Ci, Co, Qi, and Qo; 8.2.6. Alternative sampling bags made of PP. Method 18 of Appendix A–6 of Part and procedures for the determination of materials other than Tedlar are allowed 60 an alternative tracer gas flow rate are if the materials are applicable for added. retaining the compounds of interest. In Method 18, sampling bags made of materials other than Tedlar are allowed CC. Method 6 of Appendix A–4 of Part HH. Method 8 of Appendix A–4 of Part if the materials are applicable for 60 60 retaining the compounds of interest. In Method 6, calibrating a temperature In Method 8, an error in the definition sensor against a thermometer equivalent QQ. Method 23 of Appendix A–7 of Part of Vsoln is corrected. Figure 8–1 is 60 to a mercury-in-glass thermometer is clarified to identify which impingers allowed as an alternative to using a collect sulfuric acid/sulfur trioxide and In Method 23, the requirement in mercury-in-glass thermometer, and which collect SO2. Section 2.2.7 that silica gel be stored in calibrating a barometer against a NIST- metal containers has been deleted. traceable barometer is allowed as an II. Method 10 of Appendix A–4 of Part Section 4.2.7 is clarified to note that the alternative to calibrating against a 60 used silica gel should be transferred to mercury barometer. Method 10 is revised to allow the use its original container or other suitable DD. Method 6C of Appendix A–4 of Part of sample tanks as an alternative to vessel if moisture is being determined or 60 flexible bags for sample collection. discarded if not needed. Mercury-free thermometers are allowed as In Section 4.0 of Method 6C, an JJ. Methods 10A and 10B of Appendix alternatives to mercury-in-glass incorrect reference to Section 4.1 of A–4 of Part 60 thermometers. Section 8.0, which was Method 6 is corrected to reference In Methods 10A and 10B, sampling inadvertently removed in a previous Section 4.0 of Method 7E. Provisions rulemaking, has been added. that were removed from the original bags made of materials other than method that addressed potential Tedlar are allowed if the materials have RR. Method 24 of Appendix A–7 of Part quenching effects in fluorescence the sample retaining qualities of Tedlar. 60 analyzers are added to the method. KK. Method 11 of Appendix A–5 of Part In Method 24, ASTM Method D2369 EE. Method 7 of Appendix A–4 of Part 60 is cited without referencing specific 60 Method 11 is revised to address sections to preclude confusion if the In Method 7, procedures are added to sample breakthrough at high method sections are revised in the avoid biasing the results when sampling concentrations by using an additional future. under conditions of high SO2 collection impinger. Calibrating a SS. Method 25 of Appendix A–7 of Part concentrations; calibrating a barometer temperature sensor against a 60 against a NIST-traceable barometer is thermometer equivalent to a mercury-in- added as an alternative to calibrating glass thermometer is an acceptable In Method 25, more detailed against a mercury barometer; and alternative to using a mercury-in-glass information is given to describe the calibrating a temperature sensor against thermometer. filters used for sample collection. a thermometer equivalent to a mercury- LL. Method 12 of Appendix A–5 of Part TT. Method 25C of Appendix A–7 of in-glass thermometer is an acceptable 60 Part 60 alternative to using a mercury-in-glass thermometer. Method 12 is revised to allow for Method 25C is revised to allow analysis by inductively coupled plasma- sampling lines made of Teflon. Probes FF. Method 7A of Appendix A–4 of Part atomic emission spectrometry (ICP– that have closed points and are driven 60 AES) and cold vapor atomic below the surface in a single step and In Method 7A, new procedures are fluorescence spectrometry (CVAFS) as withdrawn a distance to create a gas gap added to avoid biasing the results when alternatives to atomic absorption (AA) are allowed as acceptable substitutes to sampling under conditions of high SO2 analysis. pilot probes and the auger procedure.

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UU. Method 25D of Appendix A–7 of AAA. Performance Specification 4 of relative accuracy test audit clearly notes Part 60 Appendix B of Part 60 that the statistical tests in Section 8.3 are not required for this test. An In Method 25D, errors in cross- Performance Specification 4 is revised to remove the interference trap specified incorrect reference to Equation 16–4 in references within the method are in Method 10 when evaluating non- Section 12.4 is corrected. corrected. dispersive infrared continuous emission HHH. Procedure 1 of Appendix F of Part VV. Method 26 of Appendix A–8 of Part monitoring systems against Method 10. 60 60 BBB. Performance Specification 4B of In Procedure 1, the relevant Method 26 is revised to allow the use Appendix B of Part 60 performance specification would be of heated Teflon probes in place of Performance Specification 4B is cited for the RAA calculation instead of glass-lined probes. Conflicting clarified to note that Equation 1 in using the current Equation 1–1, which temperature requirements for the Section 7.1.1 for calculating calibration is not appropriate for all pollutants. sampling system are clarified, and the error only applies to the carbon III. Procedure 2 of Appendix F of Part note to keep the probe and filter monoxide monitor and not the oxygen 60 temperature at least 20 °C above the monitor. It is noted for the oxygen In Procedure 2, Equations 2–2 and 2– source temperature is removed. The monitor that the calibration error should 3 are revised to have the full-scale value location of the thermocouple that be expressed as the oxygen in the denominator, which is more monitors the collected gas temperature concentration difference between the appropriate than the up-scale check is clarified as being as close to the filter mean monitor and reference value at three levels. value. The denominator of equation 2– holder as practicable instead of in the 4 is revised to include the volume of the gas stream. Method 26A is allowed as an CCC. Performance Specification 7 of reference device rather than the full- acceptable alternative when Method 26 Appendix B of Part 60 scale value. is required. Performance Specification 7 is revised JJJ. Procedure 5 of Appendix F of Part WW. Method 26A of Appendix A–8 of to allow Methods 15 and 16 as reference 60 Part 60 methods in addition to Method 11. In Procedure 5, the second section Method 26A is revised to clearly state DDD. Performance Specification 11 of listed as Section 6.2.6 is correctly that the temperature of the probe and Appendix B of Part 60 numbered as Section 6.2.7. filter must be maintained between 120 In Performance Specification 11, ° KKK. General Provisions (Subpart A) and 134 C. errors in the denominators of Equations Part 61 11–1 and 11–2 are corrected. XX. Method 29 of Appendix A–8 of Part In the General Provisions of part 61, 60 EEE. Performance Specification 12B of Methods 3A and 19 are added to the list Appendix B of Part 60 of methods not requiring the use of Method 29 is revised to allow sample In Performance Specification 12B, audit samples in Section 61.13(e). analysis by CVAFS as an alternative to allowance is made for using a single LLL. Beryllium (Subpart C) Part 61 AA analysis. good trap when one is lost, broken or YY. Method 30B of Appendix A–8 of damaged. More flexibility is also In the Beryllium National Emission Part 60 allowed in meeting the stack flow-to- Standards for Hazardous Air Pollutants sample flow ratio. (NESHAP), Method 29 of part 60 is In Method 30B, calibrating a added as an acceptable alternative to barometer against a NIST-traceable FFF. Performance Specification 15 of Method 104 in Section 61.33(a) for barometer is allowed as an alternative to Appendix B of Part 60 emissions testing. calibrating against a mercury barometer. In Performance Specification 15, the MMM. Beryllium Rocket Motor Firing Table 9–1 and the method text are general references to 40 CFR part 60, (Subpart D) Part 61 revised to amend the quality assurance/ Appendix B, for the relative accuracy quality control criteria for sorbent trap analysis procedure are revised to In the beryllium rocket motor firing section 2 breakthrough and sample specifically cite Performance NESHAP, a conversion error in the analysis to address compliance testing Specification 2 of 40 CFR part 60, emission standard in Section 61.42(a) is and relative accuracy testing of mercury Appendix B. corrected. monitoring systems currently being GGG. Performance Specification 16 of NNN. Mercury (Subpart E) Part 61 conducted at much lower emission Appendix B of Part 60 concentrations. The method is revised In the mercury NESHAP, Method 29 Performance Specification 16 is to include the most up-to-date citation of part 60 is added as an acceptable revised to clarify the retesting of a for determining the method detection alternative to Method 101A in Section predictive emission monitoring system 61.53(d)(2) for emissions testing. limit. (PEMS) after a sensor is replaced. OOO. Inorganic Arsenic Emissions From ZZ. Performance Specification 3 of Relative accuracy testing at three load or Glass Manufacturing Plants (Subpart N) Appendix B of Part 60 production rate levels is allowed in cases where the key operating parameter Part 61 In Performance Specification 3, a is not readily alterable. Additional In the glass manufacturing plants statement that was inadvertently instruction is added for performing the NESHAP, Method 29 in Appendix A of removed that allows the relative relative accuracy audit (RAA). An error part 60 is added as an acceptable accuracy to be within 20 percent of the in the RAA acceptance criterion is alternative to Method 108 in Section reference method mean value is added corrected, and an alternative acceptance 61.164(d)(2)(i) for determining the to establish the original intent of the criterion for low concentration arsenic emissions rate and in Section rule. measurements is added. The yearly 61.164(e)(1)(i) and (e)(2) for determining

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the arsenic concentration in a gas XXX. Ethylene Oxide Emissions DDDD. Petroleum Refineries: Catalytic stream. Standards for Sterilization Facilities Cracking Units, Catalytic Reforming (Subpart O) Part 63 Units, and Sulfur Recovery Units PPP. Method 101 of Appendix B of Part (Subpart UUUU) Part 63 61 The ethylene oxide emissions Table 4 in the petroleum refineries Method 101 is revised to allow standard for sterilization facilities is revised to allow California Air emissions standard is revised to allow analysis by ICP–AES or CVAFS as Method 320 as an alternative to Method alternatives to AA analysis. Resources Board (CARB) Method 431 as an alternative to the procedures in 18 for determining control device QQQ. Method 101A of Appendix B of Section 63.365(b) for determining the efficiency for organic compounds. Part 61 efficiency at the sterilization chamber EEEE. Stationary Reciprocating Internal Method 101A is revised to allow vent. An error in a reference to a section Combustion Engines (Subpart ZZZZ) analysis by ICP–AES or CVAFS as in Performance Specification 8 is also Part 63 alternatives to AA analysis. corrected. Table 4 in the stationary reciprocating RRR. Method 102 of Appendix B of Part YYY. Marine Tank Vessel Loading internal combustion engines emissions 61 Operations (Subpart Y) Part 63 standard is revised to clarify that a heated probe is not necessary when In Method 102, mercury-free The marine tank vessel loading using ASTM D6522 to measure oxygen thermometers are allowed in place of operations emissions standard is revised or carbon dioxide concentrations. The mercury-in-glass thermometers. to allow Method 25B as an alternative requirement to use Method 1 or 1A for to Method 25A in Section 63.565(d)(5) sampling site and sampling point SSS. Method 104 of Appendix B of Part for determining the average VOC selection in testing gaseous emissions 61 concentration upstream and from engines with smaller ducts is Method 104 is revised to allow downstream of recovery devices. deleted, and single- or three-point analysis by ICP–AES and CVAFS as Method 25B is allowed as an alternative sampling, depending on duct size, is alternatives to AA analysis. A new to Methods 25 and 25A for determining added. alternative procedures section is added the percent reduction in VOC in Section FFFF. Method 306 of Appendix A of to address ICP–AES. 63.565(d)(8), and the requirement that Method 25B be validated according to Part 63 TTT. Methods 108 and 108A of Method 301 in Section 63.565(d)(10) is Method 306 is revised to remove Appendix B of Part 61 added. Method 25B is also added as an references to two figures that do not Methods 108 and 108A are revised to alternative to Method 25A in exist and to clarify the conditions under allow analysis by ICP–AES as an determining the baseline outlet VOC which ICP is appropriate for sample alternative to AA analysis. A new concentration in Section 63.565(g). analysis. Alternative mercury-free alternative procedures section is added thermometers are allowed as ZZZ. Aerospace Manufacturing and to address ICP–AES. alternatives to mercury-in-glass Rework Facilities (Subpart GG) Part 63 thermometers. UUU. General Provisions (Subpart A) Part 63 The aerospace manufacturing and GGGG. Method 306A of Appendix A of rework facilities emissions standard is Part 63 In the General Provisions of part 63, revised to remove an incorrect reference Methods 3A and 19 are added to the list In Method 306A, information is added to the location of Method 319 in Section to clarify the conditions under which of methods not requiring the use of 63.750(o). audit samples in Section 63.7(c). In sample filtering is required. Section 63.8(f)(6)(iii), an incorrect AAAA. Pharmaceuticals Production HHHH. Methods 308, 315, and 316 of reference to a section of Performance (Subpart GGG) Part 63 Appendix A of Part 63 Specification 2 is corrected. Section The pharmaceuticals production In Methods 308, 315, and 316, 63.14 is revised to arrange the materials emissions standard is revised to allow calibrating a temperature sensor against that are incorporated by reference in Method 320 as an alternative to Method a thermometer equivalent to a mercury- alpha-numeric order. 18 for demonstrating that a vent is not in-glass thermometer is added as an VVV. Synthetic Organic Chemical a process vent. alternative to mercury-in-glass Manufacturing Industry (Subpart G) thermometers. Alternative mercury-free BBBB. Secondary Aluminum Production Part 63 thermometers are allowed as (Subpart RRR) Part 63 alternatives to mercury-in-glass Subpart G is revised to allow the use thermometers. of Method 316 or Method 8260B in the The secondary aluminum production SW–846 Compendium of Methods to emissions standard is revised to allow IIII. Method 321 of Appendix A of Part determine hazardous air pollutant Method 26 as an alternative to Method 63 26A in Section 63.1511(c)(9) for concentrations in wastewater streams in In Method 321, the term for dilution determining hydrochloric acid (HCl) Section 63.144(b)(5)(i). factor in the calculations is clarified. concentration. WWW. Chromium Emissions From Hard IV. Public Comments on the Proposed and Decorative Chromium CCCC. Manufacturing of Nutritional Amendments Electroplating and Chromium Yeast (Subpart CCCC) Part 63 Thirty-eight comment letters were Anodizing Tanks (Subpart N) Part 63 Table 2 in the manufacturing of received on the proposed rule. The South Coast Air Quality Management nutritional yeast emissions standard is public comments and the agency’s District Method 205.1 is added as a revised to delete the requirement to use responses are summarized in the testing option for measuring total Methods 1, 2, 3, and 4 when measuring Summary of Comments and Responses chromium. VOC by Method 25A. Document that has been added to the

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docket that is accessible at the address entities, I certify that this action will not EO 13045 because it does not establish given in the ADDRESSES section of this have a significant economic impact on an environmental standard intended to preamble. a substantial number of small entities. mitigate health or safety risks. This final rule will not impose any V. Statutory and Executive Order H. Executive Order 13211: Actions requirements on small entities since it Reviews Concerning Regulations That only corrects and updates current Significantly Affect Energy Supply, A. Executive Order 12866: Regulatory requirements and adds new testing Distribution, or Use Planning and Review and Executive options. Order 13563: Improving Regulation and This rule is not subject to Executive D. Unfunded Mandates Reform Act Regulatory Review Order 13211 (66 FR 28355 (May 22, This action contains no federal 2001)), because it is not a significant This action is not a ‘‘significant mandates under the provisions of Title regulatory action’’ under the terms of regulatory action under Executive Order II of the Unfunded Mandates Reform 12866. Executive Order 12866 (58 FR 51735, Act of 1995 (UMRA), 2 U.S.C. 1531– October 4, 1993) and is, therefore, not 1538, for state, local, or tribal I. National Technology Transfer and subject to review under Executive governments or the private sector. This Advancement Act Orders 12866 and 13563 (76 FR 3821, action imposes no enforceable duty on January 21, 2011). It does not involve Section 12(d) of the National any state, local or tribal governments or Technology Transfer and Advancement the expenditure of $100 million in a the private sector. Therefore, this action year and does not raise significant Act of 1995 (‘‘NTTAA’’), Public Law is not subject to the requirements of 104–113, 12(d) (15 U.S.C. 272 note) issues. This final rule amends current sections 202 or 205 of the UMRA. This testing regulations by removing errors directs the EPA to use voluntary action is also not subject to the consensus standards in its regulatory and obsolete provisions and adding requirements of section 203 of UMRA approved alternative procedures. activities unless to do so would be because it contains no regulatory inconsistent with applicable law or B. Paperwork Reduction Act requirements that might significantly or otherwise impractical. Voluntary uniquely affect small governments. The This action does not impose an consensus standards are technical alternative procedure being added will information collection burden under the standards (e.g., materials specifications, give small entities more flexibility in provisions of the Paperwork Reduction test methods, sampling procedures, and choosing testing procedures in Act, 44 U.S.C. 3501 et seq. Burden is business practices) that are developed or applicable situations. defined at 5 CFR 1320.3(b). This final adopted by voluntary consensus rule does not add information collection E. Executive Order 13132: Federalism standards bodies. The NTTAA directs the EPA to provide Congress, through requirements beyond those currently This action does not have federalism OMB, explanations when the agency required under the applicable implications. It will not have substantial decides not to use available and regulations. This final rule amends direct effects on the states, on the applicable voluntary consensus current testing regulations by removing relationship between the national standards. This action does not involve errors and obsolete provisions and government and the states, or on the technical standards. Therefore, the EPA adding approved alternative procedures. distribution of power and did not consider the use of any responsibilities among the various C. Regulatory Flexibility Act voluntary consensus standards. levels of government, as specified in The Regulatory Flexibility Act (RFA) Executive Order 13132. This final rule J. Executive Order 12898: Federal generally requires an agency to prepare corrects and updates current testing Actions To Address Environmental a regulatory flexibility analysis of any requirements. Thus, Executive Order Justice in Minority Populations and rule subject to notice and comment 13132 does not apply to this action. Low-Income Populations rulemaking requirements under the Administrative Procedure Act or any F. Executive Order 13175: Consultation Executive Order (EO) 12898 (59 FR other statute unless the agency certifies and Coordination With Indian Tribal 7629 (Feb. 16, 1994)) establishes federal that the rule will not have a significant Governments executive policy on environmental economic impact on a substantial This action does not have tribal justice. Its main provision directs number of small entities. Small entities implications, as specified in Executive federal agencies, to the greatest extent include small businesses, small Order 13175 (65 FR 67249, November 9, practicable and permitted by law, to organizations, and small governmental 2000). This final rule corrects and make environmental justice part of their jurisdictions. updates testing provisions that are mission by identifying and addressing, For purposes of assessing the impacts already currently mandated. It does not as appropriate, disproportionately high of this rule on small entities, small add any new requirements and does not and adverse human health or entity is defined as: (1) A small business affect pollutant emissions or air quality. environmental effects of their programs, as defined by the Small Business Thus, Executive Order 13175 does not policies, and activities on minority Administration’s (SBA) regulations at 13 apply to this action. populations and low-income CFR 121.201; (2) a small governmental populations in the United States. jurisdiction that is a government of a G. Executive Order 13045: Protection of The EPA has determined that this city, county, town, school district or Children From Environmental Health final rule will not have special district with a population of less Risks and Safety Risks disproportionately high and adverse than 50,000; and (3) a small The EPA interprets EO 13045 (62 FR human health or environmental effects organization that is any not-for-profit 19885, April 23, 1997) as applying only on minority or low-income populations enterprise which is independently to those regulatory actions that concern because it does not affect the level of owned and operated and is not health or safety risks, such that the protection provided to human health or dominant in its field. analysis required under section 5–501 of the environment. This final rule does After considering the economic the EO has the potential to influence the not relax the control measures on impacts of this final rule on small regulation. This action is not subject to sources regulated by the rule and,

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therefore, will not cause emissions ■ viii. By revising section 11.2.1. compliance authority first and report to the increases from these sources. ■ ix. By removing the term ‘‘Vb’’ and its AASP. If the method being audited is a definition from section 12.1. method that allows the samples to be K. Congressional Review Act ■ x. By revising Equations 8 and 9 in analyzed in the field, and the tester plans to The Congressional Review Act, 5 analyze the samples in the field, the tester section 12.5. may analyze the audit samples prior to ■ U.S.C. 801 et seq., as added by the Small c. By amending Method 202 as collecting the emission samples provided a Business Regulatory Enforcement follows: representative of the compliance authority is Fairness Act of 1996, generally provides ■ i. By revising sections 7.2.1 and 7.2.2. present at the testing site. The tester may that before a rule may take effect, the ■ ii. By revising section 8.5.1. request and the compliance authority may agency promulgating the rule must ■ iii. By revising section 8.5.3.1. grant a waiver to the requirement that a submit a rule report, which includes a ■ iv. By revising sections 11.2.1 and representative of the compliance authority copy of the rule, to each House of the 11.2.2. must be present at the testing site during the Congress and to the Comptroller General ■ vi. By revising Figures 2, 3, 4, 5, and field analysis of an audit sample. The source 6 in section 18.0. owner, operator, or representative may report of the United States. The EPA will the results of the audit sample to the submit a report containing this rule and Appendix M to Part 51—Recommended compliance authority and then report the other required information to the U.S. Test Methods for State Implementation results of the audit sample to the AASP prior Senate, the U.S. House of Plans to collecting any emission samples. The test Representatives, and the Comptroller protocol and final test report shall document General of the United States prior to * * * * * whether an audit sample was ordered and publication of the rule in the Federal 4.0. * * * utilized and the pass/fail results as Register. A major rule cannot take effect a. The source owner, operator, or applicable. representative of the tested facility shall * * * * * until 60 days after it is published in the obtain an audit sample, if commercially Federal Register. This action is not a available, from an AASP for each test method Method 201A—Determination of PM10 and ‘‘major rule’’ as defined by 5 U.S.C. used for regulatory compliance purposes. No PM2.5 Emissions From Stationary Sources 804(2). This rule will be effective on audit samples are required for the following (Constant Sampling Rate Procedure) February 27, 2014. test methods: Methods 3A and 3C of * * * * * appendix A–3 of part 60, Methods 6C, 7E, 9, List of Subjects 7.2.1 Acetone. Use acetone that is stored and 10 of appendix A–4 of part 60, Methods in a glass bottle. Do not use acetone from a 40 CFR Parts 51 and 61 18 and 19 of appendix A–6 of part 60, metal container because it will likely Methods 20, 22, and 25A of appendix A–7 of produce a high residue in the laboratory and Air pollution control, Environmental part 60, and Methods 303, 318, 320, and 321 field reagent blanks. You must use acetone protection, Performance specifications, of appendix A of part 63 of this chapter. If with blank values less than 1 part per million and Test methods and procedures. multiple sources at a single facility are tested by weight residue. Analyze acetone blanks during a compliance test event, only one prior to field use to confirm low blank 40 CFR Parts 60 and 63 audit sample is required for each method values. In no case shall a blank value of Air pollution control, Environmental used during a compliance test. The greater than 0.0001 percent (1 part per protection, Incorporation by reference, compliance authority responsible for the million by weight) of the weight of acetone Performance specifications, and Test compliance test may waive the requirement used in sample recovery be subtracted from to include an audit sample if they believe the sample weight (i.e., the maximum blank methods and procedures. that an audit sample is not necessary. correction is 0.1 mg per 100 g of acetone used Dated: January 28, 2014. ‘‘Commercially available’’ means that two or to recover samples). Gina McCarthy, more independent AASPs have blind audit * * * * * samples available for purchase. If the source Administrator. 8.3.4 * * * owner, operator, or representative cannot (b) The appropriate nozzle to maintain the For the reasons set out in the find an audit sample for a specific method, required gas sampling rate for the velocity preamble, Title 40, Chapter I of the Code the owner, operator, or representative shall pressure range and isokinetic range. If the of Federal Regulations is amended as consult the EPA Web site at the following isokinetic range cannot be met (e.g., batch follows: URL, http://www.epa.gov/ttn/emc, to confirm processes, extreme process flow or whether there is a source that can supply an temperature variation), void the sample or PART 51—REQUIREMENTS FOR audit sample for that method. If the EPA Web use methods subject to the approval of the PREPARATION, ADOPTION, AND site does not list an available audit sample Administrator to correct the data. The SUBMITTAL OF IMPLEMENTATION at least 60 days prior to the beginning of the acceptable variation from isokinetic sampling compliance test, the source owner, operator, PLANS is 80 to 120 percent and no more than 100 or representative shall not be required to ± 21 percent (2 out of 12 or 5 out of 24) ■ include an audit sample as part of the quality sampling points outside of this criteria. 1. The authority citation for part 51 assurance program for the compliance test. continues to read as follows: When ordering an audit sample, the source * * * * * 8.3.4.1 Preliminary traverse. You must Authority: 42 U.S.C. 7401, et. seq. owner, operator, or representative shall give the sample provider an estimate for the use an S-type pitot tube with a conventional ■ 2. Amend appendix M to part 51 as concentration of each pollutant that is thermocouple to conduct the traverse. follows: emitted by the source or the estimated Conduct the preliminary traverse as close as ■ a. By revising section 4.0.a. concentration of each pollutant based on the possible to the anticipated testing time on ■ sources that are subject to hour-by-hour gas b. By amending Method 201A as permitted level and the name, address, and ± follows: phone number of the compliance authority. flow rate variations of approximately 20 ■ The source owner, operator, or representative percent and/or gas temperature variations of i. By revising section 7.2.1. approximately ± 28 °C (± 50 °F). (Note: You ■ ii. By revising paragraph 8.3.4(b). shall report the results for the audit sample along with a summary of the emission test should be aware that these variations can ■ iii. By revising section 8.3.4.1. cause errors in the cyclone cut diameters and ■ results for the audited pollutant to the iv. By revising section 8.7.2.2. compliance authority and shall report the the isokinetic sampling velocities.) ■ v. By revising paragraph 8.7.5.5(a). results of the audit sample to the AASP. The * * * * * ■ vi. By revising the introductory text of source owner, operator, or representative 8.7.2.2 Probe blockage factor. You must section 10.1. shall make both reports at the same time and use Equation 26 to calculate an average probe ■ vii. By removing section 10.5. in the same manner or shall report to the blockage correction factor (bf) if the diameter

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of your stack or duct is between 25.7 and 8.7.5.5 * * * less than 26.5 inches in diameter, testers may 36.4 inches for the combined PM2.5/PM10 (a) Container #1, Less than or equal to use a standard pitot tube according to the sampling head and pitot and between 18.8 PM2.5 micrometer filterable particulate. Use requirements in Method 1 or 2 of appendix and 26.5 inches for the PM2.5 cyclone and tweezers and/or clean disposable surgical A–3 to part 60 of this chapter.) You must also pitot. A probe blockage factor is calculated gloves to remove the filter from the filter complete the following: because of the flow blockage caused by the holder. Place the filter in the Petri dish that * * * * * relatively large cross-sectional area of the you labeled with the test identification and 11.2.1 Container #1, Less than or Equal to cyclone sampling head, as discussed in Container #1. Using a dry brush and/or a PM2.5 Micrometer Filterable Particulate. Section 8.3.2.2 and illustrated in Figures 8 sharp-edged blade, carefully transfer any PM Transfer the filter and any loose particulate and 9 of Section 17. You must determine the and/or filter fibers that adhere to the filter from the sample container to a tared cross-sectional area of the cyclone head you holder gasket or filter support screen to the weighing dish or pan that is inert to solvent use and determine its stack blockage factor. Petri dish. Seal the container. This container or mineral acids. Desiccate for 24 hours in a (Note: Commercially-available sampling holds particles less than or equal to 2.5 dessicator containing anhydrous calcium heads (including the PM10 cyclone, PM2.5 micrometers that are caught on the in-stack sulfate. Weigh to a constant weight and cyclone, pitot and filter holder) have a filter. (Note: If the test is conducted for PM10 report the results to the nearest 0.1 mg. (See projected area of approximately 31.2 square only, then Container #1 would be for less Section 3.0 for a definition of Constant inches when oriented into the gas stream.) As than or equal to PM10 micrometer filterable weight.) If constant weight requirements the probe is moved from the outermost to the particulate.) cannot be met, the filter must be treated as innermost point, the amount of blockage that * * * * * described in Section 11.2.1 of Method 202 of actually occurs ranges from approximately 13 10.1 Gas Flow Velocities. You must use appendix M to this part. Note: The nozzle square inches to the full 31.2 square inches an S-type pitot tube that meets the required and front half wash and filter collected at or ° ° plus the blockage caused by the probe EPA specifications (EPA Publication 600/4– below 30 C (85 F) may not be heated and ° ° extension. The average cross-sectional area 77–0217b) during these velocity must be maintained at or below 30 C (85 F). blocked is 22 square inches. measurements. (Note: If, as specified in * * * * * * * * * * Section 8.7.2.3, testing is performed in stacks 12.5 * * *

* * * * * in the knockout and backup impinger, water dropout impinger to the backup reassemble and leak check the sampling impinger and purge only the backup Method 202—Dry Impinger Method for train, and resume the sampling run. You impinger and the CPM filter. You must Determining Condensable Particulate must purge the water collected during the measure the water in the knockout and Emissions From Stationary Sources test interruption as soon as practical backup impingers and record the volume or * * * * * following the procedures in Section 8.5.3. weight as part of the moisture collected 7.2.1 Acetone. Use acetone that is stored 8.5.1.2 You must include the weight or during sampling as specified in Section in a glass bottle. Do not use acetone from a volume of the moisture in your moisture 8.5.3.4. metal container because it normally produces calculation and you must combine the 8.5.3.1.1 If you choose to conduct a purge a high residual mass in the laboratory and recovered water with the appropriate sample of the entire CPM sampling train, you must field reagent blanks. You must use acetone fraction for subsequent CPM analysis. replace the short stem impinger insert in the that has a blank value less than 1.0 ppmw 8.5.1.3 Use the field data sheet for the knock out impinger with a standard modified (0.1 mg/100 g) residue. filterable particulate method to record the Greenburg Smith impinger insert. 7.2.2 Hexane, American Chemical Society CPM filter temperature readings at the 8.5.3.1.2 If you choose to combine the grade. You must use hexane that has a blank beginning of each sample time increment and knockout and backup impinger catch prior to residual mass value less than 1.0 ppmw (0.1 when sampling is halted. Maintain the CPM purge, you must purge the backup impinger mg/100 g) residue. filter greater than 20 °C (greater than 65 °F) and CPM filter holder. but less than or equal to 30 °C (less than or 8.5.3.1.3 If the tip of the impinger insert * * * * * ° 8.5.1 Impinger and CPM Filter Assembly. equal to 85 F) during sample collection. does not extend below the water level (Note: Maintain the temperature of the CPM (including the water transferred from the first 8.5.1.1 Monitor the moisture ° ° condensation in the knockout and backup filter assembly as close to 30 C (85 F) as impinger if this option was chosen), you impingers. If the accumulated water from feasible.) must add a measured amount of degassed, moisture condensation overwhelms the * * * * * deionized ultra-filtered water that contains 1 knockout impinger, i.e., the water level is 8.5.3.1 If you choose to conduct a ppmw (1 mg/L) residual mass or less until more than approximately one-half the pressurized nitrogen purge at the completion the impinger tip is at least 1 centimeter capacity of the knockout impinger, or if water of CPM sample collection, you may purge the below the surface of the water. You must accumulates in the backup impinger entire CPM sample collection train from the record the amount of water added to the sufficient to cover the impinger insert tip, condenser inlet to the CPM filter holder water dropout impinger (Vp)(see Figure 4 of then you may interrupt the sampling run, outlet or you may quantitatively transfer the Section 18) to correct the moisture content of recover and weigh the moisture accumulated water collected in the condenser and the the effluent gas. (Note: Prior to use, water

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must be degassed using a nitrogen purge 11.2.1 Container #3, CPM Filter Sample. this section. Place the contents of Container bubbled through the water for at least 15 If the sample was collected by Method 17 or #1 into a separatory funnel. Add minutes to remove dissolved oxygen). Method 201A with a stack temperature below approximately 30 ml of hexane to the funnel, ° ° 8.5.3.1.4 To perform the nitrogen purge 30 C (85 F), transfer the filter and any loose mix well, and pour off the upper organic using positive pressure nitrogen flow, you PM from the sample container to a tared glass phase. Repeat this procedure twice with 30 must start with no flow of gas through the weighing dish. (See Section 3.0 for a ml of hexane each time combining the clean purge line and fittings. Connect the definition of constant weight.) Desiccate the filter outlet to the input of the impinger train sample for 24 hours in a desiccator organic phase from each extraction. Each and disconnect the vacuum line from the exit containing anhydrous calcium sulfate. Weigh time, leave a small amount of the organic/ of the silica moisture collection impinger (see to a constant weight and report the results to hexane phase in the separatory funnel, Figure 3 of Section 18). You may purge only the nearest 0.1 mg. [Note: In-stack filter ensuring that no water is collected in the the CPM train by disconnecting the moisture samples collected at 30 °C (85 °F) may organic phase. This extraction should yield train components if you measure moisture in include both filterable insoluble particulate about 90 ml of organic extract. Combine the the field prior to the nitrogen purge. You and condensable particulate. The nozzle and organic extract from Container #1 with the must increase the nitrogen flow gradually to front half wash and filter collected at or organic train rinse in Container #2. avoid over-pressurizing the impinger array. below 30 °C (85 °F) may not be heated and You must purge the CPM train at a minimum must be maintained at or below 30 °C (85 * * * * * of 14 liters per minute for at least one hour. °F).] 18.0 * * * At the conclusion of the purge, turn off the 11.2.2 CPM Container #1, Aqueous BILLING CODE 6560–N–P nitrogen delivery system. Liquid Impinger Contents. Analyze the water * * * * * soluble CPM in Container #1 as described in

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BILLING CODE 6560–50–C (1) The source owner, operator, or authority responsible for the compliance * * * * * representative of the tested facility shall test may waive the requirement to obtain an audit sample, if commercially include an audit sample if they believe PART 60—STANDARDS OF available, from an AASP for each test that an audit sample is not necessary. PERFORMANCE FOR NEW method used for regulatory compliance ‘‘Commercially available’’ means that STATIONARY SOURCES purposes. No audit samples are required two or more independent AASPs have for the following test methods: Methods blind audit samples available for ■ 3. The authority citation for part 60 3A and 3C of appendix A–3 of part 60, purchase. If the source owner, operator, continues to read as follows: Methods 6C, 7E, 9, and 10 of appendix or representative cannot find an audit Authority: 42 U.S.C. 7401, et. seq. A–4 of part 60, Methods 18 and 19 of sample for a specific method, the owner, appendix A–6 of part 60, Methods 20, operator, or representative shall consult Subpart A—[Amended] 22, and 25A of appendix A–7 of part 60, the EPA Web site at the following URL, Methods 30A and 30B of appendix A– www.epa.gov/ttn/emc, to confirm ■ 4. Amend § 60.8 by revising paragraph 8 of part 60, and Methods 303, 318, 320, whether there is a source that can (g)(1) and adding new paragraphs (h) and 321 of appendix A of part 63 of this supply an audit sample for that method. and (i) to read as follows: chapter. If multiple sources at a single If the EPA Web site does not list an facility are tested during a compliance available audit sample at least 60 days § 60.8 Performance tests. test event, only one audit sample is prior to the beginning of the compliance * * * * * required for each method used during a test, the source owner, operator, or (g) * * * compliance test. The compliance representative shall not be required to

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include an audit sample as part of the chapter, ‘‘Verification of Gas Dilution federal_register/code_of_federal_ quality assurance program for the Systems for Field Instrument regulations/ibr_locations.html. compliance test. When ordering an Calibrations,’’ may be used. (b) American Gas Association, audit sample, the source owner, ■ 5. Amend § 60.13 by revising available through ILI Infodisk, 610 operator, or representative shall give the paragraph (d)(1) to read as follows: Winters Avenue, Paramus, New Jersey sample provider an estimate for the 07652: concentration of each pollutant that is § 60.13 Monitoring requirements. (1) American Gas Association Report emitted by the source or the estimated * * * * * No. 3: Orifice Metering for Natural Gas concentration of each pollutant based and Other Related Hydrocarbon Fluids, (d)(1) Owners and operators of a on the permitted level and the name, Part 1: General Equations and CEMS installed in accordance with the address, and phone number of the Uncertainty Guidelines (1990), IBR provisions of this part, must check the compliance authority. The source approved for § 60.107a(d). zero (or low level value between 0 and owner, operator, or representative shall 20 percent of span value) and span (50 (2) American Gas Association Report report the results for the audit sample to 100 percent of span value) calibration No. 3: Orifice Metering for Natural Gas along with a summary of the emission drifts at least once each operating day in and Other Related Hydrocarbon Fluids, test results for the audited pollutant to accordance with a written procedure. Part 2: Specification and Installation the compliance authority and shall The zero and span must, at a minimum, Requirements (2000), IBR approved for report the results of the audit sample to be adjusted whenever either the 24-hour § 60.107a(d). the AASP. The source owner, operator, zero drift or the 24-hour span drift (3) American Gas Association Report or representative shall make both exceeds two times the limit of the No. 11: Measurement of Natural Gas by reports at the same time and in the same applicable performance specification in Coriolis Meter (2003), IBR approved for manner or shall report to the appendix B of this part. The system § 60.107a(d). compliance authority first and then must allow the amount of the excess (4) American Gas Association report to the AASP. If the method being zero and span drift to be recorded and Transmission Measurement Committee audited is a method that allows the quantified whenever specified. Owners Report No. 7: Measurement of Gas by samples to be analyzed in the field and and operators of a COMS installed in Turbine Meters (Revised February the tester plans to analyze the samples accordance with the provisions of this 2006), IBR approved for § 60.107a(d). in the field, the tester may analyze the part must check the zero and upscale (c) American Hospital Association audit samples prior to collecting the (span) calibration drifts at least once (AHA) Service, Inc., Post Office Box emission samples provided a daily. For a particular COMS, the 92683, Chicago, Illinois 60675–2683. representative of the compliance acceptable range of zero and upscale You may inspect a copy at the EPA’s Air authority is present at the testing site. calibration materials is defined in the and Radiation Docket and Information The tester may request and the applicable version of PS–1 in appendix Center (Docket A–91–61, Item IV–J– compliance authority may grant a B of this part. For a COMS, the optical 124), Room M–1500, 1200 Pennsylvania waiver to the requirement that a surfaces, exposed to the effluent gases, Ave. NW., Washington, DC 20460. representative of the compliance must be cleaned before performing the (1) An Ounce of Prevention: Waste authority must be present at the testing zero and upscale drift adjustments, Reduction Strategies for Health Care site during the field analysis of an audit except for systems using automatic zero Facilities. American Society for Health sample. The source owner, operator, or adjustments. The optical surfaces must Care Environmental Services of the representative may report the results of be cleaned when the cumulative American Hospital Association. the audit sample to the compliance automatic zero compensation exceeds 4 Chicago, Illinois. 1993. AHA Catalog authority and report the results of the percent opacity. No. 057007. ISBN 0–87258–673–5. IBR audit sample to the AASP prior to approved for §§ 60.35e and 60.55c. collecting any emission samples. The * * * * * (2) [Reserved] test protocol and final test report shall ■ 6. Revise § 60.17 to read as follows: (d) American Petroleum Institute document whether an audit sample was (API), 1220 L Street NW., Washington, ordered and utilized and the pass/fail § 60.17 Incorporations by reference. DC 20005. results as applicable. (a) Certain material is incorporated by (1) API Publication 2517, Evaporation * * * * * reference into this part with the Loss from External Floating Roof Tanks, (h) Unless otherwise specified in the approval of the Director of the Federal Second Edition, February 1980, IBR applicable subpart, each test location Register under 5 U.S.C. 552(a) and 1 approved for §§ 60.111(i), 60.111a(f), must be verified to be free of cyclonic CFR part 51. To enforce any edition and 60.116b(e). flow and evaluated for the existence of other than that specified in this section, (2) API Manual of Petroleum emission gas stratification and the the EPA must publish notice of change Measurement Standards, Chapter 22— required number of sampling traverse in the Federal Register and the material Testing Protocol, Section 2—Differential points. If other procedures are not must be available to the public. All Pressure Flow Measurement Devices, specified in the applicable subpart to approved material is available for First Edition, August 2005, IBR the regulations, use the appropriate inspection at the Air and Radiation approved for § 60.107a(d). procedures in Method 1 to check for Docket and Information Center, U.S. (e) American Public Health cyclonic flow and Method 7E to EPA, 401 M St. SW., Washington, DC, Association, 1015 18th Street NW., evaluate emission gas stratification and telephone number 202–566, and is Washington, DC 20036. selection of sampling points. available from the sources listed below. (1) ‘‘Standard Methods for the (i) Whenever the use of multiple It is also available for inspection at the Examination of Water and Wastewater,’’ calibration gases is required by a test National Archives and Records 16th edition, 1985. Method 303F: method, performance specification, or Administration (NARA). For ‘‘Determination of Mercury by the Cold quality assurance procedure in a part 60 information on the availability of this Vapor Technique.’’ Incorporated by standard or appendix, Method 205 of 40 material at NARA, call (202) 741–6030 reference for appendix A–8 to part 60, CFR part 51, appendix M of this or go to http://www.archives.gov/ Method 29, §§ 9.2.3, 10.3, and 11.1.3.

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(2) 2540 G. Total, Fixed, and Volatile (14) ASME/ANSI PTC 19.10–1981, Calcium Manganese-Silicon, IBR Solids in Solid and Semisolid Samples, Flue and Exhaust Gas Analyses [Part 10, approved for § 60.261. in Standard Methods for the Instruments and Apparatus], (Issued (14) ASTM D86–78, Distillation of Examination of Water and Wastewater, August 31, 1981), IBR approved for Petroleum Products, IBR approved for 20th Edition, 1998, IBR approved for §§ 60.56c(b), 60.63(f), 60.106(e), §§ 60.562–2(d), 60.593(d), 60.593a(d), § 60.154(b). 60.104a(d), (h), (i), and (j), 60.105a(d), 60.633(h). (f) American Society of Mechanical (f), and (g), § 60.106a(a), § 60.107a(a), (15) ASTM D86–82, Distillation of Engineers (ASME), Three Park Avenue, (c), and (d), tables 1 and 3 to subpart Petroleum Products, IBR approved for New York, NY 10016–5990, Telephone EEEE, tables 2 and 4 to subpart FFFF, §§ 60.562–2(d), 60.593(d), 60.593a(d), (800) 843–2763, http://www.asme.org. table 2 to subpart JJJJ, §§ 60.4415(a), 60.633(h). (1) ASME Interim Supplement 19.5 on 60.2145(s) and (t), 60.2710(s), (t), and (16) ASTM D86–90, Distillation of Instruments and Apparatus: (w), 60.2730(q), 60.4900(b), 60.5220(b), Petroleum Products, IBR approved for Application, Part II of Fluid Meters, 6th tables 1 and 2 to subpart LLLL, tables 2 §§ 60.562–2(d), 60.593(d), 60.593a(d), Edition (1971), IBR approved for and 3 to subpart MMMM, §§ 60.5406(c) 60.633(h). §§ 60.58a(h), 60.58b(i), 60.1320(a), and and 60.5413(b). (17) ASTM D86–93, Distillation of 60.1810(a). (15) ASME QRO–1–1994, Standard for Petroleum Products, IBR approved for (2) ASME MFC–3M–2004, the Qualification and Certification of §§ 60.562–2(d), 60.593(d), 60.593a(d), Measurement of Fluid Flow in Pipes Resource Recovery Facility Operators, 60.633(h). Using Orifice, Nozzle, and Venturi, IBR IBR approved for §§ 60.54b(a) and (b), (18) ASTM D86–95, Distillation of approved for § 60.107a(d). 60.56a, 60.1185(a) and (c), and Petroleum Products, IBR approved for (3) ASME/ANSI MFC–4M–1986 60.1675(a) and (c). §§ 60.562–2(d), 60.593(d), 60.593a(d), (Reaffirmed 2008), Measurement of Gas (g) American Society for Testing and 60.633(h). Flow by Turbine Meters, IBR approved Materials (ASTM), 100 Barr Harbor (19) ASTM D86–96, Distillation of for § 60.107a(d). Drive, Post Office Box C700, West Petroleum Products, (Approved April (4) ASME/ANSI MFC–5M–1985 Conshohocken, PA 19428–2959; also 10, 1996), IBR approved for §§ 60.562– (Reaffirmed 2006), Measurement of available through ProQuest, 300 North 2(d), 60.593(d), 60.593a(d), 60.633(h), Liquid Flow in Closed Conduits Using Zeeb Road, Ann Arbor, MI 48106. and 60.5401(f). (20) ASTM D129–64, Standard Test Transit-Time Ultrasonic Flowmeters, (1) ASTM A99–76, Standard Method for Sulfur in Petroleum IBR approved for § 60.107a(d). Specification for Ferromanganese, IBR Products (General Bomb Method), IBR (5) ASME MFC–6M–1998 (Reaffirmed approved for § 60.261. approved for §§ 60.106(j) and appendix 2005), Measurement of Fluid Flow in (2) ASTM A99–82 (Reapproved 1987), A–7 to part 60: Method 19, Section Pipes Using Vortex Flowmeters, IBR Standard Specification for 12.5.2.2.3. approved for § 60.107a(d). Ferromanganese, IBR approved for (6) ASME/ANSI MFC–7M–1987 (21) ASTM D129–78, Standard Test § 60.261. (Reaffirmed 2006), Measurement of Gas Method for Sulfur in Petroleum (3) ASTM A100–69, Standard Flow by Means of Critical Flow Venturi Products (General Bomb Method), IBR Specification for Ferrosilicon, IBR Nozzles, IBR approved for § 60.107a(d). approved for §§ 60.106(j) and appendix (7) ASME/ANSI MFC–9M–1988 approved for § 60.261. A–7 to part 60: Method 19, Section (Reaffirmed 2006), Measurement of (4) ASTM A100–74, Standard 12.5.2.2.3. Liquid Flow in Closed Conduits by Specification for Ferrosilicon, IBR (22) ASTM D129–95, Standard Test Weighing Method, IBR approved for approved for § 60.261. Method for Sulfur in Petroleum § 60.107a(d). (5) ASTM A100–93, Standard Products (General Bomb Method), IBR (8) ASME MFC–11M–2006, Specification for Ferrosilicon, IBR approved for §§ 60.106(j) and appendix Measurement of Fluid Flow by Means of approved for § 60.261. A–7 to part 60: Method 19, Section Coriolis Mass Flowmeters, IBR (6) ASTM A101–73, Standard 12.5.2.2.3. approved for § 60.107a(d). Specification for Ferrochromium, IBR (23) ASTM D129–00, Standard Test (9) ASME MFC–14M–2003, approved for § 60.261. Method for Sulfur in Petroleum Measurement of Fluid Flow Using Small (7) ASTM A101–93, Standard Products (General Bomb Method), IBR Bore Precision Orifice Meters, IBR Specification for Ferrochromium, IBR approved for § 60.335(b). approved for § 60.107a(d). approved for § 60.261. (24) ASTM D129–00 (Reapproved (10) ASME MFC–16–2007, (8) ASTM A482–76, Standard 2005), Standard Test Method for Sulfur Measurement of Liquid Flow in Closed Specification for Ferrochromesilicon, in Petroleum Products (General Bomb Conduits with Electromagnetic IBR approved for § 60.261. Method), IBR approved for § 60.4415(a). Flowmeters, IBR approved for (9) ASTM A482–93, Standard (25) ASTM D240–76, Standard Test § 60.107a(d). Specification for Ferrochromesilicon, Method for Heat of Combustion of (11) ASME MFC–18M–2001, IBR approved for § 60.261. Liquid Hydrocarbon Fuels by Bomb Measurement of Fluid Flow Using (10) ASTM A483–64, Standard Calorimeter, IBR approved for Variable Area Meters, IBR approved for Specification for Silicomanganese, IBR §§ 60.46(c), 60.296(b), and appendix A– § 60.107a(d). approved for § 60.261. 7 to part 60: Method 19, Section (12) ASME MFC–22–2007, (11) ASTM A483–74 (Reapproved 12.5.2.2.3. Measurement of Liquid by Turbine 1988), Standard Specification for (26) ASTM D240–92, Standard Test Flowmeters, IBR approved for Silicomanganese, IBR approved for Method for Heat of Combustion of § 60.107a(d). § 60.261. Liquid Hydrocarbon Fuels by Bomb (13) ASME PTC 4.1–1964 (Reaffirmed (12) ASTM A495–76, Standard Calorimeter, IBR approved for 1991), Power Test Codes: Test Code for Specification for Calcium-Silicon and §§ 60.46(c), 60.296(b), and appendix A– Steam Generating Units (with 1968 and Calcium Manganese-Silicon, IBR 7: Method 19, Section 12.5.2.2.3. 1969 Addenda), IBR approved for approved for § 60.261. (27) ASTM D240–02 (Reapproved §§ 60.46b, 60.58a(h), 60.58b(i), (13) ASTM A495–94, Standard 2007), Standard Test Method for Heat of 60.1320(a), and 60.1810(a). Specification for Calcium-Silicon and Combustion of Liquid Hydrocarbon

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Fuels by Bomb Calorimeter, (Approved (42) ASTM D396–98, Standard Section 7.1.2; Method 26A, Section May 1, 2007), IBR approved for Specification for Fuel Oils, IBR 7.1.2; and Method 29, Section 7.2.2. § 60.107a(d). approved for §§ 60.41b, 60.41c, (54) ASTM D1266–87, Standard Test (28) ASTM D270–65, Standard 60.111(b), and 60.111a(b). Method for Sulfur in Petroleum Method of Sampling Petroleum and (43) ASTM D975–78, Standard Products (Lamp Method), IBR approved Petroleum Products, IBR approved for Specification for Diesel Fuel Oils, IBR for §§ 60.106(j) and 60.335(b). appendix A–7 to part 60: Method 19, approved for §§ 60.111(b) and (55) ASTM D1266–91, Standard Test Section 12.5.2.2.1. 60.111a(b). Method for Sulfur in Petroleum (29) ASTM D270–75, Standard (44) ASTM D975–96, Standard Products (Lamp Method), IBR approved Method of Sampling Petroleum and Specification for Diesel Fuel Oils, IBR for §§ 60.106(j) and 60.335(b). Petroleum Products, IBR approved for approved for §§ 60.111(b) and (56) ASTM D1266–98, Standard Test appendix A–7 to part 60: Method 19, 60.111a(b). Method for Sulfur in Petroleum Section 12.5.2.2.1. (45) ASTM D975–98a, Standard Products (Lamp Method), IBR approved (30) ASTM D323–82, Test Method for Specification for Diesel Fuel Oils, IBR for §§ 60.106(j) and 60.335(b). Vapor Pressure of Petroleum Products approved for §§ 60.111(b) and (57) ASTM D1266–98 (Reapproved 1 (Reid Method), IBR approved for 60.111a(b). 2003) e, Standard Test Method for §§ 60.111(l), 60.111a(g), 60.111b, and (46) ASTM D975–08a, Standard Sulfur in Petroleum Products (Lamp 60.116b(f). Specification for Diesel Fuel Oils, IBR Method), IBR approved for § 60.4415(a). (31) ASTM D323–94, Test Method for approved for §§ 60.41b and 60.41c. (58) ASTM D1475–60 (Reapproved Vapor Pressure of Petroleum Products (47) ASTM D1072–80, Standard Test 1980), Standard Test Method for Density (Reid Method), IBR approved for Method for Total Sulfur in Fuel Gases, of Paint, Varnish Lacquer, and Related §§ 60.111(l), 60.111a(g), 60.111b, and IBR approved for § 60.335(b). Products, IBR approved for § 60.435(d), 60.116b(f). (48) ASTM D1072–90 (Reapproved appendix A–8 to part 60: Method 24, (32) ASTM D388–77, Standard 1994), Standard Test Method for Total Section 6.1; and Method 24A, Sections Specification for Classification of Coals Sulfur in Fuel Gases, IBR approved for 6.5 and 7.1. (59) ASTM D1475–90, Standard Test by Rank, IBR approved for §§ 60.41, § 60.335(b). Method for Density of Paint, Varnish 60.45(f), 60.41Da, 60.41b, 60.41c, and (49) ASTM D1072–90 (Reapproved Lacquer, and Related Products, IBR 60.251. 1999), Standard Test Method for Total (33) ASTM D388–90, Standard approved for § 60.435(d), appendix A–8 Sulfur in Fuel Gases, IBR approved for Specification for Classification of Coals to part 60: Method 24, Section 6.1; and § 60.4415(a). by Rank, IBR approved for §§ 60.41, Method 24A, §§ 6.5 and 7.1. (50) ASTM D1137–53, Standard 60.45(f), 60.41Da, 60.41b, 60.41c, and (60) ASTM D1552–83, Standard Test Method for Analysis of Natural Gases 60.251. Method for Sulfur in Petroleum (34) ASTM D388–91, Standard and Related Types of Gaseous Mixtures Products (High-Temperature Method), Specification for Classification of Coals by the Mass Spectrometer, IBR approved IBR approved for §§ 60.106(j), 60.335(b), by Rank, IBR approved for §§ 60.41, for § 60.45(f). and appendix A–7 to part 60: Method 60.45(f), 60.41Da, 60.41b, 60.41c, and (51) ASTM D1137–75, Standard 19, Section 12.5.2.2.3. 60.251. Method for Analysis of Natural Gases (61) ASTM D1552–95, Standard Test (35) ASTM D388–95, Standard and Related Types of Gaseous Mixtures Method for Sulfur in Petroleum Specification for Classification of Coals by the Mass Spectrometer, IBR approved Products (High-Temperature Method), by Rank, IBR approved for §§ 60.41, for § 60.45(f). IBR approved for §§ 60.106(j), 60.335(b), 60.45(f), 60.41Da, 60.41b, 60.41c, and (52) ASTM D1193–77, Standard and appendix A–7 to part 60: Method 60.251. Specification for Reagent Water, IBR 19, Section 12.5.2.2.3. (36) ASTM D388–98a, Standard approved for appendix A–3 to part 60: (62) ASTM D1552–01, Standard Test Specification for Classification of Coals Method 5, Section 7.1.3; Method 5E, Method for Sulfur in Petroleum by Rank, IBR approved for §§ 60.41, Section 7.2.1; Method 5F, Section 7.2.1; Products (High-Temperature Method), 60.45(f), 60.41Da, 60.41b, 60.41c, and appendix A–4 to part 60: Method 6, IBR approved for §§ 60.106(j), 60.335(b), 60.251. Section 7.1.1; Method 7, Section 7.1.1; and appendix A–7 to part 60: Method (37) ASTM D388–99 (Reapproved Method 7C, Section 7.1.1; Method 7D, 19, Section 12.5.2.2.3. 2004) e,1 Standard Specification for Section 7.1.1; Method 10A, Section (63) ASTM D1552–03, Standard Test Classification of Coals by Rank, IBR 7.1.1; appendix A–5 to part 60: Method Method for Sulfur in Petroleum approved for §§ 60.41, 60.45(f), 60.41Da, 11, Section 7.1.3; Method 12, Section Products (High-Temperature Method), 60.41b, 60.41c, and 60.251. 7.1.3; Method 13A, Section 7.1.2; IBR approved for § 60.4415(a). (38) ASTM D396–78, Standard appendix A–8 to part 60: Method 26, (64) ASTM D1826–77, Standard Test Specification for Fuel Oils, IBR Section 7.1.2; Method 26A, Section Method for Calorific Value of Gases in approved for §§ 60.41b, 60.41c, 7.1.2; and Method 29, Section 7.2.2. Natural Gas Range by Continuous 60.111(b), and 60.111a(b). (53) ASTM D1193–91, Standard Recording Calorimeter, IBR approved (39) ASTM D396–89, Standard Specification for Reagent Water, IBR for §§ 60.45(f), 60.46(c), 60.296(b), and Specification for Fuel Oils, IBR approved for appendix A–3 to part 60: appendix A–7 to part 60: Method 19, approved for §§ 60.41b, 60.41c, Method 5, Section 7.1.3; Method 5E, Section 12.3.2.4. 60.111(b), and 60.111a(b). Section 7.2.1; Method 5F, Section 7.2.1; (65) ASTM D1826–94, Standard Test (40) ASTM D396–90, Standard appendix A–4 to part 60: Method 6, Method for Calorific Value of Gases in Specification for Fuel Oils, IBR Section 7.1.1; Method 7, Section 7.1.1; Natural Gas Range by Continuous approved for §§ 60.41b, 60.41c, Method 7C, Section 7.1.1; Method 7D, Recording Calorimeter, IBR approved 60.111(b), and 60.111a(b). Section 7.1.1; Method 10A, Section for §§ 60.45(f), 60.46(c), 60.296(b), and (41) ASTM D396–92, Standard 7.1.1; appendix A–5 to part 60: Method appendix A–7 to part 60: Method 19, Specification for Fuel Oils, IBR 11, Section 7.1.3; Method 12, Section Section 12.3.2.4. approved for §§ 60.41b, 60.41c, 7.1.3; Method 13A, Section 7.1.2; (66) ASTM D1826–94 (Reapproved 60.111(b), and 60.111a(b). appendix A–8 to part 60: Method 26, 2003), Standard Test Method for

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Calorific (Heating) Value of Gases in (81) ASTM D2015–77 (Reapproved Method), IBR approved for §§ 60.18(f), Natural Gas Range by Continuous 1978), Standard Test Method for Gross 60.485(g), 60.485a(g), 60.564(f), Recording Calorimeter, (Approved May Calorific Value of Solid Fuel by the 60.614(e), 60.664(e), and 60.704(d). 10, 2003), IBR approved for Adiabatic Bomb Calorimeter, IBR (96) ASTM D2382–88, Heat of § 60.107a(d). approved for §§ 60.45(f), 60.46(c), and Combustion of Hydrocarbon Fuels by (67) ASTM D1835–87, Standard appendix A–7 to part 60: Method 19, Bomb Calorimeter (High-Precision Specification for Liquefied Petroleum Section 12.5.2.1.3. Method), IBR approved for §§ 60.18(f), (LP) Gases, IBR approved for (82) ASTM D2015–96, Standard Test 60.485(g), 60.485a(g), 60.564(f), §§ 60.41Da, 60.41b, and 60.41c. Method for Gross Calorific Value of 60.614(e), 60.664(e), and 60.704(d). (68) ASTM D1835–91, Standard Solid Fuel by the Adiabatic Bomb (97) ASTM D2504–67, Specification for Liquefied Petroleum Calorimeter, IBR approved for Noncondensable Gases in C3 and (LP) Gases, IBR approved for §§ 60.45(f), 60.46(c), and appendix A–7 Lighter Hydrocarbon Products by Gas §§ 60.41Da, 60.41b, and 60.41c. to part 60: Method 19, Section Chromatography, IBR approved for (69) ASTM D1835–97, Standard 12.5.2.1.3. §§ 60.485(g) and 60.485a(g). Specification for Liquefied Petroleum (83) ASTM D2016–74, Standard Test (98) ASTM D2504–77, (LP) Gases, IBR approved for Methods for Moisture Content of Wood, Noncondensable Gases in C3 and §§ 60.41Da, 60.41b, and 60.41c. IBR approved for appendix A–8 to part Lighter Hydrocarbon Products by Gas (70) ASTM D1835–03a, Standard 60: Method 28, Section 16.1.1. Chromatography, IBR approved for Specification for Liquefied Petroleum (84) ASTM D2016–83, Standard Test §§ 60.485(g) and 60.485a(g). (LP) Gases, IBR approved for Methods for Moisture Content of Wood, (99) ASTM D2504–88 (Reapproved §§ 60.41Da, 60.41b, and 60.41c. IBR approved for appendix A–8 to part 1993), Noncondensable Gases in C3 and (71) ASTM D1945–64, Standard 60: Method 28, Section 16.1.1. Lighter Hydrocarbon Products by Gas Method for Analysis of Natural Gas by (85) ASTM D2234–76, Standard Chromatography, IBR approved for Gas Chromatography, IBR approved for Methods for Collection of a Gross §§ 60.485(g) and 60.485a(g). § 60.45(f). Sample of Coal, IBR approved for (100) ASTM D2584–68(Reapproved (72) ASTM D1945–76, Standard appendix A–7 to part 60: Method 19, 1985), Standard Test Method for Method for Analysis of Natural Gas by Section 12.5.2.1.1. Ignition Loss of Cured Reinforced Gas Chromatography, IBR approved for (86) ASTM D2234–96, Standard Resins, IBR approved for § 60.685(c). § 60.45(f). Methods for Collection of a Gross (101) ASTM D2584–94, Standard Test (73) ASTM D1945–91, Standard Sample of Coal, IBR approved for Method for Ignition Loss of Cured Method for Analysis of Natural Gas by appendix A–7 to part 60: Method 19, Reinforced Resins, IBR approved for Gas Chromatography, IBR approved for Section 12.5.2.1.1. § 60.685(c). § 60.45(f). (87) ASTM D2234–97b, Standard (102) ASTM D2597–94 (Reapproved (74) ASTM D1945–96, Standard Methods for Collection of a Gross 1999), Standard Test Method for Method for Analysis of Natural Gas by Sample of Coal, IBR approved for Analysis of Demethanized Hydrocarbon Gas Chromatography, IBR approved for appendix A–7 to part 60: Method 19, Liquid Mixtures Containing Nitrogen § 60.45(f). Section 12.5.2.1.1. and Carbon Dioxide by Gas (75) ASTM D1945–03 (Reapproved (88) ASTM D2234–98, Standard Chromatography, IBR approved for 2010), Standard Method for Analysis of Methods for Collection of a Gross § 60.335(b). Natural Gas by Gas Chromatography, Sample of Coal, IBR approved for (103) ASTM D2622–87, Standard Test (Approved January 1, 2010), IBR appendix A–7 to part 60: Method 19, Method for Sulfur in Petroleum approved for §§ 60.107a(d) and Section 12.5.2.1.1. Products by Wavelength Dispersive X- 60.5413(d). (89) ASTM D2369–81, Standard Test Ray Fluorescence Spectrometry, IBR (76) ASTM D1946–77, Standard Method for Volatile Content of Coatings, approved for §§ 60.106(j) and 60.335(b). Method for Analysis of Reformed Gas by IBR approved for appendix A–8 to part (104) ASTM D2622–94, Standard Test Gas Chromatography, IBR approved for 60: Method 24, Section 6.2. Method for Sulfur in Petroleum §§ 60.18(f), 60.45(f), 60.564(f), 60.614(e), (90) ASTM D2369–87, Standard Test Products by Wavelength Dispersive X- 60.664(e), and 60.704(d). Method for Volatile Content of Coatings, Ray Fluorescence Spectrometry, IBR (77) ASTM D1946–90 (Reapproved IBR approved for appendix A–8 to part approved for §§ 60.106(j) and 60.335(b). 1994), Standard Method for Analysis of 60: Method 24, Section 6.2. (105) ASTM D2622–98, Standard Test Reformed Gas by Gas Chromatography, (91) ASTM D2369–90, Standard Test Method for Sulfur in Petroleum IBR approved for §§ 60.18(f), 60.45(f), Method for Volatile Content of Coatings, Products by Wavelength Dispersive X- 60.564(f), 60.614(e), 60.664(e), and IBR approved for appendix A–8 to part Ray Fluorescence Spectrometry, IBR 60.704(d). 60: Method 24, Section 6.2. approved for §§ 60.106(j) and 60.335(b). (78) ASTM D1946–90 (Reapproved (92) ASTM D2369–92, Standard Test (106) ASTM D2622–05, Standard Test 2006), Standard Method for Analysis of Method for Volatile Content of Coatings, Method for Sulfur in Petroleum Reformed Gas by Gas Chromatography, IBR approved for appendix A–8 to part Products by Wavelength Dispersive X- (Approved June 1, 2006), IBR approved 60: Method 24, Section 6.2. Ray Fluorescence Spectrometry, IBR for § 60.107a(d). (93) ASTM D2369–93, Standard Test approved for § 60.4415(a). (79) ASTM D2013–72, Standard Method for Volatile Content of Coatings, (107) ASTM D2879–83Test Method Method of Preparing Coal Samples for IBR approved for appendix A–8 to part for Vapor Pressure-Temperature Analysis, IBR approved for appendix A– 60: Method 24, Section 6.2. Relationship and Initial Decomposition 7 to part 60: Method 19, Section (94) ASTM D2369–95, Standard Test Temperature of Liquids by Isoteniscope, 12.5.2.1.3. Method for Volatile Content of Coatings, IBR approved for §§ 60.111b(f)(3), (80) ASTM D2013–86, Standard IBR approved for appendix A–8 to part 60.116b(e), 60.116b(f), 60.485(e), and Method of Preparing Coal Samples for 60: Method 24, Section 6.2. 60.485a(e). Analysis, IBR approved for appendix A– (95) ASTM D2382–76, Heat of (108) ASTM D2879–96, Test Method 7 to part 60: Method 19, Section Combustion of Hydrocarbon Fuels by for Vapor Pressure-Temperature 12.5.2.1.3. Bomb Calorimeter (High-Precision Relationship and Initial Decomposition

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Temperature of Liquids by Isoteniscope, (120) ASTM D3176–89, Standard A–7 to part 60: Method 19, Section IBR approved for §§ 60.111b(f)(3), Method for Ultimate Analysis of Coal 12.5.2.1.3. 60.116b(e), 60.116b(f), 60.485(e), and and Coke, IBR approved for (134) ASTM D3286–96, Standard Test 60.485a(e). § 60.45(f)(5)(i) and appendix A–7 to part Method for Gross Calorific Value of Coal (109) ASTM D2879–97, Test Method 60: Method 19, Section 12.3.2.3. and Coke by the Isoperibol Bomb for Vapor Pressure-Temperature (121) ASTM D3177–75, Standard Test Calorimeter, IBR approved for appendix Relationship and Initial Decomposition Method for Total Sulfur in the Analysis A–7 to part 60: Method 19, Section Temperature of Liquids by Isoteniscope, Sample of Coal and Coke, IBR approved 12.5.2.1.3. IBR approved for §§ 60.111b(f)(3), for appendix A–7 to part 60: Method 19, (135) ASTM D3370–76, Standard 60.116b(e), 60.116b(f), 60.485(e), and Section 12.5.2.1.3. Practices for Sampling Water, IBR 60.485a(e). (122) ASTM D3177–89, Standard Test approved for § 60.564(j). (110) ASTM D2880–78, Standard Method for Total Sulfur in the Analysis (136) ASTM D3370–95a, Standard Specification for Gas Turbine Fuel Oils, Sample of Coal and Coke, IBR approved Practices for Sampling Water, IBR IBR approved for §§ 60.111(b), for appendix A–7 to part 60: Method 19, approved for § 60.564(j). 60.111a(b), and 60.335(d). Section 12.5.2.1.3. (137) ASTM D3588–98 (Reapproved (111) ASTM D2880–96, Standard (123) ASTM D3178–73 (Reapproved 2003), Standard Practice for Calculating Specification for Gas Turbine Fuel Oils, 1979), Standard Test Methods for Heat Value, Compressibility Factor, and IBR approved for §§ 60.111(b), Carbon and Hydrogen in the Analysis Relative Density of Gaseous Fuels, 60.111a(b), and 60.335(d). Sample of Coal and Coke, IBR approved (Approved May 10, 2003), IBR approved (112) ASTM D2908–74, Standard for § 60.45(f). for §§ 60.107a(d) and 60.5413(d). Practice for Measuring Volatile Organic (124) ASTM D3178–89, Standard Test (138) ASTM D3699–08, Standard Matter in Water by Aqueous-Injection Methods for Carbon and Hydrogen in Specification for Kerosine, including Gas Chromatography, IBR approved for the Analysis Sample of Coal and Coke, Appendix X1, (Approved September 1, § 60.564(j). IBR approved for § 60.45(f). 2008), IBR approved for §§ 60.41b and (113) ASTM D2908–91, Standard (125) ASTM D3246–81, Standard Test 60.41c. (139) ASTM D3792–79, Standard Test Practice for Measuring Volatile Organic Method for Sulfur in Petroleum Gas by Method for Water Content of Water- Matter in Water by Aqueous-Injection Oxidative Microcoulometry, IBR Reducible Paints by Direct Injection into Gas Chromatography, IBR approved for approved for § 60.335(b). a Gas Chromatograph, IBR approved for § 60.564(j). (126) ASTM D3246–92, Standard Test appendix A–7 to part 60: Method 24, (114) ASTM D2986–71, Standard Method for Sulfur in Petroleum Gas by Section 6.3. Method for Evaluation of Air, Assay Oxidative Microcoulometry, IBR (140) ASTM D3792–91, Standard Test Media by the Monodisperse DOP approved for § 60.335(b). Method for Water Content of Water- (Dioctyl Phthalate) Smoke Test, IBR (127) ASTM D3246–96, Standard Test Reducible Paints by Direct Injection into approved for appendix A–3 to part 60: Method for Sulfur in Petroleum Gas by a Gas Chromatograph, IBR approved for Method 5, Section 7.1.1; appendix A–5 Oxidative Microcoulometry, IBR appendix A–7 to part 60: Method 24, to part 60: Method 12, Section 7.1.1; and approved for § 60.335(b). Section 6.3. Method 13A, Section 7.1.1.2. (128) ASTM D3246–05, Standard Test (141) ASTM D4017–81, Standard Test (115) ASTM D2986–78, Standard Method for Sulfur in Petroleum Gas by Method for Water in Paints and Paint Method for Evaluation of Air, Assay Oxidative Microcoulometry, IBR Materials by the Karl Fischer Titration Media by the Monodisperse DOP approved for § 60.4415(a)(1). Method, IBR approved for appendix A– (Dioctyl Phthalate) Smoke Test, IBR (129) ASTM D3270–73T, Standard 7 to part 60: Method 24, Section 6.4. approved for appendix A–3 to part 60: Test Methods for Analysis for Fluoride (142) ASTM D4017–90, Standard Test Method 5, Section 7.1.1; appendix A–5 Content of the Atmosphere and Plant Method for Water in Paints and Paint to part 60: Method 12, Section 7.1.1; and Tissues (Semiautomated Method), IBR Materials by the Karl Fischer Titration Method 13A, Section 7.1.1.2. approved for appendix A–5 to part 60: Method, IBR approved for appendix A– (116) ASTM D2986–95a, Standard Method 13A, Section 16.1. 7 to part 60: Method 24, Section 6.4. Method for Evaluation of Air, Assay (130) ASTM D3270–80, Standard Test (143) ASTM D4017–96a, Standard Media by the Monodisperse DOP Methods for Analysis for Fluoride Test Method for Water in Paints and (Dioctyl Phthalate) Smoke Test, IBR Content of the Atmosphere and Plant Paint Materials by the Karl Fischer approved for appendix A–3 to part 60: Tissues (Semiautomated Method), IBR Titration Method, IBR approved for Method 5, Section 7.1.1; appendix A–5 approved for appendix A–5 to part 60: appendix A–7 to part 60: Method 24, to part 60: Method 12, Section 7.1.1; and Method 13A, Section 16.1. Section 6.4. Method 13A, Section 7.1.1.2. (131) ASTM D3270–91, Standard Test (144) ASTM D4057–81, Standard (117) ASTM D3173–73, Standard Test Methods for Analysis for Fluoride Practice for Manual Sampling of Method for Moisture in the Analysis Content of the Atmosphere and Plant Petroleum and Petroleum Products, IBR Sample of Coal and Coke, IBR approved Tissues (Semiautomated Method), IBR approved for appendix A–7 to part 60: for appendix A–7 to part 60: Method 19, approved for appendix A–5 to part 60: Method 19, Section 12.5.2.2.3. Section 12.5.2.1.3. Method 13A, Section 16.1. (145) ASTM D4057–95, Standard (118) ASTM D3173–87, Standard Test (132) ASTM D3270–95, Standard Test Practice for Manual Sampling of Method for Moisture in the Analysis Methods for Analysis for Fluoride Petroleum and Petroleum Products, IBR Sample of Coal and Coke, IBR approved Content of the Atmosphere and Plant approved for appendix A–7 to part 60: for appendix A–7 to part 60: Method 19, Tissues (Semiautomated Method), IBR Method 19, Section 12.5.2.2.3. Section 12.5.2.1.3. approved for appendix A–5 to part 60: (146) ASTM D4057–95 (Reapproved (119) ASTM D3176–74, Standard Method 13A, Section 16.1. 2000), Standard Practice for Manual Method for Ultimate Analysis of Coal (133) ASTM D3286–85, Standard Test Sampling of Petroleum and Petroleum and Coke, IBR approved for Method for Gross Calorific Value of Coal Products, IBR approved for § 60.4415(a). § 60.45(f)(5)(i) and appendix A–7 to part and Coke by the Isoperibol Bomb (147) ASTM D4084–82, Standard Test 60: Method 19, Section 12.3.2.3. Calorimeter, IBR approved for appendix Method for Analysis of Hydrogen

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Sulfide in Gaseous Fuels (Lead Acetate Hand-Held Moisture Meters, IBR (171) ASTM D5453–05, Standard Test Reaction Rate Method), IBR approved approved for appendix A–8 to part 60: Method for Determination of Total for § 60.334(h). Method 28, Section 16.1.1. Sulfur in Light Hydrocarbons, Motor (148) ASTM D4084–94, Standard Test (160) ASTM D4457–85 (Reapproved Fuels and Oils by Ultraviolet Method for Analysis of Hydrogen 1991), Test Method for Determination of Fluorescence, IBR approved for Sulfide in Gaseous Fuels (Lead Acetate Dichloromethane and 1,1,1- § 60.4415(a). Reaction Rate Method), IBR approved Trichloroethane in Paints and Coatings (172) ASTM D5504–01, Standard Test for § 60.334(h). by Direct Injection into a Gas Method for Determination of Sulfur (149) ASTM D4084–05, Standard Test Chromatograph, IBR approved for Compounds in Natural Gas and Gaseous Method for Analysis of Hydrogen appendix A–7 to part 60: Method 24, Fuels by Gas Chromatography and Sulfide in Gaseous Fuels (Lead Acetate Section 6.5. Chemiluminescence, IBR approved for Reaction Rate Method), IBR approved (161) ASTM D4468–85 (Reapproved §§ 60.334(h) and 60.4360. for §§ 60.4360 and 60.4415(a). 2000), Standard Test Method for Total (173) ASTM D5504–08, Standard Test (150) ASTM D4177–95, Standard Sulfur in Gaseous Fuels by Method for Determination of Sulfur Practice for Automatic Sampling of Hydrogenolysis and Rateometric Compounds in Natural Gas and Gaseous Petroleum and Petroleum Products, IBR Colorimetry, IBR approved for Fuels by Gas Chromatography and approved for appendix A–7 to part 60: §§ 60.335(b) and 60.4415(a). Chemiluminescence, (Approved June Method 19, Section 12.5.2.2.1. (162) ASTM D4468–85 (Reapproved 15, 2008), IBR approved for (151) ASTM D4177–95 (Reapproved 2006), Standard Test Method for Total §§ 60.107a(e) and 60.5413(d). 2000), Standard Practice for Automatic Sulfur in Gaseous Fuels by (174) ASTM D5762–02, Standard Test Sampling of Petroleum and Petroleum Hydrogenolysis and Rateometric Method for Nitrogen in Petroleum and Products, IBR approved for § 60.4415(a). Colorimetry, (Approved June 1, 2006), Petroleum Products by Boat-Inlet (152) ASTM D4239–85, Standard Test IBR approved for § 60.107a(e). Chemiluminescence, IBR approved for Methods for Sulfur in the Analysis (163) ASTM D4629–02, Standard Test § 60.335(b). Sample of Coal and Coke Using High Method for Trace Nitrogen in Liquid (175) ASTM D5865–98, Standard Test Temperature Tube Furnace Combustion Petroleum Hydrocarbons by Syringe/ Method for Gross Calorific Value of Coal Methods, IBR approved for appendix A– Inlet Oxidative Combustion and and Coke, IBR approved for §§ 60.45(f) 7 to part 60: Method 19, Section Chemiluminescence Detection, IBR and 60.46(c), and appendix A–7 to part 12.5.2.1.3. approved for §§ 60.49b(e) and 60.335(b). 60: Method 19, Section 12.5.2.1.3. (153) ASTM D4239–94, Standard Test (176) ASTM D5865–10, Standard Test (164) ASTM D4809–95, Standard Test Methods for Sulfur in the Analysis Method for Gross Calorific Value of Coal Method for Heat of Combustion of Sample of Coal and Coke Using High and Coke, (Approved January 1, 2010), Liquid Hydrocarbon Fuels by Bomb Temperature Tube Furnace Combustion IBR approved for §§ 60.45(f), 60.46(c), Calorimeter (Precision Method), IBR Methods, IBR approved for appendix A– and appendix A–7 to part 60: Method approved for §§ 60.18(f), 60.485(g), 7 to part 60: Method 19, Section 19, section 12.5.2.1.3. 60.485a(g), 60.564(f), 60.614(d), 12.5.2.1.3. (177) ASTM D6216–98, Standard (154) ASTM D4239–97, Standard Test 60.664(e), and 60.704(d). Practice for Opacity Monitor Methods for Sulfur in the Analysis (165) ASTM D4809–06, Standard Test Manufacturers to Certify Conformance Sample of Coal and Coke Using High Method for Heat of Combustion of with Design and Performance Temperature Tube Furnace Combustion Liquid Hydrocarbon Fuels by Bomb Specifications, IBR approved for Methods, IBR approved for appendix A– Calorimeter (Precision Method), appendix B to part 60: Performance 7 to part 60: Method 19, Section (Approved December 1, 2006), IBR Specification 1. 12.5.2.1.3. approved for § 60.107a(d). (178) ASTM D6228–98, Standard Test (155) ASTM D4294–02, Standard Test (166) ASTM D4810–88 (Reapproved Method for Determination of Sulfur Method for Sulfur in Petroleum and 1999), Standard Test Method for Compounds in Natural Gas and Gaseous Petroleum Products by Energy- Hydrogen Sulfide in Natural Gas Using Fuels by Gas Chromatography and Dispersive X-Ray Fluorescence Length of Stain Detector Tubes, IBR Flame Photometric Detection, IBR Spectrometry, IBR approved for approved for §§ 60.4360 and 60.4415(a). approved for § 60.334(h). § 60.335(b). (167) ASTM D4891–89 (Reapproved (179) ASTM D6228–98 (Reapproved (156) ASTM D4294–03, Standard Test 2006) Standard Test Method for Heating 2003), Standard Test Method for Method for Sulfur in Petroleum and Value of Gases in Natural Gas Range by Determination of Sulfur Compounds in Petroleum Products by Energy- Stoichiometric Combustion, (Approved Natural Gas and Gaseous Fuels by Gas Dispersive X-Ray Fluorescence June 1, 2006), IBR approved for Chromatography and Flame Photometric Spectrometry, IBR approved for §§ 60.107a(d) and 60.5413(d). Detection, IBR approved for §§ 60.4360 § 60.4415(a). (168) ASTM D5287–97 (Reapproved and 60.4415. (157) ASTM D4442–84, Standard Test 2002), Standard Practice for Automatic (180) ASTM D6348–03, Standard Test Methods for Direct Moisture Content Sampling of Gaseous Fuels, IBR Method for Determination of Gaseous Measurement in Wood and Wood-base approved for § 60.4415(a). Compounds by Extractive Direct Materials, IBR approved for appendix (169) ASTM D5403–93, Standard Test Interface Fourier Transform Infrared A–8 to part 60: Method 28, Section Methods for Volatile Content of (FTIR) Spectroscopy, (Approved 16.1.1. Radiation Curable Materials, IBR October 1, 2003), IBR approved for (158) ASTM D4442–92, Standard Test approved for appendix A–7 to part 60: § 60.73a(b), table 7 to subpart IIII, and Methods for Direct Moisture Content Method 24, Section 6.6. table 2 to subpart JJJJ. Measurement in Wood and Wood-base (170) ASTM D5453–00, Standard Test (181) ASTM D6366–99, Standard Test Materials, IBR approved for appendix Method for Determination of Total Method for Total Trace Nitrogen and Its A–8 to part 60: Method 28, Section Sulfur in Light Hydrocarbons, Motor Derivatives in Liquid Aromatic 16.1.1. Fuels and Oils by Ultraviolet Hydrocarbons by Oxidative Combustion (159) ASTM D4444–92, Standard Test Fluorescence, IBR approved for and Electrochemical Detection, IBR Methods for Use and Calibration of § 60.335(b). approved for § 60.335(b)(9).

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(182) ASTM D6420–99 (Reapproved Appendices X1 through X3, (Approved (OAQPS) Fabric Filter Bag Leak 2004), Standard Test Method for August 1, 2010), IBR approved for Detection Guidance, September 1997, Determination of Gaseous Organic §§ 60.41b and 60.41c. IBR approved for §§ 60.2145(r), Compounds by Direct Interface Gas (191) ASTM E168–67, General 60.2710(r), 60.4905(b), and 60.5225(b). Chromatography-Mass Spectrometry, Techniques of Infrared Quantitative (2) [Reserved] (Approved October 1, 2004), IBR Analysis, IBR approved for (j) The Gas Processors Association, approved for § 60.107a(d) and table 2 to §§ 60.485a(d), 60.593(b), 60.593a(b), and 6526 East 60th Street, Tulsa, OK 74145; subpart JJJJ. 60.632(f). also available through Information (183) ASTM D6522–00, Standard Test (192) ASTM E168–77, General Handling Services, 15 Inverness Way Method for Determination of Nitrogen Techniques of Infrared Quantitative East, PO Box 1154, Englewood, CO Oxides, Carbon Monoxide, and Oxygen Analysis, IBR approved for 80150–1154. You may inspect a copy at Concentrations in Emissions from §§ 60.485a(d), 60.593(b), 60.593a(b), and the EPA’s Air and Radiation Docket and Natural Gas-Fired Reciprocating 60.632(f). Information Center, Room 3334, 1301 Engines, Combustion Turbines, Boilers, (193) ASTM E168–92, General Constitution Ave. NW., Washington, DC and Process Heaters Using Portable Techniques of Infrared Quantitative 20460. Analyzers, IBR approved for § 60.335(a). Analysis, IBR approved for (1) Gas Processors Association (184) ASTM D6522–00 (Reapproved §§ 60.485a(d)(1), 60.593(b)(2), Standard 2172–09, Calculation of Gross 2005), Standard Test Method for 60.593a(b)(2), 60.632(f), and 60.5400. Heating Value, Relative Density, (194) ASTM E169–63, General Determination of Nitrogen Oxides, Compressibility and Theoretical Techniques of Ultraviolet Quantitative Carbon Monoxide, and Oxygen Hydrocarbon Liquid Content for Natural Analysis, IBR approved for Concentrations in Emissions from Gas Mixtures for Custody Transfer Natural Gas-Fired Reciprocating §§ 60.485a(d), 60.593(b), 60.593a(b), and 60.632(f) . (2009), IBR approved for § 60.107a(d). Engines, Combustion Turbines, Boilers, (2) Gas Processors Association and Process Heaters Using Portable (195) ASTM E169–77, General Techniques of Ultraviolet Quantitative Standard 2261–00, Analysis for Natural Analyzers, (Approved October 1, 2005), Gas and Similar Gaseous Mixtures by IBR approved for table 2 to subpart JJJJ, Analysis, IBR approved for §§ 60.485a(d), 60.593(b), and 60.593a(b), Gas Chromatography (2000), IBR and §§ 60.5413(b) and (d). approved for § 60.107a(d). (185) ASTM D6667–01, Standard Test 60.632(f). (3) Gas Processors Association Method for Determination of Total (196) ASTM E169–93, General Standard 2377–86, Test for Hydrogen Volatile Sulfur in Gaseous Techniques of Ultraviolet Quantitative Sulfide and Carbon Dioxide in Natural Hydrocarbons and Liquefied Petroleum Analysis, (Approved May 15, 1993), IBR Gas Using Length of Stain Tubes, 1986 Gases by Ultraviolet Fluorescence, IBR approved for §§ 60.485a(d), 60.593(b), Revision, IBR approved for §§ 60.105(b), approved for § 60.335(b). 60.593a(b), 60.632(f), and 60.5400(f). (186) ASTM D6667–04, Standard Test (197) ASTM E260–73, General Gas 60.107a(b), 60.334(h), 60.4360, and Method for Determination of Total Chromatography Procedures, IBR 60.4415(a). Volatile Sulfur in Gaseous approved for §§ 60.485a(d), 60.593(b), (k) International Organization for Hydrocarbons and Liquefied Petroleum 60.593a(b), and 60.632(f). Standardization (ISO) available through (198) ASTM E260–91, General Gas Gases by Ultraviolet Fluorescence, IBR IHS Inc., 15 Inverness Way East, Chromatography Procedures, (IBR approved for § 60.4415(a). Englewood, CO 80112. (187) ASTM D6751–11b, Standard approved for §§ 60.485a(d), 60.593(b), (1) ISO 8178–4: 1996(E), Specification for Biodiesel Fuel Blend 60.593a(b), and 60.632(f). Reciprocating Internal Combustion (199) ASTM E260–96, General Gas Stock (B100) for Middle Distillate Fuels, Engines—Exhaust Emission Chromatography Procedures, (Approved including Appendices X1 through X3, Measurement—part 4: Test Cycles for April 10, 1996), IBR approved for (Approved July 15, 2011), IBR approved Different Engine Applications, IBR §§ 60.485a(d), 60.593(b), 60.593a(b), for §§ 60.41b and 60.41c. approved for § 60.4241(b). (188) ASTM D6784–02, Standard Test 60.632(f), 60.5400(f), and 60.5406(b). (2) [Reserved] (200) ASTM E1584–11, Standard Test Method for Elemental, Oxidized, (l) International Organization for Method for Assay of Nitric Acid, Particle-Bound and Total Mercury in Standardization (ISO), 1, ch. de la Voie- (Approved August 1, 2011), IBR Flue Gas Generated from Coal-Fired Creuse, Case postale 56, CH–1211 approved for § 60.73a(c). Geneva 20, Switzerland, +41 22 749 01 Stationary Sources (Ontario Hydro (201) ASTM UOP539–97, Refinery Method), IBR approved for § 60.56c(b) 11, http://www.iso.org/iso/home.htm. Gas Analysis by Gas Chromatography, (1) ISO 8316: Measurement of Liquid and appendix B to part 60: Performance (Copyright 1997), IBR approved for Flow in Closed Conduits—Method by Specification 12A, Section 8.6.2. § 60.107a(d). Collection of the Liquid in a Volumetric (189) ASTM D6784–02 (Reapproved (h) Association of Official Analytical 2008) Standard Test Method for Chemists, 1111 North 19th Street, Suite Tank (1987–10–01)—First Edition, IBR Elemental, Oxidized, Particle-Bound 210, Arlington, VA 22209. approved for § 60.107a(d). and Total Mercury in Flue Gas (1) AOAC Method 9, Official Methods (2) [Reserved] Generated from Coal-Fired Stationary of Analysis of the Association of Official (m) This material is available for Sources (Ontario Hydro Method), Analytical Chemists (AOAC), 11th purchase from the National Technical (Approved April 1, 2008), IBR approved edition, 1970, pp. 11–12, IBR approved Information Services (NTIS), 5285 Port for §§ 60.2165(j) and 60.2730(j), tables 1, for §§ 60.204(b), 60.214(b), 60.224(b), Royal Road, Springfield, Virginia 22161. 5, 6 and 8 to subpart CCCC, and tables and 60.234(b). You may inspect a copy at the EPA’s Air 2, 6, 7, and 9 to subpart DDDD, (2) [Reserved] and Radiation Docket and Information §§ 60.4900(b), 60.5220(b), tables 1 and 2 (i) U.S. Environmental Protection Center (Docket A–91–61, Item IV–J– to subpart LLLL, and tables 2 and 3 to Agency, 1200 Pennsylvania Avenue 125), Room M–1500, 1200 Pennsylvania subpart MMMM. NW., Washington, DC 20460, (202) 272– Ave. NW., Washington, DC 20460. (190) ASTM D7467–10, Standard 0167, http://www.epa.gov. (1) OMB Bulletin No. 93–17: Revised Specification for Diesel Fuel Oil, (1) EPA–454/R–98–015, Office of Air Statistical Definitions for Metropolitan Biodiesel Blend (B6 to B20), including Quality Planning and Standards Areas. Office of Management and

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Budget, June 30, 1993. NTIS No. PB 93– (h) * * * Subpart Ec—[Amended] 192–664. IBR approved for § 60.31e. (1) Conduct an initial performance ■ (2) [Reserved] test as required under § 60.8 over a 9. Amend § 60.51c by revising the (n) North American Electric minimum of 24 consecutive steam definition of ‘‘Medical/infectious waste’’ Reliability Corporation, 1325 G Street generating unit operating hours at to read as follows: NW., Suite 600, Washington, DC 20005– maximum heat input capacity to § 60.51c Definitions. 3801, http://www.nerc.com. demonstrate compliance with the NO X * * * * * (1) North American Electric emission standards under § 60.44b using Reliability Corporation Reliability Medical/infectious waste means any Method 7, 7A, or 7E of appendix A of waste generated in the diagnosis, Standard EOP–002–3, Capacity and this part, Method 320 of appendix A of Energy Emergencies, updated November treatment, or immunization of human part 63 of this chapter, or other beings or animals, in research pertaining 19, 2012, IBR approved for §§ 60.4211(f) approved reference methods; and and 60.4243(d). Also available online: thereto, or in the production or testing (2) Conduct subsequent performance http://www.nerc.com/files/EOP-002-3_ of biologicals that are listed in tests once per calendar year or every 400 1.pdf. paragraphs (1) through (7) of this (2) [Reserved] hours of operation (whichever comes definition. The definition of medical/ (o) Technical Association of the Pulp first) to demonstrate compliance with infectious waste does not include and Paper Industry (TAPPI), Dunwoody the NOX emission standards under hazardous waste identified or listed Park, Atlanta, GA 30341. § 60.44b over a minimum of 3 under the regulations in part 261 of this (1) TAPPI Method T624 os–68, IBR consecutive steam generating unit chapter; household waste, as defined in approved for § 60.285(d). operating hours at maximum heat input § 261.4(b)(1) of this chapter; ash from (2) [Reserved] capacity using Method 7, 7A, or 7E of incineration of medical/infectious (p) Underwriter’s Laboratories, Inc. appendix A of this part, Method 320 of waste, once the incineration process has (UL), 333 Pfingsten Road, Northbrook, appendix A of part 63, or other been completed; human corpses, IL 60062. approved reference methods. remains, and anatomical parts that are (1) UL 103, Sixth Edition revised as of * * * * * intended for interment or cremation; September 3, 1986, Standard for ■ 8. Amend § 60.47b by revising and domestic sewage materials Chimneys, Factory-built, Residential paragraph (b)(2) to read as follows: identified in § 261.4(a)(1) of this Type and Building Heating Appliance, chapter. IBR approved for Appendix A–8 to part § 60.47b Emission monitoring for sulfur (1) Cultures and stocks of infectious 60. dioxide. agents and associated biologicals, (2) [Reserved] * * * * * including: Cultures from medical and (q) Water Pollution Control (b) * * * pathological laboratories; cultures and Federation (WPCF), 2626 Pennsylvania stocks of infectious agents from research (2) Measuring SO according to Avenue NW., Washington, DC 20037. 2 and industrial laboratories; wastes from Method 6B of appendix A of this part (1) Method 209A, Total Residue Dried the production of biologicals; discarded ° at the inlet or outlet to the SO2 control at 103–105 C, in Standard Methods for live and attenuated vaccines; and system. An initial stratification test is the Examination of Water and culture dishes and devices used to required to verify the adequacy of the Wastewater, 15th Edition, 1980, IBR transfer, inoculate, and mix cultures. sampling location for Method 6B of approved for § 60.683(b). (2) Human pathological waste, appendix A of this part. The (2) [Reserved] including tissues, organs, and body stratification test shall consist of three (r) West Coast Lumber Inspection parts and body fluids that are removed paired runs of a suitable SO and CO Bureau, 6980 SW. Barnes Road, 2 2 during surgery or autopsy, or other measurement train operated at the Portland, OR 97223. medical procedures, and specimens of candidate location and a second similar (1) West Coast Lumber Standard body fluids and their containers. Grading Rules No. 16, pages 5–21, 90 train operated according to the (3) Human blood and blood products and 91, September 3, 1970, revised procedures in Section 3.2 and the including: 1984, IBR approved for Appendix A–8 applicable procedures in Section 7 of (i) Liquid waste human blood; to part 60. Performance Specification 2. Method 6B (ii) Products of blood; (2) [Reserved] of appendix A of this part, Method 6A (iii) Items saturated and/or dripping of appendix A of this part, or a with human blood; or Subpart Db—[Amended] combination of Methods 6 and 3 or 3B (iv) Items that were saturated and/or of appendix A of this part or Methods ■ 7. Amend § 60.46b by revising dripping with human blood that are 6C or Method 320 of appendix A of part now caked with dried human blood; paragraphs (f)(1)(ii) and (h)(1) and (h)(2) 63 of this chapter and 3A of appendix to read as follows: including serum, plasma, and other A of this part are suitable measurement blood components, and their containers, § 60.46b Compliance and performance test techniques. If Method 6B of appendix A which were used or intended for use in methods and procedures for particulate of this part is used for the second train, either patient care, testing and matter and nitrogen oxides. sampling time and timer operation may laboratory analysis or the development * * * * * be adjusted for the stratification test as of pharmaceuticals. Intravenous bags are (f) * * * long as an adequate sample volume is also included in this category. (1) * * * collected; however, both sampling trains (4) Sharps that have been used in (ii) Method 7E of appendix A of this are to be operated similarly. For the animal or human patient care or part or Method 320 of appendix A of location to be adequate for Method 6B treatment or in medical, research, or part 63 shall be used to determine the of appendix A of this part, 24-hour tests, industrial laboratories, including NOX concentrations. Method 3A or 3B the mean of the absolute difference hypodermic needles, syringes (with or of appendix A of this part shall be used between the three paired runs must be without the attached needle), pasteur to determine O2 concentration. less than 10 percent. pipettes, scalpel blades, blood vials, * * * * * * * * * * needles with attached tubing, and

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culture dishes (regardless of presence of Subpart BB—[Amended] N = total number of control devices to which infectious agents). Also included are separate operations in the facility are other types of broken or unbroken ■ 12. Amend § 60.284 by revising the ducted. glassware that were in contact with equation in paragraph (c)(3) to read as * * * * * infectious agents, such as used slides follows: (c) * * * and cover slips. § 60.284 Monitoring of emissions and (2) Method 12 or Method 29 shall be (5) Animal waste including operations. used to determine the lead contaminated animal carcasses, body * * * * * concentration (CPb) and the volumetric parts, and bedding of animals that were (c) * * * flow rate (Qsd) of the effluent gas. The known to have been exposed to (3) * * * sampling time and sample volume for × ¥ ¥ infectious agents during research Ccorr = C meas (21 X)/(21 Y) each run shall be at least 60 minutes (including research in veterinary *** and 0.85 dscm (30 dscf). hospitals), production of biologicals or * * * * * * * * * * testing of pharmaceuticals. Subpart GG—[Amended] Subpart LL—[Amended] (6) Isolation wastes including biological waste and discarded materials ■ 13. Amend § 60.335 by revising the ■ 15. Amend § 60.382 by revising contaminated with blood, excretions, terms Pr and Po for the equation in paragraph (a)(1) to read as follows: exudates, or secretions from humans paragraph (b)(1) to read as follows: who are isolated to protect others from § 60.382 Standard for particulate matter. certain highly communicable diseases, § 60.335 Test methods and procedures. (a) * * * or isolated animals known to be infected * * * * * (1) Contain particulate matter in with highly communicable diseases. (b) * * * excess of 0.05 grams per dry standard (1) * * * cubic meter (0.05 g/dscm). (7) Unused sharps including the Pr = reference combustor inlet following unused, discarded sharps: absolute pressure at 101.3 kilopascals * * * * * hypodermic needles, suture needles, ambient pressure. Alternatively, you ■ 16. Amend § 60.386 by revising syringes, and scalpel blades. may use 760 mm Hg (29.92 in Hg), paragraph (b)(2) to read as follows: * * * * * Po = observed combustor inlet absolute pressure at test, mm Hg. § 60.386 Test methods and procedures. Subpart H—[Amended] Alternatively, you may use the * * * * * barometric pressure for the date of the (b) * * * ■ 10. Amend § 60.84 by revising the test, (2) Method 9 and the procedures in equation in paragraph (d) to read as * * * * * § 60.11 shall be used to determine follows: opacity from stack emissions and Subpart KK—[Amended] process fugitive emissions. The observer § 60.84 Emission monitoring. shall read opacity only when emissions ■ * * * * * 14. Amend § 60.374 by revising are clearly identified as emanating paragraphs (b)(1), (b)(2), and (c)(2) to solely from the affected facility being (d) * * * read as follows: observed. A single visible emission E = (C S)/[0.265 ¥ (0.0126 %O ) ¥ (A s s 2 § 60.374 Test methods and procedures. observer may conduct visible emission %CO2)] observations for up to three fugitive, * * * * * stack, or vent emission points within a * * * * * (b) * * * (1) Method 12 or Method 29 shall be 15-second interval. This option is Subpart O—[Amended] used to determine the lead subject to the following limitations: concentration (C ) and, if applicable, (i) No more than three emission ■ 11. Amend § 60.154 by revising the Pb the volumetric flow rate (Q ) of the points are read concurrently; introductory text to paragraph (b)(5) to sda effluent gas. The sampling time and (ii) All three emission points must be read as follows: ° sample volume for each run shall be at within a 70 viewing sector or angle in front of the observer such that the § 60.154 Test methods and procedures. least 60 minutes and 0.85 dscm (30 dscf). proper sun position can be maintained * * * * * (2) When different operations in a for all three points; and (b) * * * three-process operation facility are (iii) If an opacity reading for any one (5) Samples of the sludge charged to ducted to separate control devices, the of the three emission points is within 5 the incinerator shall be collected in lead emission concentration (C) from percent opacity of the application nonporous jars at the beginning of each the facility shall be determined as standard, then the observer must stop run and at approximately 1-hour follows: taking readings for the other two points intervals thereafter until the test ends; and continue reading just that single and ‘‘2540 G. Total, Fixed, and Volatile point. Solids in Solid and Semisolid Samples, * * * * * in Standard Methods for the Subpart UU—[Amended] Examination of Water and Wastewater, Where: 20th Edition, 1998’’ (incorporated by ■ 17. Amend § 60.472 by revising C = concentration of lead emissions for the reference—see § 60.17) shall be used to paragraph (a)(1)(ii) to read as follows: determine dry sludge content of each entire facility, mg/dscm (gr/dscf). sample (total solids residue), except Ca = concentration of lead emissions from § 60.472 Standards for particulate matter. facility ‘‘a’’, mg/dscm (gr/dscf). that: Qsda = volumetric flow rate of effluent gas (a) * * * * * * * * from facility ‘‘a’’, dscm/hr (dscf/hr). (1) * * *

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(ii) 0.4 kg/Mg (0.8 lb/ton) of saturated value greater than 8.0 is exempt from all (3) The results of any performance test felt or smooth-surfaced roll roofing provisions of this subpart except for performed pursuant to the methods and produced; §§ 60.662; 60.664 (e), (f), and (g); and procedures required by § 60.664(e). * * * * * 60.665 (h) and (l). * * * * * * * * * * Subpart NNN—[Amended] ■ 19. Amend § 60.665 by revising Subpart IIII—[Amended] paragraphs (h)(2) and (h)(3) to read as ■ 18. Amend § 60.660 by revising follows: ■ 20. Revise Table 7 to Subpart IIII of paragraph (c)(4) to read as follows: part 60 to read as follows: § 60.665 Reporting and recordkeeping § 60.660 Applicability and designation of requirements. As stated in § 60.4213, you must affected facility. * * * * * comply with the following requirements * * * * * (h) * * * for performance tests for stationary CI (c) * * * (2) Any recalculation of the TRE ICE with a displacement of ≥30 liters (4) Each affected facility that has a index value performed pursuant to per cylinder: total resource effectiveness (TRE) index § 60.664(g); and

TABLE 7 TO SUBPART IIII OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS FOR STATIONARY CI ICE WITH A DISPLACEMENT OF ≥30 LITERS PER CYLINDER

Complying with the According to the following Each requirement to You must Using requirements

1. Stationary CI internal a. Reduce NOX emissions i. Select the sampling port (a) For NOX, O2, and combustion engine with a by 90 percent or more; location and number/lo- moisture measurement, displacement of ≥ 30 li- cation of traverse points ducts ≤6 inches in di- ters per cylinder at the inlet and outlet of ameter may be sampled the control device; at a single point located at the duct centroid and ducts >6 and ≤12 inches in diameter may be sampled at 3 tra- verse points located at 16.7, 50.0, and 83.3% of the measurement line (‘3-point long line’). If the duct is >12 inches in diameter and the sam- pling port location meets the two and half-diame- ter criterion of Section 11.1.1 of Method 1 of 40 CFR part 60, appen- dix A–1, the duct may be sampled at ‘3-point long line’; otherwise, conduct the stratification testing and select sam- pling points according to Section 8.1.2 of Method 7E of 40 CFR part 60, appendix A–4. ii. Measure O2 at the inlet (1) Method 3, 3A, or 3B of (b) Measurements to de- and outlet of the control 40 CFR part 60, appen- termine O2 concentra- device; dix A–2 tion must be made at the same time as the measurements for NOX concentration. iii. If necessary, measure (2) Method 4 of 40 CFR (c) Measurements to de- moisture content at the part 60, appendix A–3, termine moisture con- inlet and outlet of the Method 320 of 40 CFR tent must be made at control device; and part 63, appendix A, or the same time as the ASTM D 6348–03 (in- measurements for NOX corporated by reference, concentration. see § 60.17) iv. Measure NOX at the (3) Method 7E of 40 CFR (d) NOX concentration inlet and outlet of the part 60, appendix A–4, must be at 15 percent control device. Method 320 of 40 CFR O2, dry basis. Results of part 63, appendix A, or this test consist of the ASTM D 6348–03 (in- average of the three 1- corporated by reference, hour or longer runs. see § 60.17)

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TABLE 7 TO SUBPART IIII OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS FOR STATIONARY CI ICE WITH A DISPLACEMENT OF ≥30 LITERS PER CYLINDER—Continued

Complying with the According to the following Each requirement to You must Using requirements

b. Limit the concentration i. Select the sampling port (a) For NOX, O2, and of NOX in the stationary location and number/lo- moisture measurement, CI internal combustion cation of traverse points ducts ≤6 inches in di- engine exhaust. at the exhaust of the ameter may be sampled stationary internal com- at a single point located bustion engine; at the duct centroid and ducts >6 and ≤12 inches in diameter may be sampled at 3 tra- verse points located at 16.7, 50.0, and 83.3% of the measurement line (‘3-point long line’). If the duct is >12 inches in diameter and the sam- pling port location meets the two and half-diame- ter criterion of Section 11.1.1 of Method 1 of 40 CFR part 60, appen- dix A–1, the duct may be sampled at ‘3-point long line’; otherwise, conduct the stratification testing and select sam- pling points according to Section 8.1.2 of Method 7E of 40 CFR part 60, appendix A–4. ii. Determine the O2 con- (1) Method 3, 3A, or 3B of (b) Measurements to de- centration of the sta- 40 CFR part 60, appen- termine O2 concentra- tionary internal combus- dix A–2 tion must be made at tion engine exhaust at the same time as the the sampling port loca- measurement for NOX tion; concentration. iii. If necessary, measure (2) Method 4 of 40 CFR (c) Measurements to de- moisture content of the part 60, appendix A–3, termine moisture con- stationary internal com- Method 320 of 40 CFR tent must be made at bustion engine exhaust part 63, appendix A, or the same time as the at the sampling port lo- ASTM D 6348–03 (in- measurement for NOX cation; and corporated by reference, concentration. see § 60.17) iv. Measure NOX at the (3) Method 7E of 40 CFR (d) NOX concentration exhaust of the stationary part 60, Appendix A–4, must be at 15 percent internal combustion en- Method 320 of 40 CFR O2, dry basis. Results of gine; if using a control part 63, appendix A, or this test consist of the device, the sampling ASTM D 6348–03 (in- average of the three 1- site must be located at corporated by reference, hour or longer runs. the outlet of the control see § 60.17) device. c. Reduce PM emissions i. Select the sampling port (1) Method 1 or 1A of 40 (a) Sampling sites must be by 60 percent or more location and the number CFR part 60, appendix located at the inlet and of traverse points; A–1 outlet of the control de- vice. ii. Measure O2 at the inlet (2) Method 3, 3A, or 3B of (b) Measurements to de- and outlet of the control 40 CFR part 60, appen- termine O2 concentra- device; dix A–2 tion must be made at the same time as the measurements for PM concentration. iii. If necessary, measure (3) Method 4 of 40 CFR (c) Measurements to de- moisture content at the part 60, appendix A–3 termine and moisture inlet and outlet of the content must be made control device; and at the same time as the measurements for PM concentration.

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TABLE 7 TO SUBPART IIII OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS FOR STATIONARY CI ICE WITH A DISPLACEMENT OF ≥30 LITERS PER CYLINDER—Continued

Complying with the According to the following Each requirement to You must Using requirements

iv. Measure PM at the (4) Method 5 of 40 CFR (d) PM concentration must inlet and outlet of the part 60, appendix A–3 be at 15 percent O2, dry control device. basis. Results of this test consist of the aver- age of the three 1-hour or longer runs. d. Limit the concentration i. Select the sampling port (1) Method 1 or 1A of 40 (a) If using a control de- of PM in the stationary location and the number CFR part 60, appendix vice, the sampling site CI internal combustion of traverse points; A–1 must be located at the engine exhaust outlet of the control de- vice. ii. Determine the O2 con- (2) Method 3, 3A, or 3B of (b) Measurements to de- centration of the sta- 40 CFR part 60, appen- termine O2 concentra- tionary internal combus- dix A–2 tion must be made at tion engine exhaust at the same time as the the sampling port loca- measurements for PM tion; concentration. iii. If necessary, measure (3) Method 4 of 40 CFR (c) Measurements to de- moisture content of the part 60, appendix A–3 termine moisture con- stationary internal com- tent must be made at bustion engine exhaust the same time as the at the sampling port lo- measurements for PM cation; and concentration. iv. Measure PM at the ex- (4) Method 5 of 40 CFR (d) PM concentration must haust of the stationary part 60, appendix A–3. be at 15 percent O2, dry internal combustion en- basis. Results of this gine. test consist of the aver- age of the three 1-hour or longer runs.

Subpart JJJJ—[Amended] As stated in § 60.4244, you must of 100 percent peak (or the highest comply with the following requirements achievable) load: ■ 21. Revise Table 2 to Subpart JJJJ of for performance tests within 10 percent part 60 to read as follows:

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TABLE 2 TO SUBPART JJJJ OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS

Complying with the According to the following For each requirement to You must Using requirements

1. Stationary SI internal a. limit the concentration i. Select the sampling port (1) Method 1 or 1A of 40 (a) Alternatively, for NOX, combustion engine dem- of NOX in the stationary location and the num- CFR part 60, appendix O2, and moisture meas- onstrating compliance ac- SI internal combustion ber/location of traverse A–1, if measuring flow urement, ducts ≤6 cording to § 60.4244. engine exhaust. points at the exhaust of rate. inches in diameter may the stationary internal be sampled at a single combustion engine; point located at the duct centroid and ducts >6 and ≤12 inches in di- ameter may be sampled at 3 traverse points lo- cated at 16.7, 50.0, and 83.3% of the measure- ment line (‘3-point long line’). If the duct is >12 inches in diameter and the sampling port loca- tion meets the two and half-diameter criterion of Section 11.1.1 of Meth- od 1 of 40 CFR part 60, Appendix A, the duct may be sampled at ‘3- point long line’; other- wise, conduct the strati- fication testing and se- lect sampling points ac- cording to Section 8.1.2 of Method 7E of 40 CFR part 60, Appendix A. b ii. Determine the O2 con- (2) Method 3, 3A, or 3B (b) Measurements to de- centration of the sta- of 40 CFR part 60, ap- termine O2 concentra- tionary internal combus- pendix A–2 or ASTM tion must be made at tion engine exhaust at Method D6522–00 (Re- the same time as the ae the sampling port loca- approved 2005) . measurements for NOX tion; concentration. iii. If necessary, determine (3) Method 2 or 2C of 40 the exhaust flowrate of CFR part 60, appendix the stationary internal A–1 or Method 19 of 40 combustion engine ex- CFR part 60, appendix haust; A–7. iv. If necessary, measure (4) Method 4 of 40 CFR (c) Measurements to de- moisture content of the part 60, appendix A–3, termine moisture must stationary internal com- Method 320 of 40 CFR be made at the same bustion engine exhaust part 63, appendix A, or time as the measure- at the sampling port lo- ASTM Method D 6348– ment for NOX con- cation; and 03 e. centration. v. Measure NOX at the ex- (5) Method 7E of 40 CFR (d) Results of this test haust of the stationary part 60, appendix A–4, consist of the average internal combustion en- ASTM Method D6522– of the three 1-hour or gine; if using a control 00 (Reapproved longer runs. device, the sampling 2005) ae, Method 320 of site must be located at 40 CFR part 63, appen- the outlet of the control dix A, or ASTM Method device. D 6348–03 e.

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TABLE 2 TO SUBPART JJJJ OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

Complying with the According to the following For each requirement to You must Using requirements

b. limit the concentration i. Select the sampling port (1) Method 1 or 1A of 40 (a) Alternatively, for CO, of CO in the stationary location and the num- CFR part 60, appendix O2, and moisture meas- SI internal combustion ber/location of traverse A–1, if measuring flow urement, ducts ≤6 engine exhaust. points at the exhaust of rate. inches in diameter may the stationary internal be sampled at a single combustion engine; point located at the duct centroid and ducts >6 and ≤12 inches in di- ameter may be sampled at 3 traverse points lo- cated at 16.7, 50.0, and 83.3% of the measure- ment line (‘3-point long line’). If the duct is >12 inches in diameter and the sampling port loca- tion meets the two and half-diameter criterion of Section 11.1.1 of Meth- od 1 of 40 CFR part 60, Appendix A, the duct may be sampled at ‘3- point long line’; other- wise, conduct the strati- fication testing and se- lect sampling points ac- cording to Section 8.1.2 of Method 7E of 40 CFR part 60, Appendix A. b ii. Determine the O2 con- (2) Method 3, 3A, or 3B (b) Measurements to de- centration of the sta- of 40 CFR part 60, ap- termine O2 concentra- tionary internal combus- pendix A–2 or ASTM tion must be made at tion engine exhaust at Method D6522–00 (Re- the same time as the the sampling port loca- approved 2005) ae. measurements for CO tion; concentration. iii. If necessary, determine (3) Method 2 or 2C of 40 the exhaust flowrate of CFR part 60, appendix the stationary internal A–1 or Method 19 of 40 combustion engine ex- CFR part 60, appendix haust; A–7. iv. If necessary, measure (4) Method 4 of 40 CFR (c) Measurements to de- moisture content of the part 60, appendix A–3, termine moisture must stationary internal com- Method 320 of 40 CFR be made at the same bustion engine exhaust part 63, appendix A, or time as the measure- at the sampling port lo- ASTM Method D 6348– ment for CO concentra- cation; and 03 e. tion. v. Measure CO at the ex- (5) Method 10 of 40 CFR (d) Results of this test haust of the stationary part 60, appendix A4, consist of the average internal combustion en- ASTM Method D6522– of the three 1-hour or gine; if using a control 00 (Reapproved longer runs. device, the sampling 2005) ae, Method 320 of site must be located at 40 CFR part 63, appen- the outlet of the control dix A, or ASTM Method device. D 6348–03 e.

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TABLE 2 TO SUBPART JJJJ OF PART 60—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

Complying with the According to the following For each requirement to You must Using requirements

c. limit the concentration i. Select the sampling port (1) Method 1 or 1A of 40 (a) Alternatively, for VOC, of VOC in the stationary location and the num- CFR part 60, appendix O2, and moisture meas- SI internal combustion ber/location of traverse A–1, if measuring flow urement, ducts ≤6 engine exhaust points at the exhaust of rate. inches in diameter may the stationary internal be sampled at a single combustion engine; point located at the duct centroid and ducts >6 and ≤12 inches in di- ameter may be sampled at 3 traverse points lo- cated at 16.7, 50.0, and 83.3% of the measure- ment line (‘3-point long line’). If the duct is >12 inches in diameter and the sampling port loca- tion meets the two and half-diameter criterion of Section 11.1.1 of Meth- od 1 of 40 CFR part 60, Appendix A, the duct may be sampled at ‘3- point long line’; other- wise, conduct the strati- fication testing and se- lect sampling points ac- cording to Section 8.1.2 of Method 7E of 40 CFR part 60, Appendix A. b ii. Determine the O2 con- (2) Method 3, 3A, or 3B (b) Measurements to de- centration of the sta- of 40 CFR part 60, ap- termine O2 concentra- tionary internal combus- pendix A–2 or ASTM tion must be made at tion engine exhaust at Method D6522–00 (Re- the same time as the the sampling port loca- approved 2005) ae. measurements for VOC tion; concentration. iii. If necessary, determine (3) Method 2 or 2C of 40 the exhaust flowrate of CFR part 60, appendix the stationary internal A–1 or Method 19 of 40 combustion engine ex- CFR part 60, appendix haust; A–7. iv. If necessary, measure (4) Method 4 of 40 CFR (c) Measurements to de- moisture content of the part 60, appendix A–3, termine moisture must stationary internal com- Method 320 of 40 CFR be made at the same bustion engine exhaust part 63, appendix A, or time as the measure- at the sampling port lo- ASTM Method D 6348– ment for VOC con- cation; and 03 e. centration. v. Measure VOC at the (5) Methods 25A and 18 (d) Results of this test exhaust of the stationary of 40 CFR part 60, ap- consist of the average internal combustion en- pendices A–6 and A–7, of the three 1-hour or gine; if using a control Method 25A with the longer runs. device, the sampling use of a methane cutter site must be located at as described in 40 CFR the outlet of the control 1065.265, Method 18 of device. 40 CFR part 60, appen- dix A–6 cd, Method 320 of 40 CFR part 63, ap- pendix A, or ASTM Method D 6348–03 e. a Also, you may petition the Administrator for approval to use alternative methods for portable analyzer. b You may use ASME PTC 19.10–1981, Flue and Exhaust Gas Analyses, for measuring the O2 content of the exhaust gas as an alternative to EPA Method 3B. AMSE PTC 19.10–1981 incorporated by reference, see 40 CFR 60.17 c You may use EPA Method 18 of 40 CFR part 60, appendix A–6, provided that you conduct an adequate pre-survey test prior to the emis- sions test, such as the one described in OTM 11 on EPA’s Web site (http://www.epa.gov/ttn/emc/prelim/otm11.pdf). d You may use ASTM D6420–99 (2004), Test Method for Determination of Gaseous Organic Compounds by Direct Interface Gas Chroma- tography/Mass Spectrometry as an alternative to EPA Method 18 for measuring total nonmethane organic. ASTM D6420–99(2004) incorporated by reference; see 40 CFR 60.17. e Incorporated by reference; see 40 CFR 60.17.

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■ 22. Amend appendix A–1 to part 60 ■ ii. By removing the definition for ■ e. By revising Method 2D, section as follows: Ts(abs) in section 12.1. 10.4. ■ a. By amending Method 1 as follows: ■ iii. By adding a definition for Appendix A–1 to Part 60—Test ■ i. By revising Figure 1–1 in section 17. Ts(abavg) in alphabetical order to Methods 1 Through 2F section 12.1. ■ ii. By adding Figure 1–2 to section 17. * * * * * ■ ■ c. By revising Method 2A, sections b. By amending Method 2 as follows: Method 1—Sample and Velocity Traverses 10.3 and 12.2. ■ i. By revising section 8.1, the note at From Stationary Sources the end of 10.1.1, and sections 10.4, ■ d. By revising Method 2B, section * * * * * 12.6, and 12.7. 12.1. 17.0 * * *

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± ± * * * * * remain stable ( 2.5 mm H2O, 0.10 in. H2O) 10.4 Barometer. Calibrate the barometer for at least 15 seconds; (2) do the same for used against a mercury barometer or NIST- Method 2—Determination of Stack Gas the static pressure side, except using suction traceable barometer prior to each field test. Velocity and Volumetric Flow Rate (Type S to obtain the minimum of 7.6 cm (3.0 in.) Pitot Tube) H2O. Other leak-check procedures, subject to * * * * * * * * * * the approval of the Administrator, may be 12.1 Nomenclature 8.1 Set up the apparatus as shown in used. * * * * * Figure 2–1. Capillary tubing or surge tanks * * * * * installed between the manometer and pitot 10.1.1 * * * Ts(abavg) = Average absolute stack tube may be used to dampen DP fluctuations. temperature, °K (°R). Note: Do not use a Type S pitot tube It is recommended, but not required, that a assembly that is constructed such that the = 273 + Ts for metric units, pretest leak-check be conducted as follows: impact pressure opening plane of the pitot = 460 + Ts for English units. (1) blow through the pitot impact opening tube is below the entry plane of the nozzle * * * * * until at least 7.6 cm (3.0 in.) H2O velocity (see Figure 2–7B). head registers on the manometer; then, close 12.6 Average Stack Gas Velocity. off the impact opening. The pressure shall * * * * *

* * * * * 10.3 Barometer. Calibrate the barometer 12.2 Test Meter Calibration Coefficient. used against a mercury barometer or NIST- Method 2A—Direct Measurement of Gas traceable barometer prior to the field test. Volume Through Pipes and Small Ducts * * * * * * * * * *

* * * * * (CO2)e = Mean carbon dioxide concentration Ki = Hydrocarbon calibration gas factor for in system exhaust, ppm. the inlet hydrocarbon analyzer, unitless. Method 2B—Determination of Exhaust Gas 3 HCe = Mean organic concentration in system Ves = Exhaust gas volume, m . Volume Flow Rate From Gasoline Vapor 3 exhaust as defined by the calibration gas, Vis = Inlet gas volume, m . Incinerators 3 ppm. Qes = Exhaust gas volume flow rate, m /min. 3 * * * * * Hci = Mean organic concentration in system Qis = Inlet gas volume flow rate, m /min. 12.1 Nomenclature. inlet as defined by the calibration gas, q = Sample run time, min. ppm. S = Standard conditions: 20° C, 760 mm COe = Mean carbon monoxide concentration in system exhaust, ppm. Ke = Hydrocarbon calibration gas factor for Hg. the exhaust hydrocarbon analyzer, (CO2)a = Ambient carbon dioxide * * * * * concentration, ppm (if not measured unitless [equal to the number of carbon atoms per molecule of the gas used to Method 2D—Measurement of Gas Volume during the test period, may be assumed calibrate the analyzer (2 for ethane, 3 for Flow Rates in Small Pipes and Ducts to equal 380 ppm). propane, etc.)]. * * * * *

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10.4 Barometer. Calibrate the barometer other gases that interfere with the O2 Pb = Barometric pressure, mm Hg. used against a mercury barometer or NIST- measurement. Pt = Gas sample tank pressure after sampling, traceable barometer prior to the field test. (a) CO2 in Nitrogen (N2). but before pressurizing, mm Hg absolute. (b) CO /SO gas mixture in N . * * * * * 2 2 2 Ptf = Final gas sample tank pressure after ■ 23. Amend appendix A–2 to part 60 (c) O2/SO2 gas mixture in N2. pressurizing, mm Hg absolute. (d) O /CO /SO gas mixture in N . as follows: 2 2 2 2 Pti = Gas sample tank pressure after (e) CO2/NOX gas mixture in N2. ■ a. By revising Method 3A, section 7.1. evacuation, mm Hg absolute. (f) CO2/SO2/NOX gas mixture in N2. P = Vapor pressure of H O (from Table 25C– ■ b. By amending Method 3C as follows: The tests for analyzer calibration error and w 2 1), mm Hg. ■ i. By revising section 7.1. system bias require high-, mid-, and low- r = Total number of analyzer injections of ■ ii. By adding section 7.3. level gases. sample tank during analysis (where j = Appendix A–2 to Part 60—Test * * * * * injection number, 1 . . . r). Methods 2G Through 3C Method 3C—Determination of Carbon R = Mean calibration response factor for specific sample component, area/ppm. * * * * * Dioxide, Methane, Nitrogen, and Oxygen from Stationary Sources Tt = Sample tank temperature at completion ° Method 3A—Determination of Oxygen and * * * * * of sampling, K. Carbon Dioxide Concentrations in Emissions 7.1 Nomenclature. Tti = Sample tank temperature before From Stationary Sources (Instrumental sampling, °K. Bw = Moisture content in the sample, Analyzer Procedure) Ttf = Sample tank temperature after fraction. pressurizing, °K. * * * * * CN2 = Measured N2 concentration (by Method 7.1 Calibration Gas. What calibration 3C), fraction. * * * * * gases do I need? Refer to Section 7.1 of CN2Corr = Measured N2 concentration 7.3 Measured N2 Concentration Method 7E for the calibration gas corrected only for dilution, fraction. Correction. Calculate the reported N2 requirements. Example calibration gas Ct = Calculated NMOC concentration, ppmv correction for Method 25–C using Eq. 3C–4. mixtures are listed below. Pre-cleaned or C equivalent. If oxygen is determined in place of N2, scrubbed air may be used for the O2 high- Ctm = Measured NMOC concentration, ppmv substitute the oxygen concentration for the calibration gas provided it does not contain C equivalent. nitrogen concentration in the equation.

* * * * * ■ v. By adding reference 13 to section ■ iii. By redesignating sections 16.0 and ■ 24. Amend appendix A–3 to part 60 17.0. 17.0 as sections 17.0 and 18.0, as follows: ■ c. By revising Method 5A, section 8.1. respectively. ■ ■ iv. By adding a new section 16. a. By revising Method 4, sections 9.1 ■ d. By amending Method 5E as follows: and 16.0. Appendix A–3 to Part 60—Test ■ i. By redesignating sections 16.0 and ■ b. Amend Method 5 as follows: Methods 4 Through 5I ■ i. By revising sections 6.1.1.5, 6.1.1.6, 17.0 as sections 17.0 and 18.0, 6.1.1.7, 6.1.1.9, 7.1.3, 8.1, 8.3.4, 8.5, respectively. * * * * * 8.5.6, 8.7.3, 8.7.5, 10.3.3, 10.5, 10.6. ■ ii. By adding a new section 16.0. Method 4—Determination of Moisture ■ ii. By removing section 7.1.5. ■ e. By amending Method 5H as follows: Content in Stack Gases ■ iii. By revising Equation 5–13 in ■ * * * * * section 16.2.3.3. i. By revising section 12.1. 9.1 Miscellaneous Quality Control ■ iv. By adding section 16.3. ■ ii. By adding section 12.15. Measures.

Section Quality control measure Effect

Section 8.1.1.4 ...... Leak rate of the sampling system cannot exceed four Ensures the accuracy of the volume of gas sampled. percent of the average sampling rate or 0.00057 m3/ (Reference Method). min (0.020 cfm). Section 8.2.1 ...... Leak rate of the sampling system cannot exceed two Ensures the accuracy of the volume of gas sampled. percent of the average sampling rate. (Approximation Method).

* * * * * 16.2 The procedures in Method 6A for 16.4 Using F-factors to determine determining moisture is an acceptable moisture is an acceptable alternative to 16.0 Alternative Procedures alternative to Method 4. Method 4 for a combustion stack not using 16.1 The procedure described in Method 16.3 Method 320 is an acceptable a scrubber. If this option is selected, calculate 5 for determining moisture content is an alternative to Method 4 for determining the moisture content as follows: ¥ acceptable alternative to Method 4. moisture. BWS BH + BA + BF Where:

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Bws = Mole fraction of moisture in the stack The monitoring and regulation of the system shall allow periodic checks of gas. temperature around the filter may be done isokinetic rates. Fd = Volume of dry combustion components with the filter temperature sensor or another * * * * * per unit of heat content at 0 percent temperature sensor. 7.1.3 Water. When analysis of the oxygen, dscf/106 Btu (scm/J). See Table 6.1.1.7 Filter Temperature Sensor. A material caught in the impingers is required, 19–2 in Method 19. temperature sensor capable of measuring ± ° ° deionized distilled water [to conform to FW = Volume of wet combustion components temperature to within 3 C (5.4 F) shall be ASTM D1193–77 or 91 Type 3 (incorporated per unit of heat content at 0 percent installed so that the sensing tip of the by reference—see § 60.17)] with at least oxygen, wet scf/106 Btu (scm/J). See temperature sensor is in direct contact with <0.001 percent residue shall be used or as Table 19–2 in Method 19. the sample gas exiting the filter. The sensing specified in the applicable method requiring %RH = Percent relative humidity (calibrated tip of the sensor may be encased in glass, analysis of the water. Run reagent blanks hydrometer acceptable), percent. Teflon, or metal and must protrude at least prior to field use to eliminate a high blank 1 PBar = Barometric pressure, in. Hg. ⁄2 in. into the sample gas exiting the filter. on test samples. T = Ambient temperature, °F. The filter temperature sensor must be W = Percent free water by weight, percent. monitored and recorded during sampling to * * * * * 8.1 Pretest Preparation. It is suggested O2 = Percent oxygen in stack gas, dry basis, ensure a sample gas temperature exiting the percent. filter of 120 ± 14 °C (248 ± 25 °F), or such that sampling equipment be maintained according to the procedures described in * * * * * other temperature as specified by an applicable subpart of the standards or APTD–0576. Alternative mercury-free Method 5—Determination of Particulate approved by the Administrator for a thermometers may be used if the Matter Emissions From Stationary Sources particular application. thermometers are at a minimum equivalent in terms of performance or suitably effective * * * * * * * * * * for the specific temperature measurement 6.1.1.5 Filter Holder. Borosilicate glass, 6.1.1.9 Metering System. Vacuum gauge, application. with a glass or Teflon frit filter support and leak-free pump, calibrated temperature a silicone rubber gasket. Other materials of sensors (rechecked at at least one point after * * * * * construction (e.g., stainless steel or Viton) each test), dry gas meter (DGM) capable of 8.3.4 Set up the train as shown in Figure may be used, subject to the approval of the measuring volume to within 2 percent, and 5–1 ensuring that the connections are leak- Administrator. The holder design shall related equipment, as shown in Figure 5–1. tight. Subject to the approval of the provide a positive seal against leakage from Alternatively, an Isostack metering system Administrator, a glass cyclone may be used the outside or around the filter. The holder may be used if all Method 5 calibrations are between the probe and filter holder when the shall be attached immediately at the outlet of performed, with the exception of those total particulate catch is expected to exceed the probe (or cyclone, if used). related to DH@ in Section 9.2.1, wherein the 100 mg or when water droplets are present 6.1.1.6 Filter Heating System. Any sample flow rate system shall be calibrated in the stack gas. heating system capable of monitoring and in lieu of DH@ and shall not deviate by more * * * * * maintaining temperature around the filter than 5 percent. Other metering systems 8.5 Sampling Train Operation. During the shall be used to ensure the sample gas capable of maintaining sampling rates within sampling run, maintain an isokinetic temperature exiting the filter of 120 ± 14 °C 10 percent of isokinetic and of determining sampling rate (within 10 percent of true (248 ± 25 °F) during sampling or such other sample volumes to within 2 percent may be isokinetic unless otherwise specified by the temperature as specified by an applicable used, subject to the approval of the Administrator) and a sample gas temperature subpart of the standards or approved by the Administrator. When the metering system is through the filter of 120 ± 14 °C (248 ± 25 Administrator for a particular application. used in conjunction with a pitot tube, the °F) or such other temperature as specified by

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an applicable subpart of the standards or caps, or serum caps may be used to close alternative mercury-free NIST-traceable approved by the Administrator. these openings. thermometer may be used if the thermometer * * * * * * * * * * is, at a minimum, equivalent in terms of 8.5.6 During the test run, make periodic 8.7.5 Save a portion of the acetone used performance or suitably effective for the adjustments to keep the temperature around for cleanup as a blank. From each storage specific temperature measurement application. As an alternative, the following the filter holder at the proper level to container of acetone used for cleanup, save single-point calibration procedure may be maintain the sample gas temperature exiting 200 ml and place in a glass sample container used. After each test run series, check the the filter; add more ice and, if necessary, salt labeled ‘‘acetone blank.’’ To minimize any particulate contamination, rinse the wash accuracy (and, hence, the calibration) of each to maintain a temperature of less than 20 °C bottle prior to filling from the tested thermocouple system at ambient (68 °F) at the condenser/silica gel outlet. container. temperature, or any other temperature, Also, periodically check the level and zero of within the range specified by the the manometer. * * * * * 10.3.3 Acceptable Variation in manufacturer, using a reference thermometer * * * * * Calibration Check. If the DGM coefficient (either ASTM reference thermometer or a 8.7.3 Before moving the sample train to values obtained before and after a test series thermometer that has been calibrated against the cleanup site, remove the probe from the differ by more than 5 percent, the test series an ASTM reference thermometer). The sample train and cap the open outlet of the shall either be voided, or calculations for the temperatures of the thermocouple and probe. Be careful not to lose any condensate test series shall be performed using reference thermometers shall agree to within that might be present. Cap the filter inlet whichever meter coefficient value (i.e., before ±2 °F. where the probe was fastened. Remove the or after) gives the lower value of total sample 10.6 Barometer. Calibrate against a umbilical cord from the last impinger, and volume. mercury barometer or NIST-traceable cap the impinger. If a flexible line is used * * * * * barometer prior to the field test. between the first impinger or condenser and 10.5 Temperature Sensors. Use the Alternatively, barometric pressure may be the filter holder, disconnect the line at the procedure in Section 10.3 of Method 2 to obtained from a weather report that has been filter holder, and let any condensed water or calibrate in-stack temperature sensors. Dial adjusted for the test point (on the stack) liquid drain into the impingers or condenser. thermometers, such as are used for the DGM elevation. Cap off the filter holder outlet and impinger and condenser outlet, shall be calibrated * * * * * inlet. Either ground-glass stoppers, plastic against mercury-in-glass thermometers. An 16.2.3.3***

* * * * * (1) The metering system must pass the 16.3.1 After each test run, do the 16.3 Alternative Post-Test Metering post-test leak-check from either the inlet of following: System Calibration. The following procedure the sampling train or the inlet of the metering 16.3.1.1 Ensure that the metering system may be used as an alternative to the post-test system. Therefore, if the train fails the former has passed the post-test leak-check. If not, conduct a leak-check of the metering system calibration described in Section 10.3.2. This leak-check, another leak-check from the inlet from its inlet. alternative procedure does not detect of the metering system must be conducted; 16.3.1.2 Conduct the leak-check of that (2) The metering system must pass the leakages between the inlet of the metering portion of the train from the pump to the system and the dry gas meter. Therefore, two leak-check of that portion of the train from orifice meter as described in Section 10.3.1.1. the pump to the orifice meter as described in steps must be included to make it an 16.3.1.3 Calculate Yqa for each test run equivalent alternative: Section 8.4.1. using the following equation:

Where: 16.3.2.2 If the average Yqa does not meet 8.1 Pretest Preparation. Unless otherwise

Yqa = Dry gas meter calibration check value, the 5 percent criterion, recalibrate the meter specified, maintain and calibrate all dimensionless. over the full range of orifice settings as components according to the procedure 0.0319 = (29.92/528) (0.75) 2 (in. Hg/°R) cfm2. detailed in Section 10.3.1. Then follow the described in APTD–0576, ‘‘Maintenance, DH@ = Orifice meter calibration coefficient, procedure in Section 10.3.3. Calibration, and Operation of Isokinetic in. H2O. 17.0 * * * Source-Sampling Equipment’’ (Reference 3 in Md = Dry molecular weight of stack gas, lb/ 13. Shigehara, Roger T., P.G. Royals, and Method 5, Section 17.0). Alternative lb-mole. E.W. Steward. ‘‘Alternative Method 5 Post- mercury-free thermometers may be used if 29 = Dry molecular weight of air, lb/lb-mole. Test Calibration.’’ Entropy Incorporated, the thermometers are, at a minimum, Research Triangle Park, NC 27709. 16.3.2 After each test run series, do the equivalent in terms of performance or following: * * * * * suitably effective for the specific temperature 16.3.2.1 Average the three or more Yqa’s measurement application. obtained from the test run series and Method 5A—Determination of Particulate Matter Emissions From the Asphalt compare this average Yqa with the dry gas * * * * * Processing and Asphalt Roofing Industry meter calibration factor Y. The average Yqa must be within 5 percent of Y. * * * * *

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Method 5E—Determination of Particulate 16.0 Alternative Procedures location. Use the gas sample probe and Matter Emissions From the Wool Fiberglass 16.1 Alternative Stack Gas Volumetric analyzer to show that no stratification of the Insulation Manufacturing Industry Flow Rate Determination (Tracer Gas). tracer gas is found in the stack at the * * * * * 16.1.1 Apparatus. measurement locations. Monitor the tracer 16.1.1.1 Tracer Gas Injector System. This gas concentration from the outlet location 16.0 Alternative Procedures is to inject a known concentration of tracer and record the concentration at 10-minute 16.1 Total Organic Carbon Analyzer. gas into the stack. This system consists of a intervals or more often at the option of the Tekmar-Dohrmann analyzers using the single cylinder of tracer gas, a gas cylinder tester. A minimum of three measured injection technique may be used as an regulator, a stainless steel needle valve or a intervals is recommended to determine the alternative to Rosemount Model 2100A flow controller, a nonreactive (stainless steel stack gas volumetric flow rate. Other analyzers. or glass) rotameter, and an injection loop to statistical procedures may be applied for disperse the tracer gas evenly in the stack. complete flow characterization and * * * * * 16.1.1.2 Tracer Gas Probe. A glass or additional QA/QC. Method 5H—Determination of Particulate stainless steel sampling probe. * * * * * 16.1.1.3 Gas Conditioning System. A gas Matter Emissions From Wood Heaters From ■ 25. Amend appendix A–4 to part 60 a Stack Location conditioning system is suitable for delivering as follows: * * * * * a cleaned sample to the analyzer consisting of a filter to remove particulate and a ■ a. By revising Method 6, sections 10.2 12.1 Nomenclature. condenser capable of lowering the dew point and 10.4. A = Sample flow rate adjustment factor. of the sample gas to less than 5 °C (40 °F). ■ b. By revising Method 6C, sections 4.0 BR = Dry wood burn rate, kg/hr (lb/hr), from A desiccant such as anhydrous calcium and 8.3. Method 28, Section 8.3. sulfate may be used to dry the sample gas. ■ c. By revising Method 7, sections 4.0, Bws = Water vapor in the gas stream, Desiccants which react or absorb tracer gas or 10.2, and 10.3. proportion by volume. stack gas may not be used, e.g. silica gel ■ d. By revising Method 7A, sections 4.0 C = Tracer gas concentration at inlet, ppmv. i absorbs CO2. and 10.4. Co = Tracer gas concentration at outlet, 16.1.1.4. Pump. An inert (i.e., stainless ■ ppmv. e. By revising Method 7E, sections 6.1, steel or Teflon head) pump to deliver more 7.1.1, the introductory text in section Cs = Concentration of particulate matter in than the total sample required by the stack gas, dry basis, corrected to standard manufacturer’s specifications for the analyzer 8.2.5, the introductory text in section conditions, g/dscm (g/dscf). used to measure the downstream tracer gas 8.2.7, and the introductory text in E = Particulate emission rate, g/hr (lb/hr). concentration. section 16.2.2. DH = Average pressure differential across the 16.1.1.5 Gas Analyzer. A gas analyzer is ■ f. By revising Method 8, the definition orifice meter (see Figure 5H–1), mm H2O any analyzer capable of measuring the tracer for Vsoln in section 12.1, and Figure 8– (in. H2O). gas concentration in the range necessary at 1 in section 17.0. La = Maximum acceptable leakage rate for least every 10 minutes. A means of ■ g. By revising Method 10, sections either a post-test leak-check or for a leak- controlling the analyzer flow rate and a 6.2.5 and 8.4.2. check following a component change; device for determining proper sample flow ■ h. By revising Method 10A, sections equal to 0.00057 cmm (0.020 cfm) or 4 rate shall be provided unless data is provided 2.0, 8.2.1, 8.2.3, 11.1, 11.2, the percent of the average sampling rate, to show that the analyzer is insensitive to whichever is less. flow variations over the range encountered introductory text in section 12.3, and L1 = Individual leakage rate observed during during the test. The gas analyzer needs to 13.5. the leak-check conducted before a meet or exceed the following performance ■ i. By revising Method 10B, section 2.1, component change, cmm (cfm). specifications: 6.2.3, the introductory text in section Lp = Leakage rate observed during the post- 12.2. test leak-check, cmm (cfm). ± Linearity ...... 1 percent of full scale. Appendix A–4 to Part 60—Test mn = Total amount of particulate matter Calibration ≤2 percent of span. collected, mg. Error. Methods 6 Through 10B Ma = Mass of residue of solvent after Response Time ≤10 seconds. * * * * * evaporation, mg. Zero Drift (24 ≤2 percent of full scale. NC = Grams of carbon/gram of dry fuel (lb/ hour). Method 6—Determination of Sulfur Dioxide lb), equal to 0.0425. Span Drift (24 ≤2 percent of full scale. Emissions From Stationary Sources NT = Total dry moles of exhaust gas/kg of dry hour). * * * * * wood burned, g-moles/kg (lb-moles/lb). Resolution ...... ≤0.5 percent of span. 10.2 Temperature Sensors. Calibrate PR = Percent of proportional sampling rate. against mercury-in-glass thermometers. An Pbar = Barometric pressure at the sampling 16.1.1.6 Recorder (optional). To provide a alternative mercury-free thermometer may be site, mm Hg (in.Hg). permanent record of the analyzer output. used if the thermometer is, at a minimum, Pstd = Standard absolute pressure, 760 mm Hg 16.1.2 Reagents. equivalent in terms of performance or (29.92 in.Hg). 16.1.2.1 Tracer Gas. The tracer gas is suitably effective for the specific temperature Qi = Gas volumetric flow rate at inlet, cfm (l/ sulfur hexafluoride in an appropriate measurement application. min). concentration for accurate analyzer Q = Gas volumetric flow rate at outlet, cfm * * * * * o measurement or pure sulfur dioxide. The gas 10.4 Barometer. Calibrate against a (l/min). used must be nonreactive with the stack mercury barometer or NIST-traceable effluent and give minimal (<3 percent) * * * * * barometer prior to the field test. 12.15 Alternative Tracer Gas Flow Rate interference to measurement by the gas Determination. analyzer. * * * * * 16.1.3 Procedure. Select upstream and Method 6C—Determination of Sulfur downstream locations in the stack or duct for Dioxide Emissions From Stationary Sources introducing the tracer gas and delivering the (Instrumental Analyzer Procedure) sampled gas to the analyzer. The inlet * * * * * Note: This gives Q for a single instance location should be 8 or more duct diameters only. Repeated multiple determinations are beyond any upstream flow disturbance. The 4.0 Interferences outlet should be 8 or more undisturbed duct needed to track temporal variations. Very diameters from the inlet and 2 or more duct Refer to Section 4.0 of Method 7E. small variations in Q , C , or C may give very i i o diameters from the duct exit. After installing large variations in Q . * * * * * o the apparatus, meter a known concentration 8.3 Interference Check. You must follow * * * * * of the tracer gas into the stack at the inlet the procedures of Section 8.2.7 of Method 7E

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to conduct an interference check, substituting this bias. However, when no SO2 is present, least 95 percent or within 0.5 ppm SO2 for NOX as the method pollutant. For increasing the concentration by five times (whichever is less restrictive) of a stable dilution-type measurement systems, you results in a low bias. response for both the low-level and upscale must use the alternative interference check * * * * * gases. Continue to observe the gas procedure in Section 16 and a co-located, 10.4 Temperature Gauge. Calibrate dial concentration reading until it has reached a unmodified Method 6 sampling train. thermometers against mercury-in-glass final, stable value. Record this value on a Quenching in fluorescence analyzers must be thermometers. An alternative mercury-free form similar to Table 7E–2. evaluated and remedied unless a dilution thermometer may be used if the thermometer system and ambient-level analyzer is used. * * * * * is, at a minimum, equivalent in terms of 8.2.7 Interference Check. Conduct an This may be done by preparing the performance or suitably effective for the calibration gas to contain within 1 percent of interference response test of the gas analyzer specific temperature measurement prior to its initial use in the field. If you have the absolute oxygen and carbon dioxide application. content of the measured gas, preparing the multiple analyzers of the same make and calibration gas in air and using vendor * * * * * model, you need only perform this nomographs, or by other acceptable means. Method 7E—Determination of Nitrogen alternative interference check on one * * * * * Oxides Emissions From Stationary Sources analyzer. You may also meet the interference (Instrumental Analyzer Procedure) check requirement if the instrument Method 7—Determination of Nitrogen Oxide manufacturer performs this or a similar check Emissions From Stationary Sources * * * * * on an analyzer of the same make and model 6.1 What do I need for the measurement of analyzer that you use and provides you * * * * * system? You may use any equipment and with documented results. Analytical 4.0 Interferences supplies meeting the following specifications: quenching must be evaluated and remedied Biased results have been observed when (1) Sampling system components that are unless a dilution system and ambient-level sampling under conditions of high sulfur not evaluated in the system bias or system analyzer are used. The analyzer must be dioxide concentrations. At or above 2100 calibration error test must be glass, Teflon, or checked for quenching at concentrations of ppm SO2, use five times the H2O2 stainless steel. Other materials are potentially approximately 4 and 12 percent CO2 at a concentration of the Method 7 absorbing acceptable, subject to approval by the mid-range concentration for each analyzer solution. Laboratory tests have shown that Administrator. range which is commonly used. The analyzer high concentrations of SO2 (about 2100 ppm) (2) The interference, calibration error, and must be rechecked after it has been repaired cause low results in Method 7 and 7A. system bias criteria must be met. or modified or on another periodic basis. Increasing the H2O2 concentration to five (3) Sample flow rate must be maintained *** times the original concentration eliminates within 10 percent of the flow rate at which * * * * * this bias. However, when no SO is present, 2 the system response time was measured. 16.2.2 Bag Procedure. Perform the increasing the concentration by five times (4) All system components (excluding analyzer calibration error test to document results in a low bias. sample conditioning components, if used) the calibration (both NO and NOX modes, as * * * * * must maintain the sample temperature above applicable). Fill a Tedlar or equivalent bag the moisture dew point. Ensure minimal 10.2 Barometer. Calibrate against a approximately half full with either ambient contact between any condensate and the mercury barometer or NIST-traceable air, pure oxygen, or an oxygen standard gas sample gas. Section 6.2 provides example barometer prior to the field test. with at least 19.5 percent by volume oxygen equipment specifications for a NO 10.3 Temperature Gauge. Calibrate dial X content. Fill the remainder of the bag with thermometers against mercury-in-glass measurement system. Figure 7E–1 is a diagram of an example dry-basis mid- to high-level NO in N2 (or other thermometers. An alternative mercury-free appropriate concentration) calibration gas. thermometer may be used if the thermometer measurement system that is likely to meet the method requirements and is provided as (Note that the concentration of the NO is, at a minimum, equivalent in terms of standard should be sufficiently high enough performance or suitably effective for the guidance. For wet-basis systems, you may use alternative equipment and supplies as for the diluted concentration to be easily and specific temperature measurement accurately measured on the scale used. The application. needed (some of which are described in Section 6.2), provided that the measurement size of the bag should be large enough to * * * * * system meets the applicable performance accommodate the procedure and time required. Verify through the manufacturer Method 7A—Determination of Nitrogen specifications of this method. that the Tedlar alternative is suitable for NO Oxide Emissions From Stationary Sources * * * * * and make this verifed information available (Ion Chromatographic Method) 7.1.1 High-Level Gas. This concentration for inspection.) * * * * * is chosen to set the calibration span as defined in Section 3.4. * * * * * 4.0 Interferences * * * * * Method 8—Determination of Sulfuric Acid Biased results have been observed when 8.2.5 Initial System Bias and System Mist and Sulfur Dioxide Emissions From sampling under conditions of high sulfur Calibration Error Checks. Before sampling Stationary Sources dioxide concentrations. At or above 2100 begins, determine whether the high-level or * * * * * ppm SO2, use five times the H2O2 mid-level calibration gas best approximates concentration of the Method 7 absorbing the emissions and use it as the upscale gas. 12.1 * * * solution. Laboratory tests have shown that Introduce the upscale gas at the probe Vsoln = Total volume of solution in which the sample is contained, 1000 ml for the SO2 high concentrations of SO2 (about 2100 ppm) upstream of all sample conditioning cause low results in Method 7 and 7A. components in system calibration mode. sample and 250 ml for the H2SO4 sample. Increasing the H2O2 concentration to five Record the time it takes for the measured times the original concentration eliminates concentration to increase to a value that is at * * * * *

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17.0 Tables, Diagrams, Flowcharts, and Validation Data

* * * * * that all connections are leak-free. Sample at 2.0 Summary of Method a rate proportional to the stack velocity. If Method 10—Determination of Carbon An integrated gas sample is extracted from needed, the CO content of the gas may be Monoxide Emissions From Stationary 2 the stack, passed through an alkaline Sources determined by using the Method 3 integrated permanganate solution to remove sulfur sample procedures, or by weighing an oxides and nitrogen oxides, and collected in * * * * * ascarite CO removal tube used and 6.2.5 Flexible Bag. Tedlar, or equivalent, 2 a Tedlar or equivalent bag. (Verify through with a capacity of 60 to 90 liters (2 to 3 ft3). computing CO2 concentration from the gas the manufacturer that the Tedlar alternative (Verify through the manufacturer that the volume sampled and the weight gain of the is suitable for NO and make this verified Tedlar alternative is suitable for CO and tube. Data may be recorded on a form similar information available for inspection.) The CO make this verified information available for to Table 10–1. If a tank is used for sample concentration in the sample is measured inspection.) Leak-test the bag in the collection, follow procedures similar to those spectrophotometrically using the reaction of laboratory before using by evacuating with a in Sections 8.1.2, 8.2.3, 8.3, and 12.4 of CO with p-sulfaminobenzoic acid. pump followed by a dry gas meter. When the Method 25 as appropriate to prepare the tank, evacuation is complete, there should be no conduct the sampling, and correct the * * * * * flow through the meter. Gas tanks may be measured sample concentration. 8.2.1 Evacuate the bag completely using a used in place of bags if the samples are vacuum pump. Assemble the apparatus as analyzed within one week. * * * * * shown in Figure 10A–1. Loosely pack glass * * * * * Method 10A—Determination of Carbon wool in the tip of the probe. Place 400 ml of 8.4.2 Integrated Sampling. Evacuate the Monoxide Emissions in Certifying alkaline permanganate solution in the first flexible bag. Set up the equipment as shown Continuous Emission Monitoring Systems at two impingers and 250 ml in the third. in Figure 10–1 with the bag disconnected. Petroleum Refineries Connect the pump to the third impinger, and Place the probe in the stack and purge the follow this with the surge tank, rate meter, sampling line. Connect the bag, making sure * * * * *

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and 3-way valve. Do not connect the bag to Method 10B—Determination of Carbon Method 12—Determination of Inorganic the system at this time. Monoxide Emissions From Stationary Lead Emissions From Stationary Sources * * * * * Sources * * * * * 8.2.3 Purge the system with sample gas * * * * * 16.1 Simultaneous Determination of by inserting the probe into the stack and 2.1 An integrated gas sample is extracted Particulate Matter and Lead Emissions. drawing the sample gas through the system from the sampling point, passed through a Method 12 may be used to simultaneously at 300 ml/min ±10 percent for 5 minutes. conditioning system to remove interferences, determine Pb provided: Connect the evacuated bag to the system, and collected in a Tedlar or equivalent bag. (1) Acetone is used to remove particulate record the starting time, and sample at a rate (Verify through the manufacturer that the from the probe and inside of the filter holder of 300 ml/min for 30 minutes, or until the Tedlar alternative is suitable for NO and as specified by Method 5, bag is nearly full. Record the sampling time, make this verifying information available for (2) 0.1 N HNO3 is used in the impingers, the barometric pressure, and the ambient inspection.) The CO is separated from the (3) A glass fiber filter with a low Pb temperature. Purge the system as described sample by gas chromatography (GC) and background is used, and above immediately before each sample. catalytically reduced to methane (CH4) which (4) The entire train contents, including the * * * * * is determined by flame ionization detection impingers, are treated and analyzed for Pb as 11.1 Assemble the system shown in (FID). The analytical portion of this method described in Sections 8.0 and 11.0 of this Figure 10A–3, and record the information is identical to applicable sections in Method method. required in Table 10A–1 as it is obtained. 25 detailing CO measurement. * * * * * Pipet 10.0 ml of the colorimetric reagent into * * * * * 16.4 Inductively Coupled Plasma-Atomic each gas reaction bulb, and attach the bulbs 6.2.3 Sample Injection System. Same as Emission Spectrometry (ICP–AES) Analysis. to the system. Open the stopcocks to the in Method 25, Section 6.3.1.4, equipped to ICP–AES may be used as an alternative to reaction bulbs, but leave the valve to the bag accept a sample line from the bag. atomic absorption analysis provided the closed. Turn on the pump, fully open the following conditions are met: coarse-adjust flow valve, and slowly open the * * * * * 12.2 CO Concentration in the Bag. 16.4.1 Sample collection, sample fine-adjust valve until the pressure is preparation, and analytical preparation reduced to at least 40 mm Hg. Now close the Calculate Cb using Equations 10B–1 and 10B– 2. If condensate is visible in the bag, procedures are as defined in the method coarse adjust valve, and observe the except as necessary for the ICP–AES calculate Bw using Table 10A–2 of Method manometer to be certain that the system is application. leak-free. Wait a minimum of 2 minutes. If 10A and the temperature and barometric pressure in the analysis room. If condensate 16.4.2 The limit of quantitation for the the pressure has increased less than 1 mm ICP–AES must be demonstrated, and the is not visible, calculate Bw using the Hg, proceed as described below. If a leak is sample concentrations reported should be no present, find and correct it before proceeding temperature and barometric pressure at the sampling site. less than two times the limit of quantitation. further. The limit of quantitation is defined as ten 11.2 Record the vacuum pressure (Pv) to * * * * * times the standard deviation of the blank the nearest 1 mm Hg, and close the reaction ■ 26. Amend appendix A–5 to part 60 value. The standard deviation of the blank bulb stopcocks. Open the bag valve, and value is determined from the analysis of allow the system to come to atmospheric as follows: seven blanks. It has been reported that for pressure. Close the bag valve, open the pump ■ a. By revising Method 11, sections 8.5 mercury and those elements that form coarse adjust valve, and evacuate the system and 10.1.2. hydrides, a continuous-flow generator again. Repeat this fill/evacuation procedure ■ b. Amend Method 12 as follows: coupled to an ICP–AES offers detection at least twice to flush the manifold ■ i. By revising section 16.1. limits comparable to cold vapor atomic completely. Close the pump coarse adjust ■ ii. By adding sections 16.4, 16.5, and absorption. valve, open the bag valve, and let the system 16.6. 16.5 Inductively Coupled Plasma-Mass fill to atmospheric pressure. Open the ■ stopcocks to the reaction bulbs, and let the c. By adding a sentence to the end of Spectrometry (ICP–MS) Analysis. ICP–MS entire system come to atmospheric pressure. Method 14A, section 10.1.1. may be used as an alternative to atomic absorption analysis. Close the bulb stopcocks, remove the bulbs, Appendix A–5 to Part 60—Test record the room temperature and barometric 16.6 Cold Vapor Atomic Fluorescence pressure (P , to nearest mm Hg), and place Methods 11 Through 15A Spectrometry (CVAFS) Analysis. CVAFS may bar be used as an alternative to atomic absorption the bulbs on the shaker table with their main * * * * * axis either parallel to or perpendicular to the analysis. plane of the table top. Purge the bulb-filling Method 11—Determination of Hydrogen * * * * * system with ambient air for several minutes Sulfide Content of Fuel Gas Streams in Method 14A—Determination of Total between samples. Shake the samples for Petroleum Refineries exactly 2 hours. Fluoride Emissions From Selected Sources at * * * * * Primary Aluminum Production Facilities * * * * * 8.5 Sample for at least 10 minutes. At the 12.3 CO Concentration in the Bag. end of the sampling time, close the sampling * * * * * 10.1.1 * * * Allowable tolerances for Y Calculate Cb using Equations 10A–2 and valve, and record the final volume and 10A–3. If condensate is visible in the bag, temperature readings. Conduct a leak-check and DH@ are given in Figure 5–5 of Method 5 of this appendix. calculate Bw using Table 10A–2 and the as described in Section 8.2. A yellow color temperature and barometric pressure in the in the final cadmium sulfate impinger * * * * * analysis room. If condensate is not visible, indicates depletion of the absorbing solution. ■ 27. Amend appendix A–6 to part 60 calculate Bw using the temperature and An additional cadmium sulfate impinger should be added for subsequent samples and as follows: barometric pressure at the sampling site. ■ a. By revising Method 16A, section *** the sample with yellow color in the final impinger should be voided. 1.2. * * * * * ■ b. By revising Method 16C, sections 13.5 Stability. The individual * * * * * 10.1.2 Temperature Sensors. Calibrate 12.1 and 12.5. components of the colorimetric reagent are ■ stable for at least one month. The against mercury-in-glass thermometers. An c. By revising Method 18, sections colorimetric reagent must be used within two alternative mercury-free thermometer may be 8.2.1.1.2, 8.2.1.4, 8.2.1.4.2, 16.1.1.12, days after preparation to avoid excessive used if the thermometer is at a minimum 16.1.3.2, and the headings of figures 18– blank correction. The samples in the bag equivalent in terms of performance or 3 and 18–10. should be stable for at least one week if the suitably effective for the specific temperature ■ d. By redesignating section 8.2.1.5.2.3 bags are leak-free. measurement application. as section 8.2.1.5.2.2. * * * * * * * * * * ■ e. By adding a new section 8.2.1.5.2.3.

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Appendix A–6 to Part 60—Test the container. Connect the vacuum line from Mylar) bag, or equivalent, can be used to Methods 16 Through 18 the needle valve to the Teflon sample line obtain the pre-survey sample. Use new bags, from the probe. Place the end of the probe and leak-check them before field use. In * * * * * at the centroid of the stack or at a point no addition, check the bag before use for Method 16A—Determination of Total closer to the walls than 1 in., and start the contamination by filling it with nitrogen or Reduced Sulfur Emissions From Stationary pump. Set the flow rate so that the final air and analyzing the gas by GC at high volume of the sample is approximately 80 sensitivity. Experience indicates that it is Sources (Impinger Technique) percent of the bag capacity. After allowing desirable to allow the inert gas to remain in * * * * * sufficient time to purge the line several the bag about 24 hours or longer to check for 1.2 Applicability. This method is times, connect the vacuum line to the bag, desorption of organics from the bag. Follow applicable for the determination of TRS and evacuate until the rotameter indicates no the leak-check and sample collection emissions from recovery boilers, lime kilns, flow. Then position the sample and vacuum procedures given in Section 8.2.1. and smelt dissolving tanks at kraft pulp lines for sampling, and begin the actual * * * * * mills, reduced sulfur compounds (H S, 2 sampling, keeping the rate proportional to 18.0 * * * carbonyl sulfide, and carbon disulfide) from the stack velocity. As a precaution, direct the sulfur recovery units at onshore natural gas gas exiting the rotameter away from sampling Figure 18–3. Preparation of Standards in processing facilities, and from other sources personnel. At the end of the sample period, Tedlar or Tedlar-Equlivalent Bags and when specified in an applicable subpart of shut off the pump, disconnect the sample Calibration Curve the regulations. The flue gas must contain at line from the bag, and disconnect the vacuum * * * * * least 1 percent oxygen for complete oxidation line from the bag container. Record the Figure 18–10. Field Sample Data Sheet— of all TRS to SO . Note: If sources other than 2 source temperature, barometric pressure, Tedlar or Tedlar-Equivalent Bag Collection kraft pulp mills experience low oxygen levels ambient temperature, sampling flow rate, and Method in the emissions, the method results may be initial and final sampling time on the data biased low. sheet shown in Figure 18–10. Protect the bag * * * * * * * * * * and its container from sunlight. Record the ■ 28. Amend appendix A–7 to part 60 time lapsed between sample collection and Method 16C—Determination of Total as follows: analysis, and then conduct the recovery ■ a. By amending Method 23 as follows: Reduced Sulfur Emissions From Stationary procedure in Section 8.4.2. Sources ■ i. By revising sections 2.2.7, 4.1.1.3, * * * * * and 4.2.7. * * * * * 8.2.1.4 Other Modified Bag Sampling ■ 12.1 Nomenclature. ii. By adding and reserving section Procedures. In the event that condensation is 8.0. ACE = Analyzer calibration error, percent of observed in the bag while collecting the ■ b. By revising Method 24, section calibration span. sample and a direct interface system cannot CD = Calibration drift, percent. be used, heat the bag during collection and 11.2.2. ■ c. By revising Method 25, section CDir = Measured concentration of a maintain it at a suitably elevated temperature calibration gas (low, mid, or high) when during all subsequent operations. (Note: Take 7.1.3. introduced in direct calibration mode, care to leak-check the system prior to the ■ d. Amend Method 25C as follows: ppmv. dilutions so as not to create a potentially ■ i. By revising sections 6.1 and 12.1. ■ CH2S = Concentration of the system explosive atmosphere.) As an alternative, ii. By adding a new section 8.2.3. ■ performance check gas, ppmv H2S. collect the sample gas, and simultaneously e. By revising Method 25D, the first CS = Measured concentration of the system dilute it in the bag. sentence in section 9.1. performance gas when introduced in * * * * * Appendix A–7 to Part 60—Test system calibration mode, ppmv H2S. 8.2.1.4.2 Second Alternative Procedure. Methods 19 Through 25E CV = Manufacturer certified concentration of Prefill the bag with a known quantity of inert a calibration gas (low, mid, or high), gas. Meter the inert gas into the bag according * * * * * ppmv SO2. to the procedure for the preparation of gas CSO2 = Unadjusted sample SO2 concentration, concentration standards of volatile liquid Method 23—Determination of ppmv. materials (Section 10.1.2.2), but eliminate the Polychlorinated Dibenzo-p-Dioxins and CTRS = Total reduced sulfur concentration midget impinger section. Take the partly Polychlorinated Dibenzofurans From corrected for system performance, ppmv. filled bag to the source, and meter the source Stationary Sources DF = Dilution system (if used) dilution factor, gas into the bag through heated sampling * * * * * dimensionless. lines and a heated flowmeter, or Teflon 2.2.7 Storage Container. Air-tight SP = System performance, percent. positive displacement pump. Verify the container to store silica gel. * * * * * dilution factors before sampling each bag * * * * * 12.5 TRS Concentration as SO2. For each through dilution and analysis of gases of 4.1.1.3 Sample Train. It is suggested that sample or test run, calculate the arithmetic known concentration. all components be maintained according to average of SO2 concentration values (e.g., 1- * * * * * the procedure described in APTD–0576. minute averages). Then calculate the sample 8.2.1.5.2.3 Analyze the two field audit Alternative mercury-free thermometers may TRS concentration by adjusting the average samples as described in Section 9.2 by be used if the thermometers are, at a value of CSO2 for system performance using connecting each bag containing an audit gas minimum, equivalent in terms of Equation 16C–4. mixture to the sampling valve. Calculate the performance or suitably effective for the results; record and report the data to the specific temperature measurement audit supervisor. application. * * * * * * * * * * 16.1.1.12 Flexible Bags. Tedlar or 4.2.7 Silica Gel. Note the color of the equivalent, 10- and 50-liter capacity, for indicating silica gel to determine if it has * * * * * preparation of standards. (Verify through the been completely spent and make a mention manufacturer that the Tedlar alternative is of its condition. Transfer the silica gel from Method 18—Measurement of Gaseous suitable for the compound of interest and the fifth impinger to its original container Organic Compound Emissions by Gas make this verifying information available for and seal. If a moisture determination is made, Chromatography inspection.) follow the applicable procedures in sections * * * * * * * * * * 8.7.6.3 and 11.2.3 of Method 5 to handle and 8.2.1.1.2 Sampling Procedure. To obtain a 16.1.3.2 Flexible Bag Procedure. Any weigh the silica gel. If moisture is not sample, assemble the sample train as shown leak-free plastic (e.g., Tedlar, Mylar, Teflon) measured, the silica gel may be disposed. in Figure 18–9. Leak-check both the bag and or plastic-coated aluminum (e.g., aluminized * * * * *

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8.0 [Reserved] Pti = Gas sample tank pressure after applicable subpart of the standards or * * * * * evacuation, mm Hg absolute. approved by the Administrator for a Pw = Vapor pressure of H2O (from Table 25C– particular application. Method 24—Determination of Volatile 1), mm Hg. * * * * * Matter Content, Water Content, Density, r = Total number of analyzer injections of 8.1.2 Adjust the probe temperature and Volume Solids, and Weight Solids of Surface sample tank during analysis (where the temperature of the filter and the stopcock Coatings j=injection number, 1 . . . r). (i.e., the heated area in Figure 26–1) to a * * * * * Tt = Sample tank temperature at completion temperature sufficient to prevent water ° 11.2.2 Volatile Content. To determine of sampling, K. condensation. This temperature must be total volatile content, use the apparatus and Tti = Sample tank temperature before maintained between 120 and 134 °C (248 and reagents described in ASTM D2369 sampling, °K. 273 °F). The temperature should be (incorporated by reference; see § 60.17 for the Ttf = Sample tank temperature after monitored throughout a sampling run to approved versions of the standard), pressurizing, °K. ensure that the desired temperature is respectively, and use the following * * * * * maintained. It is important to maintain a procedures: temperature around the probe and filter in * * * * * Method 25D—Determination of the Volatile this range since it is extremely difficult to Organic Concentration of Waste Samples purge acid gases off these components. Method 25—Determination of Total Gaseous * * * * * (These components are not quantitatively Nonmethane Organic Emissions as Carbon 9.1 Quality Control Samples. If audit recovered and, hence, any collection of acid * * * * * samples are not available, prepare and gases on these components would result in 7.1.3 Filters. Glass fiber filters, without analyze the two types of quality control potential undereporting of these emissions. organic binder, exhibiting at least 99.95 samples (QCS) listed in Sections 9.1.1 and The applicable subparts may specify percent efficiency (<0.05 percent penetration) 9.1.2. * * * alternative higher temperatures.) on 0.3 micron dioctyl phthalate smoke * * * * * * * * * * particles. The filter efficiency test shall be ■ conducted in accordance with ASTM Method 29. Amend appendix A–8 to part 60 16.0 Alternative Procedures D2986–71, 78, or 95a (incorporated by as follows: Method 26A. Method 26A, which uses ■ reference—see § 60.17). Test data from the a. By amending Method 26 as follows: isokinetic sampling equipment, is an ■ supplier’s quality control program are i. By revising sections 6.1.1, 6.1.5, and acceptable alternative to Method 26. sufficient for this purpose. 8.1.2. ■ * * * * * * * * * * ii. By redesignating sections 16.0 and 17.0 as sections 17.0 and 18.0, Method 26A—Determination of Hydrogen Method 25C—Determination of Nonmethane respectively. Halide and Halogen Emissions From Organic Compounds (NMOC) in MSW ■ iii. By adding a new section 16.0. Stationary Sources—Isokinetic Method Landfill Gases ■ b. By revising Method 26A, sections * * * * * * * * * * 6.1.7, 8.1.5, and 8.1.6. 6.1.7 Heating System. Any heating system 6.1 Sample Probe. Stainless steel, with ■ c. By amending Method 29 as follows: capable of maintaining a temperature around the bottom third perforated. Teflon probe ■ i. By redesignating sections 16.0 and the probe and filter holder between 120 and liners and sampling lines are also allowed. 17.0 as sections 17.0 and 18.0, 134 °C (248 to 273 °F) during sampling, or Non-perforated probes are allowed as long as respectively. such other temperature as specified by an they are withdrawn to create a gap equivalent ■ ii. By adding a new section 16.0. applicable subpart of the standards or to having the bottom third perforated. The ■ d. By revising Method 30B, the approved by the Administrator for a sample probe must be capped at the bottom particular application. and must have a threaded cap with a introductory text to section 8.2.2.1, the sampling attachment at the top. The sample note to section 8.2.4, the note to section * * * * * probe must be long enough to go through and 8.2.6.2, and sections 9.0, 10.3, 10.4, 8.1.5 Sampling Train Operation. Follow extend no less than 0.9 m (3 ft) below the 11.3. the general procedure given in Method 5, landfill cover. If the sample probe is to be Section 8.5. It is important to maintain a driven into the landfill, the bottom cap Appendix A–8 to Part 60—Text temperature around the probe, filter (and Methods 26 Through 30B cyclone, if used) between 120 and 134 °C should be designed to facilitate driving the ° probe into the landfill. (248 and 273 F) since it is extremely * * * * * difficult to purge acid gases off these * * * * * Method 26—Determination of Hydrogen components. (These components are not 8.2.3 Driven Probes. Closed-point probes quantitatively recovered and hence any may be driven directly into the landfill in a Halide and Halogen Emissions From Stationary Sources Non-Isokinetic Method collection of acid gases on these components single step. This method may not require would result in potential undereporting these backfilling if the probe is adequately sealed * * * * * emissions. The applicable subparts may by its insertion. Unperforated probes that are 6.1.1 Probe. Borosilicate glass, specify alternative higher temperatures.) For inserted in this manner and withdrawn at a approximately 3/8-in. (9-mm) I.D. with a each run, record the data required on a data distance from a detachable tip to create an heating system capable of maintaining a sheet such as the one shown in Method 5, open space are also acceptable. probe gas temperature during sampling ° ° Figure 5–3. If the condensate impinger * * * * * between 120 and 134 C (248 and 273 F) to becomes too full, it may be emptied, 12.1 Nomenclature. prevent moisture condensation; or Teflon recharged with 50 ml of 0.1 N H2SO4, and where stack probes are below 210 °C. If HF B = Moisture content in the sample, replaced during the sample run. The w is a target analyte, then preconditioning of fraction. condensate emptied must be saved and new teflon components by heating should be CN2 = Reported N2 concentration (CN2Corr by included in the measurement of the volume Method 3C), fraction. considered to prevent potential HF of moisture collected and included in the outgassing. A Teflon-glass filter in a mat Ct = Calculated NMOC concentration, ppmv sample for analysis. The additional 50 ml of C equivalent. configuration should be installed to remove absorbing reagent must also be considered in particulate matter from the gas stream. Ctm = Measured NMOC concentration, ppmv calculating the moisture. Before the sampling C equivalent. * * * * * train integrity is compromised by removing Pb = Barometric pressure, mm Hg. 6.1.5 Heating System. Any heating system the impinger, conduct a leak-check as Pt = Gas sample tank pressure after sampling, capable of maintaining a temperature around described in Method 5, Section 8.4.2. but before pressurizing, mm Hg absolute. the probe and filter holder between 120 and 8.1.6 Post-Test Moisture Removal Ptf = Final gas sample tank pressure after 134 °C (248 and 273 °F) during sampling, or (Optional). When the optional cyclone is pressurizing, mm Hg absolute. such other temperature as specified by an included in the sampling train or when

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liquid is visible on the filter at the end of a 8.2.2.1 Determination of Minimum Note to Section 8.2.6.2: It is acceptable to sample run even in the absence of a cyclone, Calibration Concentration or Mass. Based on perform the field recovery test concurrent perform the following procedure. Upon your instrument’s sensitivity and linearity, with actual test runs (e.g., through the use of completion of the test run, connect the determine the calibration concentrations or a quad probe). It is also acceptable to use the ambient air conditioning tube at the probe masses that make up a representative low field recovery test runs as test runs for inlet and operate the train with the filter emissions testing or for the RATA of a Hg ° level calibration range. Verify that you are heating system between 120 and 134 C (248 able to meet the multipoint calibration monitoring system under subpart UUUUU of ° D and 275 F) at a low flow rate (e.g., H = 1 performance criteria in section 11.0 of this part 63 of this chapter and Performance in. H O) to vaporize any liquid and hydrogen 2 method. Select a calibration concentration or Specifications 12A and 12B in appendix B to halides in the cyclone or on the filter and this part, if certain conditions are met. To pull them through the train into the mass that is no less than 2 times the lowest determine whether a particular field recovery impingers. After 30 minutes, turn off the concentration or mass in your calibration curve. The lowest point in your calibration test run may be used as a RATA run, subtract flow, remove the conditioning tube, and 0 examine the cyclone and filter for any visible curve must be at least 5, and preferably 10, the mass of the Hg spike from the total Hg liquid. If liquid is visible, repeat this step for times the Method Detection Limit (MDL), mass collected in sections 1 and 2 of the 15 minutes and observe again. Keep which is the minimum amount of the analyte spiked trap. The difference represents the repeating until the cyclone is dry. that can be detected and reported. The MDL mass of Hg in the stack gas sample. Divide this mass by the sample volume to obtain the * * * * * must be determined at least once for the analytical system using an MDL study such Hg concentration in the effluent gas stream, Method 29—Determination of Metals as that found in section 15.0 to Method 301 as measured with the spiked trap. Compare Emissions From Stationary Sources of appendix A to part 63 of this chapter. this concentration to the corresponding Hg * * * * * concentration measured with the unspiked * * * * * trap. If the paired trains meet the relative 16.0 Alternative Procedures 8.2.4 * * * deviation and other applicable data Note to Section 8.2.4: For the purposes of 16.1 Alternative Analyzer. Samples may validation criteria in Table 9–1, then the relative accuracy testing of Hg monitoring also be analyzed by cold vapor atomic average of the two Hg concentrations may be fluorescence spectrometry. systems under subpart UUUUU of part 63 of used as an emissions test run value or as the 16.2 [Reserved]. this chapter and Performance Specifications reference method value for a RATA run. 12A and 12B in appendix B to this part, * * * * * when the stack gas Hg concentration is * * * * * Method 30B—Determination of Total Vapor expected to be very low (<0.5 mg/dscm), you 9.0 Quality Assurance and Quality Control Phase Mercury Emissions From Coal-Fired may estimate the Hg concentration at 0.5 mg/ Table 9–1 summarizes the QA/QC Combustion Sources Using Carbon Sorbent dscm. performance criteria that are used to validate Traps * * * * * the Hg emissions data from Method 30B * * * * * 8.2.6.2 * * * sorbent trap measurement systems.

TABLE 9–1—QUALITY ASSURANCE/QUALITY CONTROL CRITERIA FOR METHOD 30B

QA/QC test or specification Acceptance criteria Frequency Consequences if not met

Gas flow meter calibration (At 3 Calibration factor (Yi) at each flow Prior to initial use and when post- Recalibrate at 3 points until the settings or points). rate must be within ±2% of the test check is not within ±5% of acceptance criteria are met. average value (Y). Y. Gas flow meter post-test calibra- Calibration factor (Yi) must be After each field test. For mass Recalibrate gas flow meter at 3 tion check (Single-point). within ±5% of the Y value from flow meters, must be done on- points to determine a new value the most recent 3-point calibra- site, using stack gas. of Y. For mass flow meters, tion. must be done on-site, using stack gas. Apply the new Y value to the field test data. Temperature sensor calibration ..... Absolute temperature measures Prior to initial use and before Recalibrate; sensor may not be by sensor within ±1.5% of a ref- each test thereafter. used until specification is met. erence sensor. Barometer calibration...... Absolute pressure measured by Prior to initial use and before Recalibrate; instrument may not instrument within ±10 mm Hg of each test thereafter. be used until specification is reading with a mercury barom- met. eter or NIST traceable barom- eter. Pre-test leak check ...... ≤4% of target sampling rate ...... Prior to sampling ...... Sampling shall not commence until the leak check is passed. Post-test leak check ...... ≤4% of average sampling rate ..... After sampling ...... Sample invalidated.* Analytical matrix interference test Establish minimum dilution (if any) Prior to analyzing any field sam- Field sample results not validated. (wet chemical analysis, only). needed to eliminate sorbent ples; repeat for each type of matrix interferences. sorbent used. Analytical bias test ...... Average recovery between 90% Prior to analyzing field samples Field samples shall not be ana- 0 and 110% for Hg and HgCl2 at and prior to use of new sorbent lyzed until the percent recovery each of the 2 spike concentra- media. criteria has been met. tion levels. Multipoint analyzer calibration...... Each analyzer reading within On the day of analysis, before Recalibrate until successful. ±10% of true value and r2≥0.99. analyzing any samples. Analysis of independent calibration Within ±10% of true value ...... Following daily calibration, prior to Recalibrate and repeat inde- standard. analyzing field samples. pendent standard analysis until successful.

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TABLE 9–1—QUALITY ASSURANCE/QUALITY CONTROL CRITERIA FOR METHOD 30B—Continued

QA/QC test or specification Acceptance criteria Frequency Consequences if not met

Analysis of continuing calibration Within ±10% of true value ...... Following daily calibration, after Recalibrate and repeat inde- verification standard (CCVS). analyzing ≤10 field samples, pendent standard analysis, re- and at end of each set of anal- analyze samples until success- yses. ful, if possible; for destructive techniques, samples invali- dated. Test run total sample volume ...... Within ±20% of total volume sam- Each individual sample ...... Sample invalidated. pled during field recovery test. Sorbent trap section 2 break- For compliance/emissions testing: Every sample ...... Sample invalidated.* through. ≤10% of section 1 Hg mass for Hg concentrations >1 μg/dscm; ≤20% of section 1 Hg mass for Hg concentrations ≤1 μg/dscm. ≤50% of section 1 Hg mass if the stack Hg concentration is ≤30% of the Hg con- centration that is equivalent to the applicable emission limit. For relative accuracy testing: ≤10% of section 1 Hg mass for Hg concentrations >1 μg/dscm; ≤20% of section 1 Hg mass for Hg concentrations ≤1 μg/dscm and >0.5 μg/ dscm; ≤50% of section 1 Hg mass for Hg concentrations ≤0.5 μg/dscm >0.1 μg/dscm; no criterion for Hg concentra- tions ≤0.1 μg/dscm (must meet all other QA/QC specifications). Paired sorbent trap agreement ...... ≤10% Relative Deviation (RD) Every run ...... Run invalidated.* mass for Hg concentrations >1 μg/dscm; ≤20% RD or ≤0.2 μg/dscm abso- lute difference for Hg con- centrations ≤1 μg/dscm. Sample analysis...... Within valid calibration range All Section 1 samples where Reanalyze at more concentrated (within calibration curve). stack Hg concentration is ≥0.02 level if possible, samples invali- μg/dscm except in case where dated if not within calibrated stack Hg concentration is ≤30% range. of the applicable emission limit. 0 0 Sample analysis ...... Within bounds of Hg and HgCl2 All Section 1 samples where Expand bounds of Hg and HgCl2 Analytical Bias Test. stack Hg concentration is ≥0.5 Analytical Bias Test; if not suc- μg/dscm. cessful, samples invalidated. Field recovery test ...... Average recovery between 85% Once per field test ...... Field sample runs not validated and 115% for Hg0. without successful field recov- ery test. * And data from the pair of sorbent traps are also invalidated.

* * * * * temperature measured with the reference barometer, otherwise the barometer may not 10.3 Thermocouples and Other sensor, otherwise the sensor may not continue to be used. Temperature Sensors. Use the procedures continue to be used. * * * * * and criteria in Section 10.3 of Method 2 in 10.4 Barometer. Calibrate against a 11.3 Field Sample Analyses. Analyze the appendix A–1 to this part to calibrate in- mercury barometer or other NIST-traceable sorbent trap samples following the same stack temperature sensors and barometer as per Section 10.6 of Method 5 in thermocouples. Dial thermometers shall be procedures that were used for conducting the appendix A–3 to this part. Calibration must 0 calibrated against mercury-in-glass Hg and HgCl2 analytical bias tests. The thermometers or equivalent. Calibrations be performed prior to initial use and before individual sections of the sorbent trap and must be performed prior to initial use and each test program, and the absolute pressure their respective components must be before each field test thereafter. At each measured by the barometer must agree to analyzed separately (i.e., section 1 and its calibration point, the absolute temperature within ±10 mm Hg of the pressure measured components, then section 2 and its measured by the temperature sensor must by the mercury or other NIST-traceable components). All sorbent trap section 1 agree to within ±1.5 percent of the sample analyses must be within the

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calibrated range of the analytical system as ■ b. By revising Performance between the instrument response and the specified in Table 9–1. For wet analyses, the Specification 4, section 8.2. certified cylinder gas value for each gas. sample can simply be diluted to fall within ■ c. By revising Performance Calculate the CE results for the CO monitor the calibrated range. However, for the Specification 4B, section 7.1.1. according to: destructive thermal analyses, samples that ■ CE = | d/FS | x 100 (1) are not within the calibrated range cannot be d. By amending Performance re-analyzed. As a result, the sample cannot Specification 7 as follows: Where d is the mean difference between the be validated, and another sample must be ■ i. By revising section 8.4. CEMS response and the known reference collected. It is strongly suggested that the ■ ii. By adding reference 5. to section concentration, and FS is the span value. analytical system be calibrated over multiple 16.0. The CE for the O2 monitor is the average ranges so that thermally analyzed samples ■ e. By revising Performance percent O2 difference between the O2 fall within the calibrated range. The total Specification 11, sections 12.1(1) and monitor and the certified cylinder gas mass of Hg measured in each sorbent trap (2). value for each gas. section 1 must also fall within the lower and ■ f. By revising Performance upper mass limits established during the * * * * * 0 Specification 12B, table 12B–1 in initial Hg and HgCl2 analytical bias test. If Performance Specification 7—Specifications a sample is analyzed and found to fall section 9.0 and section 12.8.3. and Test Procedures for Hydrogen Sulfide ■ outside of these limits, it is acceptable for an g. By revising Performance Continuous Emission Monitoring Systems in 0 additional Hg and HgCl2 analytical bias test Specification 15, sections 11.1.1.4.2 and Stationary Sources to be performed that now includes this level. 11.1.1.4.3. * * * * * However, some samples (e.g., the mass ■ h. By revising Performance collected in trap section 2), may have Hg 8.4 Relative Accuracy Test Procedure. Specification 16, sections 6.1.7, 8.2.1, 8.4.1 Sampling Strategy for RM Tests, levels so low that it may not be possible to 9.1, 9.3, 9.4, 12.4, and 13.5. quantify them in the analytical system’s Number of RM Tests, Correlation of RM and calibrated range. Because a reliable estimate Appendix B to Part 60—Performance CEMS Data, and Calculations. These are the of these low-level Hg measurements is Specifications same as that in PS–2, Sections 8.4.3 (except necessary to fully validate the emissions as specified below), 8.4.4, 8.4.5, and 8.4.6, data, the MDL (see section 8.2.2.1 of this * * * * * respectively. method) is used to establish the minimum Performance Specification 3—Specifications 8.4.2 Reference Methods. Unless amount that can be detected and reported. If and Test Procedures for O2 and CO2 otherwise specified in an applicable subpart the measured mass or concentration is below Continuous Emission Monitoring Systems in of the regulation, Methods 11, 15, and 16 the lowest point in the calibration curve and Stationary Sources may be used for the RM for this PS. above the MDL, the analyst must estimate the 8.4.2.1 Sampling Time Per Run—Method mass or concentration of the sample based on * * * * * 11. A sampling run, when Method 11 the analytical instrument response relative to 13.2 CEMS Relative Accuracy (integrated sampling) is used, shall consist of an additional calibration standard at a Performance Specification. The RA of the concentration or mass between the MDL and CEMS must be no greater than 20 percent of a single measurement for at least 10 minutes the lowest point in the calibration curve. the mean value of the reference method (RM) and 0.010 dscm (0.35 dscf). Each sample This is accomplished by establishing a data. The results are also acceptable if the shall be taken at approximately 30-minute response factor (e.g., area counts per Hg mass absolute value of the difference between the intervals. or concentration) and estimating the amount mean RM value and the mean CEMS value 8.4.2.2 Sampling Time Per Run— of Hg present in the sample based on the is less than or equal to 1.0 percent O2 (or Methods 15 and 16. The sampling run shall analytical response and this response factor. CO2). consist of two injections equally spaced over Example: The analysis of a particular * * * * * a 30-minute period following the procedures sample results in a measured mass above the described in the particular method. Note: Performance Specification 4—Specifications MDL, but below the lowest point in the Caution! Heater or non-approved electrical and Test Procedures for Carbon Monoxide calibration curve which is 10 ng. An MDL of probes should not be used around explosive Continuous Emission Monitoring Systems in 1.3 ng Hg has been established by the MDL or flammable sources. study. A calibration standard containing 5 ng Stationary Sources of Hg is analyzed and gives an analytical * * * * * * * * * * response of 6,170 area counts, which equates 8.2 Reference Methods. Unless otherwise 16.0 * * * to a response factor of 1,234 area counts/ng specified in an applicable subpart of the 5. Letter to RAMCON Environmental Corp. Hg. The analytical response for the sample is regulation, Method 10, 10A, 10B or other from Robert Kellam, December 27, 1992. 4,840 area counts. Dividing the analytical approved alternative are the RM for this PS. * * * * * response for the sample (4,840 area counts) * * * * * by the response factor gives 3.9 ng Hg, which Performance Specification 11— is the estimated mass of Hg in the sample. Performance Specification 4B— Specifications and Test Procedures for Particulate Matter Continuous Emission * * * * * Specifications and Test Procedures for Carbon Monoxide and Oxygen Continuous Monitoring Systems at Stationary Sources ■ 30. Amend appendix B to part 60 as Monitoring Systems in Stationary Sources * * * * * follows: * * * * * 12.1 * * * ■ a. By revising Performance 7.1.1 Calculations. Summarize the results (1) Calculate the upscale drift (UD) using Specification 3, section 13.2. on a data sheet. Average the differences Equation 11–1:

Where: RCEM = The measured PM CEMS response to FS= Full-scale value. UD = The upscale (high-level) drift of your the upscale reference standard, and (2) Calculate the zero drift (ZD) using PM CEMS in percent, RU = The pre-established numerical value of Equation 11–2: the upscale reference standard.

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Where: FS = Full-scale value. Performance Specification 12B— ZD = The zero (low-level) drift of your PM * * * * * Specifications and Test Procedures for CEMS in percent, Monitoring Total Vapor Phase Mercury Emissions from Stationary Sources Using a RCEM = The measured PM CEMS response to the zero reference standard, Sorbent Trap Monitoring System RL = The pre-established numerical value of * * * * * the zero reference standard, and 9.0 * * *

TABLE 12B–1—QA/QC CRITERIA FOR SORBENT TRAP MONITORING SYSTEMS

QA/QC test or specification Acceptance criteria Frequency Consequences if not met

Pre-test leak check ...... ≤4% of target sampling rate ...... Prior to monitoring ...... Monitoring must not commence until the leak check is passed. Post-test leak check ...... ≤4% of average sampling rate ..... After monitoring ...... Invalidate the data from the paired traps or, if certain condi- tions are met, report adjusted data from a single trap (see Section 12.8.3). Ratio of stack gas flow rate to No more than 5% of the hourly Every hour throughout monitoring Invalidate the data from the sample flow rate. ratios or 5 hourly ratios (which- period. paired traps or, if certain condi- ever is less restrictive) may de- tions are met, report adjusted viate from the reference ratio by data from a single trap (see more than ±25%. Section 12.8.3). Sorbent trap section 2 break- ≤5% of Section 1 Hg mass ...... Every sample...... Invalidate the data from the through. ≤10% of Section 1 Hg mass if av- paired traps or, if certain condi- erage Hg concentration is ≤0.5 tions are met, report adjusted μg/scm. data from a single trap (see Section 12.8.3). No criterion when Hg concentra- tion for trap less than 10% of the applicable emission limit (must meet all other QA/QC specifications). Paired sorbent trap agreement ...... ≤10% Relative Deviation (RD) if Every sample ...... Either invalidate the data from the the average concentration is > paired traps or report the re- 1.0 μg/m3. sults from the trap with the ≤20% RD if the average con- higher Hg concentration. centration is ≤1.0 μg/m3. Results also acceptable if abso- lute difference between con- centrations from paired traps is ≤ 0.03 μg/m3. Spike Recovery Study ...... Average recovery between 85% Prior to analyzing field samples Field samples must not be ana- and 115% for each of the 3 and prior to use of new sorbent lyzed until the percent recovery spike concentration levels. media. criteria have been met. Multipoint analyzer calibration ...... Each analyzer reading within ± On the day of analysis, before Recalibrate until successful. 10% of true value and r2 ≥ 0.99. analyzing any samples. Analysis of independent calibration Within ± 10% of true value ...... Following daily calibration, prior to Recalibrate and repeat inde- standard. analyzing field samples. pendent standard analysis until successful. Spike recovery from section 3 of 75–125% of spike amount ...... Every sample ...... Invalidate the data from the both sorbent traps. paired traps or, if certain condi- tions are met, report adjusted data from a single trap (see Section 12.8.3). Relative Accuracy ...... RA ≤ 20.0% of RM mean value; RA specification must be met for Data from the system are invalid or if RM mean value ≤5.0 μg/ initial certification. until a RA test is passed. scm, absolute difference be- tween RM and sorbent trap monitoring system mean values ≤1.0 μg/scm.

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TABLE 12B–1—QA/QC CRITERIA FOR SORBENT TRAP MONITORING SYSTEMS—Continued

QA/QC test or specification Acceptance criteria Frequency Consequences if not met

Gas flow meter calibration ...... An initial calibration factor (Y) has At 3 settings prior to initial use Recalibrate meter at 3 settings to been determined at 3 settings; and at least quarterly at one determine a new value of Y. for mass flow meters, initial cali- setting thereafter. bration with stack gas has been performed. For subsequent cali- brations, Y within ±5% of aver- age value from the most recent 3-point calibration. Temperature sensor calibration ..... Absolute temperature measured Prior to initial use and at least Recalibrate; sensor may not be by sensor within ± 1.5% of a quarterly thereafter. used until specification is met. reference sensor. Barometer calibration...... Absolute pressure measured by Prior to initial use and at least Recalibrate; instrument may not instrument within ± 10 mm Hg quarterly thereafter. be used until specification is of reading with a NIST-trace- met. able barometer.

* * * * * RM grab sample was collected. Measure at installed platforms or ladders may not be 12.8.3 For the routine, day-to-day least five independent samples with both the needed. If you install sensors in an area that operation of the monitoring system, when FTIR CEM and the RM for each of the is not accessible, you may be required to shut one of the two sorbent trap samples or minimum nine runs. Compare the run down the emissions unit to repair or replace sampling systems either: (a) Fails the post- concentration averages by using the relative a sensor. Conduct a new RATA after monitoring leak check; or (b) has excessive accuracy analysis procedure in Performance replacing a sensor that supplies a critical section 2 breakthrough; or (c) fails to Specification 2 of appendix B of 40 CFR part PEMS parameter if the new sensor provides maintain the proper stack flow-to-sample 60. a different output or scaling or changes the flow ratio; or (d) fails to achieve the required 11.1.1.4.3 Continuous Emission Monitors historical training dataset of the PEMS. section 3 spike recovery; or (e) is lost, broken, as RMs. If the RM is a CEM, synchronize the Replacement of a non-critical sensor that or damaged, provided that the other trap sampling flow rates of the RM and the FTIR does not cause an impact in the accuracy of meets the acceptance criteria for all four of CEM. Each run is at least 1 hour long and the PEMS does not trigger a RATA. All these QC specifications, the Hg concentration consists of at least 10 FTIR CEM sensors must be calibrated as often as needed measured by the valid trap may be multiplied measurements and the corresponding 10 RM but at least as often as recommended by the by a factor of 1.111 and then used for measurements (or averages). For the manufacturers. reporting purposes. Further, if both traps statistical comparison, use the relative meet the acceptance criteria for all four of accuracy analysis procedure in Performance * * * * * these QC specifications, but the acceptance Specification 2 of appendix B of 40 CFR part 8.2.1 Reference Methods. Unless 1 otherwise specified in the applicable criterion for paired trap agreement is not met, 60. If the RM time constant is < ⁄2 the FTIR the owner or operator may report the higher CEM time constant, brief fluctuations in regulations, you must use the test methods in of the two Hg concentrations measured by analyte concentrations that are not appendix A of this part for the RM test. the traps, in lieu of invalidating the data from adequately measured with the slower FTIR Conduct the RM tests at three operating the paired traps. CEM time constant can be excluded from the levels. The RM tests shall be performed at a low-load (or production) level between the * * * * * run average along with the corresponding RM measurements. However, the FTIR CEM run minimum safe, stable load and 50 percent of Performance Specification 15—Performance average must still include at least 10 the maximum level load, at the mid-load Specification for Extractive FTIR Continuous measurements over a 1-hour period. level (an intermediary level between the low and high levels), and at a high-load level Emission Monitoring Systems in Stationary * * * * * Sources between 80 percent and the maximum load. * * * * * Performance Specification 16— Alternatively, if practicable, you may test at 11.1.1.4.2 RMs Using a Grab Sampling Specifications and Test Procedures for three levels of the key operating parameter Technique. Synchronize the RM and FTIR Predictive Emission Monitoring Systems in (e.g. selected based on a covariance analysis CEM measurements as closely as possible. Stationary Sources between each parameter and the PEMS For a grab sampling RM, record the volume * * * * * output) equally spaced within the normal collected and the exact sampling period for 6.1.7 Sensor Location and Repair. We range of the parameter. each sample. Synchronize the FTIR CEM so recommend you install sensors in an * * * * * that the FTIR measures a spectrum of a accessible location in order to perform 9.1 QA/QC Summary. Conduct the similar cell volume at the same time as the repairs and replacements. Permanently- applicable ongoing tests listed below.

ONGOING QUALITY ASSURANCE TESTS

PEMS regulatory Test purpose Acceptability Frequency

Sensor Evaluation ...... All ...... Daily. RAA ...... Compliance ...... 3-test avg ≤10% of simultaneous Each quarter except quarter when analyzer or RM average. RATA performed. RATA ...... All ...... Same as for RA in Sec. 13.1 ...... Yearly in quarter when RAA not performed. Bias Correction ...... All ...... If davg ≤ |cc| ...... Bias test passed (no correction factor needed). PEMS Training ...... All ...... If Fcritical ≥F ...... Optional after initial and subse- r ≥0.8 ...... quent RATAs.

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ONGOING QUALITY ASSURANCE TESTS—Continued

PEMS regulatory Test purpose Acceptability Frequency

Sensor Evaluation Alert Test (op- All ...... See Section 6.1.8 ...... After each PEMS training. tional).

* * * * * determinations must not exceed the limits RAAs until the PEMS successfully passes 9.3 Quarterly Relative Accuracy Audits. given in Section 13.5. Report the data from both a year of quarterly RAAs and a In the first year of operation after the initial all sets of measurement data. If a PEMS subsequent RATA. certification, perform a RAA consisting of at passes all quarterly RAAs in the first year 9.4 Yearly Relative Accuracy Test. and also passes the subsequent yearly RATA least three 30-minute portable analyzer or Perform a minimum 9-run RATA at the in the second year, you may elect to perform RM determinations each quarter a RATA is normal operating level on a yearly basis in a single mid-year RAA in the second year in the quarter that the RAA is not performed. not performed. To conduct a RAA, follow the place of the quarterly RAAs. This option may The statistical tests in Section 8.3 are not procedures in Section 8.2 for the relative be repeated, but only until the PEMS fails required for the yearly RATA. accuracy test, except that only three sets of either a mid-year RAA or a yearly RATA. measurement data are required, and the When such a failure occurs, you must resume * * * * * statistical tests are not required. The average quarterly RAAs in the quarter following the 12.4 Relative Accuracy Audit. Calculate of the three or more portable analyzer or RM failure and continue conducting quarterly the quarterly RAA using Equation 16–9.

* * * * * ■ b. By revising Procedure 2, paragraphs accuracy for the RAA. The RAA must be 13.5 Relative Accuracy Audits. The (3) and (4) of section 12.0. calculated in the units of the applicable average of the three portable analyzer or RM ■ c. By redesignating the second listing emission standard. determinations must not differ from the of section 6.2.6 as section 6.2.7 in * * * * * simultaneous PEMS average value by more Procedure 5. than 10 percent of the analyzer or RM for Procedure 2—Quality Assurance concentrations greater than 100 ppm or 20 Appendix F to Part 60—Quality Requirements for Particulate Matter percent for concentrations between 100 and Assurance Procedures Continuous Emission Monitoring Systems at 20 ppm, or the test is failed. For Stationary Sources measurements at 20 ppm or less, this * * * * * * * * * * difference must not exceed 2 ppm for a Procedure 1—Quality Assurance pollutant PEMS and 1 percent absolute for a Requirements for Gas Continuous Emission 12.0 What calculations and data analysis diluents PEMS. Monitoring Systems Used for Compliance must I perform for my PM CEMS? * * * * * Determination * * * * * ■ 31. Amend appendix F to Part 60 as * * * * * (3) How do I calculate daily upscale and follows: 6.2 RAA Accuracy Calculation. Use the zero drift? You must calculate the upscale ■ a. By revising Procedure 1, section calculation procedure in the relevant drift using Equation 2–2 and the zero drift 6.2. performance specification to calculate the using Equation 2–3:

Where: RCEM = Your PM CEMS response to the FS = Full-scale value. UD = The upscale drift of your PM CEMS, upscale check value, and in percent, RU = The upscale check value.

Where: RCEM = Your PM CEMS response of the zero (4) How do I calculate SVA accuracy? You ZD = The zero (low-level) drift of your PM check value, must use Equation 2–4 to calculate the accuracy, in percent, for each of the three CEMS, in percent, RL = The zero check value. SVA tests or the daily sample volume check:

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Where: prior to the beginning of the compliance § 61.32(a). The emission test shall be VM = Sample gas volume determined/ test, the source owner, operator, or performed: reported by your PM CEMS (e.g., dscm), representative shall not be required to (1) By May 28, 2014 in the case of an VR = Sample gas volume measured by the include an audit sample as part of the existing source or a new source which independent calibrated reference device quality assurance program for the has an initial startup date preceding (e.g., dscm) for the SVA or the reference compliance test. When ordering an February 27, 2014; or value for the daily sample volume check. audit sample, the source owner, (2) Within 90 days of startup in the Note: Before calculating SVA accuracy, you operator, or representative shall give the case of a new source which did not have must correct the sample gas volumes an initial startup date preceding measured by your PM CEMS and the sample provider an estimate for the independent calibrated reference device to concentration of each pollutant that is February 27, 2014. the same basis of temperature, pressure, and emitted by the source or the estimated * * * * * moisture content. You must document all concentration of each pollutant based data and calculations. on the permitted level and the name, Subpart D—[Amended] * * * * * address, and phone number of the compliance authority. The source ■ 35. Amend § 61.42 by revising paragraph (a) to read as follows: PART 61—NATIONAL EMISSION owner, operator, or representative shall STANDARDS FOR HAZARDOUS AIR report the results for the audit sample § 61.42 Emission standard. POLLUTANTS along with a summary of the emission (a) Emissions to the atmosphere from test results for the audited pollutant to rocket-motor test sites shall not cause ■ 32. The authority citation for part 61 the compliance authority and shall time-weighted atmospheric continues to read as follows: report the results of the audit sample to concentrations of beryllium to exceed Authority: 42 U.S.C. 7401, et seq. the AASP. The source owner, operator, 75 microgram minutes per cubic meter or representative shall make both (mg-min/m3)(4.68 x 10¥9 pound minutes Subpart A—[Amended] reports at the same time and in the same per cubic foot (lb-min/ft3)) of air within manner or shall report to the the limits of 10 to 60 minutes, ■ 33. Amend § 61.13 by revising compliance authority first and report to paragraph (e)(1)(i) to read as follows: accumulated during any 2 consecutive the AASP. If the method being audited weeks, in any area in which an adverse § 61.13 Emission tests and waiver of is a method that allows the samples to effect to public health could occur. be analyzed in the field and the tester emission tests. * * * * * * * * * * plans to analyze the samples in the (e) * * * field, the tester may analyze the audit Subpart E—[Amended] (1) * * * samples prior to collecting the emission (i) The source owner, operator, or samples provided a representative of the ■ 36. Amend § 61.53 by revising representative of the tested facility shall compliance authority is present at the paragraph (d)(2) to read as follows: obtain an audit sample, if commercially testing site. The tester may request, and available, from an AASP for each test the compliance authority may grant, a § 61.53 Stack sampling. method used for regulatory compliance waiver to the requirement that a * * * * * purposes. No audit samples are required representative of the compliance (d) * * * for the following test methods: Methods authority must be present at the testing (2) Method 101A in appendix B or 3A and 3C of appendix A–3 of part 60; site during the field analysis of an audit Method 29 in appendix A to part 60 Methods 6C, 7E, 9, and 10 of appendix sample. The source owner, operator, or shall be used to test emissions as A–4 of part 60; Method 18 and 19 of representative may report the results of follows: appendix A–6 of part 60; Methods 20, the audit sample to the compliance (i) The test shall be performed by May 22, and 25A of appendix A–7 of part 60; authority and then report the results of 28, 2014 in the case of an existing and Methods 303, 318, 320, and 321 of the audit sample to the AASP prior to source or a new source which has an appendix A of part 63. If multiple collecting any emission samples. The initial startup date preceding February sources at a single facility are tested test protocol and final test report shall 27, 2014. during a compliance test event, only one document whether an audit sample was (ii) The test shall be performed within audit sample is required for each ordered and utilized and the pass/fail 90 days of startup in the case of a new method used during a compliance test. results as applicable. source which did not have an initial The compliance authority responsible * * * * * startup date preceding February 27, for the compliance test may waive the 2014. requirement to include an audit sample Subpart C—[Amended] * * * * * if they believe that an audit sample is not necessary. ‘‘Commercially ■ 34. Amend § 61.33 by revising Subpart N—[Amended] paragraph (a) to read as follows: available’’ means that two or more ■ 37. Amend § 61.164 as follows: independent AASPs have blind audit § 61.33 Stack sampling. ■ a. By revising paragraph (d)(2)(i). samples available for purchase. If the ■ b. By revising paragraph (e)(1)(i). source owner, operator, or (a) Unless a waiver of emission testing ■ c. By revising paragraph (e)(2) to read representative cannot find an audit is obtained under § 61.13, each owner or as follows: sample for a specific method, the owner, operator required to comply with operator, or representative shall consult § 61.32(a) shall test emissions from the § 61.164 Test methods and procedures. the EPA Web site at the following URL, source according to Method 104 of * * * * * www.epa.gov/ttn/emc, to confirm appendix B to this part or according to (d) * * * whether there is a source that can Method 29 of appendix A to part 60. (2) * * * supply an audit sample for that method. Method 103 of appendix B to this part (i) Use Method 108 in appendix B to If the EPA Web site does not list an is approved by the Administrator as an this part or Method 29 in appendix A to available audit sample at least 60 days alternative method for sources subject to part 60 for determining the arsenic

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emission rate, g/hr (lb/hr). The emission 16.0 Alternative Procedures present in appreciable quantities. The rate shall equal the arithmetic mean of 16.1 Alternative Analyzer. Samples may analytical procedure includes (optionally) the results of three 60-minute test runs. also be analyzed by cold vapor atomic the use of the Method of Standard Additions fluorescence spectrometry. to check for these matrix effects, and sample * * * * * analysis using the Method of Standard (e) * * * * * * * * Additions if significant matrix effects are (1) * * * Method 101A—Determination of Particulate found to be present (see Reference 2 in (i) Use Method 108 in appendix B to and Gaseous Mercury Emissions From Section 17.0). this part or Method 29 in appendix A to Sewage Sludge Incinerators * * * * * part 60 to determine the concentration * * * * * 11.5.3 Check for Matrix Effects (optional). of arsenic in the gas streams entering Use the Method of Standard Additions (see 16.0 Alternative Procedures Reference 2 in Section 17.0) to check at least and exiting the control device. Conduct one sample from each source for matrix three 60-minute test runs, each 16.1 Alternative Analyzers. 16.1.1 Inductively coupled plasma- effects on the Be results. If the results of the consisting of simultaneous testing of the atomic emission spectrometry (ICP–AES) Method of Standard Additions procedure inlet and outlet gas streams. The gas may be used as an alternative to atomic used on the single source sample do not streams shall contain all the gas absorption analysis provided the following agree to within 5 percent of the value exhausted from the glass melting conditions are met: obtained by the routine atomic absorption furnace. 16.1.1.1 Sample collection, sample analysis, then reanalyze all samples from the source using the Method of Standard * * * * * preparation, and analytical preparation procedures are as defined in the method Additions procedure. (2) Calculate the percent emission except as necessary for the ICP–AES * * * * * reduction for each run as follows: application. 16.0 Alternative Procedures 16.1.1.2 The quality control procedures are conducted as prescribed. 16.1 Inductively Coupled Plasma-Atomic 16.1.1.3 The limit of quantitation for the Emission Spectrometry (ICP–AES) Analysis. ICP–AES must be demonstrated and the ICP–AES may be used as an alternative to Where: sample concentrations reported should be no atomic absorption analysis provided the D = the percent emission reduction. less than two times the limit of quantitation. following conditions are met: 16.1.1 Sample collection, sample Cb = the arsenic concentration of the stack The limit of quantitation is defined as ten gas entering the control device, as times the standard deviation of the blank preparation, and analytical preparation measured by Method 108 or Method 29. value. The standard deviation of the blank procedures are as defined in the method except as necessary for the ICP–AES C = the arsenic concentration of the stack gas value is determined from the analysis of a application. exiting the control device, as measured seven blanks. It has been reported that for 16.1.2 Quality Assurance/Quality Control by Method 108 or Method 29. mercury and those elements that form hydrides, a continuous-flow generator procedures, including audit material * * * * * coupled to an ICP–AES offers detection analysis, are conducted as prescribed in the ■ 38. Amend appendix B to part 61 to limits comparable to cold vapor atomic method. The QA acceptance conditions must read as follows: absorption. be met. ■ a. By amending Method 101 by 16.1.2 Samples may also be analyzed by 16.1.3 The limit of quantitation for the redesignating sections 16.0 and 17.0 as cold vapor atomic fluorescence spectrometry. ICP–AES must be demonstrated and the sample concentrations reported should be no sections 17.0 and 18.0, respectively, and * * * * * less than two times the limit of quantitation. by adding a new section 16.0. Method 102—Determination of Particulate The limit of quantitation is defined as ten ■ b. By amending Method 101A by and Gaseous Mercury Emissions From times the standard deviation of the blank redesignating sections 16.0 and 17.0 as Chlor-Alkali Plants (Hydrogen Streams) value. The standard deviation of the blank sections 17.0 and 18.0, respectively, and value is determined from the analysis of * * * * * seven blanks. It has been reported that for by adding a new section 16.0. 8.1.1.1 Calibrate the meter box orifice. ■ c. By revising Method 102, section mercury and those elements that form Use the techniques described in APTD–0576 hydrides, a continuous-flow generator 8.1.1.1. (see Reference 9 in Section 17.0 of Method coupled to an ICP–AES offers detection ■ d. By amending Method 104 as 5 of appendix A to part 60). Calibration of the limits comparable to cold vapor atomic follows: orifice meter at flow conditions that simulate absorption. ■ i. By revising sections 4.1 and 11.5.3. the conditions at the source is suggested. 16.2 Inductively Coupled Plasma-Mass Calibration should either be done with ■ Spectrometry (ICP–MS) Analysis. ICP–MS ii. By redesignating sections 16.0 and hydrogen or with some other gas having a 17.0 as sections 17.0 and 18.0, may be used as an alternative to atomic similar Reynolds Number so that there is absorption analysis. respectively. similarity between the Reynolds Numbers 16.3 Cold Vapor Atomic Fluorescence ■ iii. By adding a new section 16.0. during calibration and during sampling. Spectrometry (CVAFS) Analysis. CVAFS may ■ e. By amending Method 108 by Alternative mercury-free thermometers may be used as an alternative to atomic absorption redesignating sections 16.0 and 17.0 as be used if the thermometers are, at a analysis. sections 17.0 and 18.0, respectively, and minimum, equivalent in terms of performance or suitably effective for the * * * * * by adding a new section 16.0. specific temperature measurement Method 108—Determination of Particulate ■ f. By amending Method 108A by application. and Gaseous Arsenic Emissions redesignating sections 16.0 and 17.0 as * * * * * * * * * * sections 17.0 and 18.0 respectively, and by adding a new section 16.0. Method 104—Determination of Beryllium 16.0 Alternative Procedures Emissions From Stationary Sources Appendix B to Part 61—Test Methods 16.1 Inductively coupled plasma-atomic * * * * * emission spectrometry (ICP–AES) Analysis. * * * * * 4.1 Matrix Effects. Analysis for Be by ICP–AES may be used as an alternative to flame atomic absorption spectrophotometry atomic absorption analysis provided the Method 101—Determination of Particulate is sensitive to the chemical composition and following conditions are met: and Gaseous Mercury Emissions From to the physical properties (e.g., viscosity, pH) 16.1.1 Sample collection, sample Chlor-Alkali Plants (Air Streams) of the sample. Aluminum and silicon, in preparation, and analytical preparation * * * * * particular, are known to interfere when procedures are as defined in the method

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except as necessary for the ICP–AES Authority: 42 U.S.C. 7401 et seq. report the results of the audit sample to application. the AASP. The source owner, operator, 16.1.2 Quality Assurance/Quality Control Subpart A—[Amended] or representative shall make both procedures, including audit material reports at the same time and in the same analysis, are conducted as prescribed in the ■ 40. Amend § 63.7 by revising manner or shall report to the method. The QA acceptance conditions must paragraph (c)(2)(iii)(A) to read as compliance authority first and report to be met. follows: 16.1.3 The limit of quantitation for the the AASP. If the method being audited ICP–AES must be demonstrated and the § 63.7 Performance testing requirements. is a method that allows the samples to sample concentrations reported should be no * * * * * be analyzed in the field and the tester less than two times the limit of quantitation. (c) * * * plans to analyze the samples in the The limit of quantitation is defined as ten (2) * * * field, the tester may analyze the audit times the standard deviation of the blank (iii) * * * samples prior to collecting the emission value. The standard deviation of the blank samples provided a representative of the value is determined from the analysis of (A) The source owner, operator, or seven blanks. It has been reported that for representative of the tested facility shall compliance authority is present at the mercury and those elements that form obtain an audit sample, if commercially testing site. The tester may request, and hydrides, a continuous-flow generator available, from an AASP for each test the compliance authority may grant, a coupled to an ICP–AES offers detection method used for regulatory compliance waiver to the requirement that a limits comparable to cold vapor atomic purposes. No audit samples are required representative of the compliance absorption. for the following test methods: Methods authority must be present at the testing 16.2 Inductively Coupled Plasma-Mass 3A and 3C of appendix A–3 of part 60; site during the field analysis of an audit Spectrometry (ICP–MS) Analysis. ICP–MS Methods 6C, 7E, 9, and 10 of appendix sample. The source owner, operator, or may be used as an alternative to atomic representative may report the results of absorption analysis. A–4 of part 60; Methods 18 and 19 of 16.3 Cold Vapor Atomic Fluorescence appendix A–6 of part 60; Methods 20, the audit sample to the compliance Spectrometry (CVAFS) Analysis. CVAFS may 22, and 25A of appendix A–7 of part 60; authority and then report the results of be used as an alternative to atomic absorption and Methods 303, 318, 320, and 321 of the audit sample to the AASP prior to analysis. appendix A of part 63. If multiple collecting any emission samples. The * * * * * sources at a single facility are tested test protocol and final test report shall during a compliance test event, only one document whether an audit sample was Method 108A—Determination of Arsenic audit sample is required for each ordered and utilized and the pass/fail Content in Ore Samples From Nonferrous results as applicable. Smelters method used during a compliance test. The compliance authority responsible * * * * * * * * * * for the compliance test may waive the ■ 41. Amend § 63.8 by adding a 16.0 Alternative Procedures requirement to include an audit sample sentence to the end of paragraph 16.1 Alternative Analyzer. Inductively if they believe that an audit sample is (f)(6)(iii) to read as follows: coupled plasma-atomic emission not necessary. ‘‘Commercially spectrometry (ICP–AES) may be used as an available’’ means that two or more § 63.8 Monitoring requirements. alternative to atomic absorption analysis independent AASPs have blind audit * * * * * provided the following conditions are met: samples available for purchase. If the (f) * * * 16.1.1 Sample collection, sample source owner, operator, or (6) * * * preparation, and analytical preparation (iii) * * * The Administrator will procedures are as defined in the method representative cannot find an audit except as necessary for the ICP–AES sample for a specific method, the owner, review the notification and may rescind application. operator, or representative shall consult permission to use an alternative and 16.1.2 Quality Assurance/Quality Control the EPA Web site at the following URL, require the owner or operator to conduct procedures, including audit material www.epa.gov/ttn/emc, to confirm a relative accuracy test of the CEMS as analysis, are conducted as prescribed in the whether there is a source that can specified in section 8.4 of Performance method. The QA acceptance conditions must supply an audit sample for that method. Specification 2. be met. If the EPA Web site does not list an * * * * * 16.1.3 The limit of quantitation for the available audit sample at least 60 days ■ ICP–AES must be demonstrated and the 42. Revise § 63.14 to read as follows: sample concentrations reported should be no prior to the beginning of the compliance § 63.14 Incorporations by reference. less than two times the limit of quantitation. test, the source owner, operator, or The limit of quantitation is defined as ten representative shall not be required to (a) Certain material is incorporated by times the standard deviation of the blank include an audit sample as part of the reference into this part with the value. The standard deviation of the blank quality assurance program for the approval of the Director of the Federal value is determined from the analysis of compliance test. When ordering an Register under 5 U.S.C. 552(a) and 1 seven blanks. It has been reported that for audit sample, the source owner, CFR part 51. To enforce any edition mercury and those elements that form operator, or representative shall give the other than that specified in this section, hydrides, a continuous-flow generator sample provider an estimate for the the EPA must publish notice of change coupled to an ICP–AES offers detection limits comparable to cold vapor atomic concentration of each pollutant that is in the Federal Register and the material absorption. emitted by the source or the estimated must be available to the public. All concentration of each pollutant based approved material is available for * * * * * on the permitted level and the name, inspection at the Air and Radiation PART 63—NATIONAL EMISSION address, and phone number of the Docket and Information Center, U.S. STANDARDS FOR HAZARDOUS AIR compliance authority. The source EPA, 401 M St. SW., Washington, DC, POLLUTANTS FOR SOURCE owner, operator, or representative shall telephone number 202–566, and is CATEGORIES report the results for the audit sample available from the sources listed below. along with a summary of the emission It is also available for inspection at the ■ 39. The authority citation for part 63 test results for the audited pollutant to National Archives and Records continues to read as follows: the compliance authority and shall Administration (NARA). For

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information on the availability of this (3) AOAC Official Method 957.02 §§ 63.309(k), 63.457(k), 63.772(e) and material at NARA, call 202–741–6030 or Phosphorus (Total) in Fertilizers, (h), 63.865(b), 63.1282(d) and (g), go to http://www.archives.gov/federal_ Preparation of Sample Solution, 63.3166(a), 63.3360(e), 63.3545(a), register/code_of_federal_regulations/ Sixteenth edition, 1995, IBR approved 63.3555(a), 63.4166(a), 63.4362(a), ibr_locations.html. for § 63.626(d). 63.4766(a), 63.4965(a), 63.5160(d), table (b) The Association of Florida (4) AOAC Official Method 958.01 4 to subpart UUUU, 63.9307(c), Phosphate Chemists, P.O. Box 1645, Phosphorus (Total) in Fertilizers, 63.9323(a), 63.11148(e), 63.11155(e), Bartow, Florida 33830. Spectrophotometric 63.11162(f), 63.11163(g), 63.11410(j), (1) Book of Methods Used and Molybdovanadophosphate Method, 63.11551(a), 63.11646(a), and 63.11945, Adopted By The Association of Florida Sixteenth edition, 1995, IBR approved table 5 to subpart DDDDD, table 4 to Phosphate Chemists, Seventh Edition for § 63.626(d). subpart JJJJJ, tables 4 and 5 of subpart 1991: (5) AOAC Official Method 962.02 UUUUU, and table 1 to subpart ZZZZZ. (i) Section IX, Methods of Analysis for Phosphorus (Total) in Fertilizers, (2) [Reserved] Phosphate Rock, No. 1 Preparation of Gravimetric Quinolinium (g) American Society for Testing and Sample, IBR approved for §§ 63.606(c) Molybdophosphate Method, Sixteenth Materials (ASTM), 100 Barr Harbor and 63.626(c). edition, 1995, IBR approved for Drive, Post Office Box C700, West (ii) Section IX, Methods of Analysis § 63.626(d). Conshohocken, PA 19428–2959, for Phosphate Rock, No. 3 Phosphorus— (6) AOAC Official Method 969.02 Telephone (610) 832–9585, http:// P2O5 or Ca3(PO4)2, Method A— Phosphorus (Total) in Fertilizers, www.astm.org; also available from Volumetric Method, IBR approved for Alkalimetric Quinolinium ProQuest, 789 East Eisenhower §§ 63.606(c) and 63.626(c). Molybdophosphate Method, Sixteenth Parkway, Ann Arbor, MI 48106–1346, (iii) Section IX, Methods of Analysis edition, 1995, IBR approved for Telephone (734) 761–4700, http:// for Phosphate Rock, No. 3 Phosphorus- § 63.626(d). www.proquest.com. P2O5 or Ca3(PO4)2, Method B— (7) AOAC Official Method 978.01 (1) ASTM D95–05 (Reapproved 2010), Gravimetric Quimociac Method, IBR Phosphorus (Total) in Fertilizers, Standard Test Method for Water in approved for §§ 63.606(c) and 63.626(c). Automated Method, Sixteenth edition, Petroleum Products and Bituminous (iv) Section IX, Methods of Analysis 1995, IBR approved for § 63.626(d). Materials by Distillation, approved May For Phosphate Rock, No. 3 (d) American Petroleum Institute 1, 2010, IBR approved for § 63.10005(i) Phosphorus—P2O5 or Ca3(PO4)2, Method (API), 1220 L Street NW., Washington, and table 6 to subpart DDDDD. C—Spectrophotometric Method, IBR DC 20005. (2) ASTM D240–09 Standard Test approved for §§ 63.606(c) and 63.626(c). (1) API Publication 2517, Evaporative Method for Heat of Combustion of (v) Section XI, Methods of Analysis Loss from External Floating-Roof Tanks, Liquid Hydrocarbon Fuels by Bomb for Phosphoric Acid, Superphosphate, Third Edition, February 1989, IBR Calorimeter, approved July 1, 2009, IBR Triple Superphosphate, and approved for §§ 63.111 and 63.2406. approved for table 6 to subpart DDDDD. Ammonium Phosphates, No. 3 Total (2) API Publication 2518, Evaporative (3) ASTM Method D388–05, Standard Phosphorus—P O , Method A— Loss from Fixed-roof Tanks, Second 2 5 Classification of Coals by Rank, Volumetric Method, IBR approved for Edition, October 1991, IBR approved for approved September 15, 2005, IBR §§ 63.606(c) and 63.626(c) and (d). § 63.150(g). (vi) Section XI, Methods of Analysis (3) API Manual of Petroleum approved for §§ 63.7575, 63.10042, and for Phosphoric Acid, Superphosphate, Measurement Specifications (MPMS) 63.11237. Triple Superphosphate, and Chapter 19.2 (API MPMS 19.2), (4) ASTM Method D396–10, Standard Ammonium Phosphates, No. 3 Total Evaporative Loss From Floating-Roof Specification for Fuel Oils, including Appendix X1, approved October 1, Phosphorus—P2O5, Method B— Tanks, First Edition, April 1997, IBR Gravimetric Quimociac Method, IBR approved for §§ 63.1251 and 63.12005. 2010, IBR approved for § 63.10042. approved for §§ 63.606(c) and 63.626(c) (e) American Society of Heating, (5) ASTM D396–10, Standard and (d). Refrigerating, and Air-Conditioning Specification for Fuel Oils, approved (vii) Section XI, Methods of Analysis Engineers at 1791 Tullie Circle, NE., October 1, 2010, IBR approved for for Phosphoric Acid, Superphosphate, Atlanta, GA 30329 [email protected]. §§ 63.7575 and 63.11237. Triple Superphosphate, and (1) American Society of Heating, (6) ASTM D523–89, Standard Test Ammonium Phosphates, No. 3 Total Refrigerating, and Air Conditioning Method for Specular Gloss, IBR approved for § 63.782. Phosphorus—P2O5, Method C— Engineers Method 52.1, ‘‘Gravimetric Spectrophotometric Method, IBR and Dust-Spot Procedures for Testing (7) ASTM D975–11b, Standard approved for §§ 63.606(c) and 63.626(c) Air-Cleaning Devices Used in General Specification for Diesel Fuel Oils, and (d). Ventilation for Removing Particulate approved December 1, 2011, IBR (2) [Reserved] Matter, June 4, 1992,’’ IBR approved for approved for § 63.7575. (c) Association of Official Analytical §§ 63.11173(e) and 63.11516(d). (8) ASTM D1193–77, Standard Chemists (AOAC) International, (2) [Reserved] Specification for Reagent Water, IBR Customer Services, Suite 400, 2200 (f) American Society of Mechanical approved for appendix A to part 63: Wilson Boulevard, Arlington, Virginia Engineers (ASME), Three Park Avenue, Method 306, Sections 7.1.1 and 7.4.2. 22201–3301, Telephone (703) 522–3032, New York, NY 10016–5990, Telephone (9) ASTM D1193–91, Standard Fax (703) 522–5468. (800) 843–2763, http://www.asme.org; Specification for Reagent Water, IBR (1) AOAC Official Method 929.01 also available from HIS, Incorporated, approved for appendix A to part 63: Sampling of Solid Fertilizers, Sixteenth 15 Inverness Way East, Englewood, CO Method 306, Sections 7.1.1 and 7.4.2. edition, 1995, IBR approved for 80112, Telephone (877) 413–5184, (10) ASTM D1331–89, Standard Test § 63.626(d). http://global.ihs.com. Methods for Surface and Interfacial (2) AOAC Official Method 929.02 (1) ANSI/ASME PTC 19.10–1981, Tension of Solutions of Surface Active Preparation of Fertilizer Sample, Flue and Exhaust Gas Analyses [Part 10, Agents, IBR approved for appendix A to Sixteenth edition, 1995, IBR approved Instruments and Apparatus], issued part 63: Method 306B, Sections 6.2, for § 63.626(d). August 31, 1981, IBR approved for 11.1, and 12.2.2.

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(11) ASTM D1475–90, Standard Test (25) ASTM D2697–86 (Reapproved Method, IBR approved for appendix A Method for Density of Paint, Varnish 1998), Standard Test Method for to subpart II. Lacquer, and Related Products, IBR Volume Nonvolatile Matter in Clear or (38) ASTM D4057–06 (Reapproved approved for appendix A to subpart II. Pigmented Coatings, IBR approved for 2011), Standard Practice for Manual (12) ASTM D1475–98 (Reapproved §§ 63.3161(f), 63.3521(b), 63.3941(b), Sampling of Petroleum and Petroleum 2003), ‘‘Standard Test Method for 63.4141(b), 63.4741(b), 63.4941(b), and Products, including Annex A1, Density of Liquid Coatings, Inks, and 63.5160(c). (Approved June 1, 2011), IBR approved Related Products,’’ IBR approved for (26) ASTM D2879–83, Standard for § 63.10005(i) and table 6 to subpart §§ 63.3151(b), 63.3941(b) and (c), Method for Vapor Pressure-Temperature DDDDD. 63.3951(c), 63.4141(b) and (c), and Relationship and Initial Decomposition (39) ASTM D4082–89, Standard Test 63.4551(c). Temperature of Liquids by Isoteniscope, Method for Effects of Gamma Radiation (13) ASTM Method D1835–05, IBR approved for §§ 63.111, 63.2406, on Coatings for Use in Light-Water Standard Specification for Liquefied and 63.12005. Nuclear Power Plants, IBR approved for Petroleum (LP) Gases, approved April 1, (27) ASTM D2879–96, Test Method § 63.782. 2005, IBR approved for §§ 63.7575 and for Vapor Pressure-Temperature (40) ASTM D4084–07, Standard Test 63.11237. Relationship and Initial Decomposition Method for Analysis of Hydrogen (14) ASTM D1945–03 (Reapproved Temperature of Liquids by Isoteniscope, Sulfide in Gaseous Fuels (Lead Acetate 2010), Standard Test Method for (Approved 1996), IBR approved for Reaction Rate Method), (Approved June Analysis of Natural Gas by Gas §§ 63.111, 63.2406, and 63.12005. 1, 2007), IBR approved for table 6 to Chromatography, (Approved January 1, (28) ASTM D3173–03 (Reapproved subpart DDDDD. 2010), IBR approved for §§ 63.772(h), 2008), Standard Test Method for (41) ASTM D4177–95 (Reapproved and 63.1282(g). Moisture in the Analysis Sample of Coal 2010), Standard Practice for Automatic (15) ASTM D1946–77, Standard and Coke, (Approved February 1, 2008), Sampling of Petroleum and Petroleum Method for Analysis of Reformed Gas by IBR approved for table 6 to subpart Products, including Annexes A1 Gas Chromatography, IBR approved for DDDDD and table 5 to subpart JJJJJJ. through A6 and Appendices X1 and X2, § 63.11(b). (29) ASTM D3257–93, Standard Test (Approved May 1, 2010), IBR approved (16) ASTM D1946–90 (Reapproved Methods for Aromatics in Mineral for § 63.10005(i) and table 6 to subpart 1994), Standard Method for Analysis of Spirits by Gas Chromatography, IBR DDDDD. Reformed Gas by Gas Chromatography, approved for § 63.786(b). (42) ASTM D4208–02 (Reapproved IBR approved for § 63.11(b). (30) ASTM D3588–98 (Reapproved 2007), Standard Test Method for Total (17) ASTM D2013/D2013M–09, 2003), Standard Practice for Calculating Chlorine in Coal by the Oxygen Bomb Standard Practice for Preparing Coal Heat Value, Compressibility Factor, and Combustion/Ion Selective Electrode Samples for Analysis, (Approved Relative Density of Gaseous Fuels, Method, approved May 1, 2007, IBR November 1, 2009), IBR approved for (Approved May 10, 2003), IBR approved approved for table 6 to subpart DDDDD. table 6 to subpart DDDDD and table 5 to for §§ 63.772(h) and 63.1282(g). (43) ASTM D4256–89, Standard Test subpart JJJJJJ. (31) ASTM D3695–88, Standard Test Method for Determination of the (18) ASTM D2099–00, Standard Test Method for Volatile Alcohols in Water Decontaminability of Coatings Used in Method for Dynamic Water Resistance by Direct Aqueous-Injection Gas Light-Water Nuclear Power Plants, IBR of Shoe Upper Leather by the Maeser Chromatography, IBR approved for approved for § 63.782. Water Penetration Tester, IBR approved § 63.365(e). for § 63.5350. (32) ASTM D3792–91, Standard (44) ASTM D4256–89 (Reapproved (19) ASTM D2216–05, Standard Test Method for Water Content of Water- 94), Standard Test Method for Methods for Laboratory Determination Reducible Paints by Direct Injection into Determination of the Decontaminability of Water (Moisture) Content of Soil and a Gas Chromatograph, IBR approved for of Coatings Used in Light-Water Nuclear Rock by Mass, IBR approved for the appendix A to subpart II. Power Plants, IBR approved for definition of ‘‘Free organic liquids’’ in (33) ASTM D3912–80, Standard Test § 63.782. § 63.10692. Method for Chemical Resistance of (45) ASTM D4606–03 (Reapproved (20) ASTM D2234/D2234M–10, Coatings Used in Light-Water Nuclear 2007), Standard Test Method for Standard Practice for Collection of a Power Plants, IBR approved for Determination of Arsenic and Selenium Gross Sample of Coal, approved January § 63.782. in Coal by the Hydride Generation/ 1, 2010, IBR approved for table 6 to (34) ASTM D4006–11, Standard Test Atomic Absorption Method, (Approved subpart DDDDD and table 5 to subpart Method for Water in Crude Oil by October 1, 2007), IBR approved for table JJJJJJ . Distillation, including Annex A1 and 6 to subpart DDDDD. (21) ASTM D2369–93, Standard Test Appendix X1, (Approved June 1, 2011), (46) ASTM D4809–95, Standard Test Method for Volatile Content of Coatings, IBR approved for § 63.10005(i) and table Method for Heat of Combustion of IBR approved for appendix A to subpart 6 to subpart DDDDD. Liquid Hydrocarbon Fuels by Bomb II. (35) ASTM D4017–81, Standard Test Calorimeter (Precision Method), IBR (22) ASTM D2369–95, Standard Test Method for Water in Paints and Paint approved for § 63.11(b). Method for Volatile Content of Coatings, Materials by the Karl Fischer Titration (47) ASTM D4891–89 (Reapproved IBR approved for appendix A to subpart Method, IBR approved for appendix A 2006), Standard Test Method for II. to subpart II. Heating Value of Gases in Natural Gas (23) ASTM D2382–76, Heat of (36) ASTM D4017–90, Standard Test Range by Stoichiometric Combustion, Combustion of Hydrocarbon Fuels by Method for Water in Paints and Paint (Approved June 1, 2006), IBR approved Bomb Calorimeter (High-Precision Materials by the Karl Fischer Titration for §§ 63.772(h) and 63.1282(g). Method), IBR approved for § 63.11(b). Method, IBR approved for appendix A (48) ASTM D5066–91 (Reapproved (24) ASTM D2382–88, Heat of to subpart II. 2001), Standard Test Method for Combustion of Hydrocarbon Fuels by (37) ASTM D4017–96a, Standard Test Determination of the Transfer Efficiency Bomb Calorimeter (High-Precision Method for Water in Paints and Paint Under Production Conditions for Spray Method), IBR approved for § 63.11(b). Materials by the Karl Fischer Titration Application of Automotive Paints-

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Weight Basis, IBR approved for Pycnometer, IBR approved for (69) ASTM D6522–00, Standard Test § 63.3161(g). §§ 63.3161, 63.3521, 63.3941, 63.4141, Method for Determination of Nitrogen (49) ASTM D5087–02, Standard Test 63.4741(b), 63.4941(b), and 63.5160(c). Oxides, Carbon Monoxide, and Oxygen Method for Determining Amount of (61) ASTM D6266–00a, Test Method Concentrations in Emissions from Volatile Organic Compound (VOC) for Determining the Amount of Volatile Natural Gas Fired Reciprocating Released from Solventborne Automotive Organic Compound (VOC) Released Engines, Combustion Turbines, Boilers, Coatings and Available for Removal in from Waterborne Automotive Coatings and Process Heaters Using Portable a VOC Control Device (Abatement), IBR and Available for Removal in a VOC Analyzers, IBR approved for approved for § 63.3165(e) and appendix Control Device (Abatement), IBR § 63.9307(c). A to subpart IIII. approved for § 63.3165(e). (70) ASTM D6522–00 (Reapproved (50) ASTM D5192–09, Standard (62) ASTM D6323–98 (Reapproved 2005), Standard Test Method for Practice for Collection of Coal Samples 2003), Standard Guide for Laboratory Determination of Nitrogen Oxides, from Core, (Approved June 1, 2009), IBR Subsampling of Media Related to Waste Carbon Monoxide, and Oxygen approved for table 6 to subpart DDDDD. Management Activities, (Approved Concentrations in Emissions from (51) ASTM D5198–09, Standard August 10, 2003), IBR approved for table Natural Gas Fired Reciprocating Practice for Nitric Acid Digestion of 6 to subpart DDDDD and table 5 to Engines, Combustion Turbines, Boilers, Solid Waste, (Approved February 1, subpart JJJJJJ. and Process Heaters Using Portable 2009), IBR approved for table 6 to (63) ASTM D6348–03, Standard Test Analyzers, (Approved October 1, 2005), subpart DDDDD and table 5 to subpart Method for Determination of Gaseous IBR approved for table 4 to subpart JJJJJJ. Compounds by Extractive Direct ZZZZ, table 5 to subpart DDDDDD, table (52) ASTM D5228–92, Standard Test Interface Fourier Transform Infrared 4 to subpart JJJJJJ, and §§ 63.772(e) and Method for Determination of Butane (FTIR) Spectroscopy, IBR approved for (h)) and 63.1282(d) and (g). Working Capacity of Activated Carbon, §§ 63.457(b) and 63.1349, table 4 to (71) ASTM D6721–01 (Reapproved (Reapproved 2005), IBR approved for subpart DDDD, table 4 to subpart ZZZZ, 2006), Standard Test Method for § 63.11092(b). and table 8 to subpart HHHHHHH. Determination of Chlorine in Coal by (53) ASTM D5291–02, Standard Test (64) ASTM D6348–03 (Reapproved Oxidative Hydrolysis Microcoulometry, Methods for Instrumental Determination 2010), Standard Test Method for (Approved April 1, 2006), IBR approved of Carbon, Hydrogen, and Nitrogen in Determination of Gaseous Compounds for table 6 to subpart DDDDD. Petroleum Products and Lubricants, IBR by Extractive Direct Interface Fourier (72) ASTM D6722–01 (Reapproved approved for appendix A to subpart Transform Infrared (FTIR) Spectroscopy, 2006), Standard Test Method for Total MMMM. including Annexes A1 through A8, Mercury in Coal and Coal Combustion (54) ASTM D5790–95, Standard Test (Approved October 1, 2010), IBR Residues by the Direct Combustion Method for Measurement of Purgeable approved for tables 1, 2, and 5 to Analysis, (Approved April 1, 2006), IBR Organic Compounds in Water by subpart UUUUU and appendix B to approved for Table 6 to subpart DDDDD Capillary Column Gas Chromatography/ subpart UUUUU. and Table 5 to subpart JJJJJJ. Mass Spectrometry, IBR approved for (73) ASTM D6751–11b, Standard (65) ASTM D6350–98 (Reapproved Table 4 to subpart UUUU. Specification for Biodiesel Fuel Blend 2003), Standard Test Method for (55) ASTM D5864–11, Standard Test Stock (B100) for Middle Distillate Fuels, Mercury Sampling and Analysis in Method for Determining Aerobic (Approved July 15, 2011), IBR approved Natural Gas by Atomic Fluorescence Aquatic Biodegradation of Lubricants or for §§ 63.7575 and 63.11237. Their Components, (Approved March 1, Spectroscopy, (Approved May 10, (74) ASTM D6784–02 (Reapproved 2011), IBR approved for table 6 to 2003), IBR approved for table 6 to 2008), Standard Test Method for subpart DDDDD. subpart DDDDD. Elemental, Oxidized, Particle-Bound (56) ASTM D5865–10a, Standard Test (66) ASTM D6357–11, Test Methods and Total Mercury in Flue Gas Method for Gross Calorific Value of Coal for Determination of Trace Elements in Generated from Coal-Fired Stationary and Coke, (Approved May 1, 2010), IBR Coal, Coke, and Combustion Residues Sources (Ontario Hydro Method), approved for table 6 to subpart DDDDD from Coal Utilization Processes by (Approved April 1, 2008), IBR approved and table 5 to subpart JJJJJJ. Inductively Coupled Plasma Atomic for §§ 63.11646(a), 63.11647(a) and (d), (57) ASTM D5954–98 (Reapproved Emission Spectrometry, (Approved tables 1, 2, 5, 11, 12t, and 13 to subpart 2006), Test Method for Mercury April 1, 2011), IBR approved for table 6 DDDDD, table 4 to subpart JJJJJJ, table 5 Sampling and Measurement in Natural to subpart DDDDD. to subpart UUUUU, and appendix A to Gas by Atomic Absorption (67) ASTM D6420–99, Standard Test subpart UUUUU. Spectroscopy, (Approved December 1, Method for Determination of Gaseous (75) ASTM D6883–04, Standard 2006), IBR approved for table 6 to Organic Compounds by Direct Interface Practice for Manual Sampling of subpart DDDDD. Gas Chromatography-Mass Stationary Coal from Railroad Cars, (58) ASTM D5965–02, Standard Test Spectrometry, IBR approved for Barges, Trucks, or Stockpiles, Methods for Specific Gravity of Coating §§ 63.5799, 63.5850, and Table 4 of (Approved June 1, 2004), IBR approved Powders, IBR approved for Subpart UUUU. for table 6 to subpart DDDDD. §§ 63.3151(b) and 63.3951(c). (68) ASTM D6420–99 (Reapproved (76) ASTM D7430–11ae1, Standard (59) ASTM D6053–00, Standard Test 2004), Standard Test Method for Practice for Mechanical Sampling of Method for Determination of Volatile Determination of Gaseous Organic Coal, (Approved October 1, 2011), IBR Organic Compound (VOC) Content of Compounds by Direct Interface Gas approved for table 6 to subpart DDDDD. Electrical Insulating Varnishes, IBR Chromatography-Mass Spectrometry, (77) ASTM E145–94 (Reapproved approved for appendix A to subpart (Approved October 1, 2004), IBR 2001), Standard Specification for MMMM. approved for §§ 63.457(b), 63.485(g), Gravity-Convection and Forced- (60) ASTM D6093–97 (Reapproved 60.485a(g), 63.772(a), 63.772(e), Ventilation Ovens, IBR approved for 2003), Standard Test Method for Percent 63.1282(a) and (d), 63.2351(b), and appendix A to subpart PPPP. Volume Nonvolatile Matter in Clear or 63.2354(b), and table 8 to subpart (78) ASTM E180–93, Standard Pigmented Coatings Using a Helium Gas HHHHHHH. Practice for Determining the Precision of

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ASTM Methods for Analysis and Pressure of Pressure/Vacuum Vent Revision 0, IBR approved for Testing of Industrial Chemicals, IBR Valves,’’ adopted October 8, 2003, IBR §§ 63.11173(e) and 63.11516(d). approved for § 63.786(b). approved for § 63.11120(a). (10) Rhode Island Department of (79) ASTM E260–91, General Practice (3) California Air Resources Board Environmental Management regulations for Packed Column Gas Vapor Recovery Test Procedure TP– at Air Pollution Control Regulation No. Chromatography, IBR approved for 201.3—‘‘Determination of 2-Inch WC 36, Control of Emissions from Organic §§ 63.750(b) and 63.786(b). Static Pressure Performance of Vapor Solvent Cleaning, effective April 8, (80) ASTM E260–96, General Practice Recovery Systems of Dispensing 1996, last amended October 9, 2008, IBR for Packed Column Gas Facilities,’’ adopted April 12, 1996 and approved for § 63.99(a). Chromatography, IBR approved for amended March 17, 1999, IBR approved (11) Rhode Island Air Pollution §§ 63.750(b) and 63.786(b). for § 63.11120(a). Control, General Definitions Regulation, (81) ASTM E515–95 (Reapproved (k) Environmental Protection Agency. effective July 19, 2007, last amended 2000), Standard Test Method for Leaks Air and Radiation Docket and October 9, 2008. IBR approved for Using Bubble Emission Techniques, IBR Information Center, 1200 Pennsylvania § 63.99(a). approved for § 63.425(i). Avenue NW., Washington, DC 20460, (12) Alaska Statute 42.45.045. (82) ASTM E711–87 (Reapproved telephone number (202) 566–1745. Renewable energy grant fund and 2004), Standard Test Method for Gross (1) California Regulatory recommendation program, available at Calorific Value of Refuse-Derived Fuel Requirements Applicable to the Air http://www.legis.state.ak.us/basis/ by the Bomb Calorimeter, (Approved Toxics Program, November 16, 2010, folio.asp, IBR approved for § 63.6675. August 28, 1987), IBR approved for table IBR approved for § 63.99(a). (l) U.S. Environmental Protection 6 to subpart DDDDD and table 5 to (2) New Jersey’s Toxic Catastrophe Agency, 1200 Pennsylvania Avenue subpart JJJJJJ. Prevention Act Program, (July 20, 1998), NW., Washington, DC 20460, (202) 272– (83) ASTM E776–87 (Reapproved IBR approved for § 63.99(a). 0167, http://www.epa.gov. (1) EPA–453/R–01–005, National 2009), Standard Test Method for Forms (3) Delaware Department of Natural Emission Standards for Hazardous Air of Chlorine in Refuse-Derived Fuel, Resources and Environmental Control, Pollutants (NESHAP) for Integrated Iron (Approved July 1, 2009), IBR approved Division of Air and Waste Management, and Steel Plants—Background for table 6 to subpart DDDDD. Accidental Release Prevention Information for Proposed Standards, (84) ASTM E871–82 (Reapproved Regulation, sections 1 through 5 and Final Report, January 2001, IBR 2006), Standard Test Method for sections 7 through 14, effective January approved for § 63.7491(g). Moisture Analysis of Particulate Wood 11, 1999, IBR approved for § 63.99(a). Fuels, (Approved November 1, 2006), (2) EPA–454/R–98–015, Office Of Air (4) State of Delaware Regulations IBR approved for table 6 to subpart Quality Planning And Standards Governing the Control of Air Pollution DDDDD and table 5 to subpart JJJJJJ. (OAQPS), Fabric Filter Bag Leak (October 2000), IBR approved for (h) Bay Area Air Quality Management Detection Guidance, September 1997, § 63.99(a). District (BAAQMD), 939 Ellis Street, IBR approved for §§ 63.548(e), (5) Massachusetts Department of San Francisco, California 94109, http:// 63.7525(j), and 63.11224(f). Environmental Protection regulations at www.arb.ca.gov/DRDB/BA/CURHTML/ (3) SW–846–3020A, Acid Digestion of 310 CMR 7.26(10)–(16), Air Pollution ST/st30.pdf. Aqueous Samples And Extracts For (1) ‘‘BAAQMD Source Test Procedure Control, effective as of September 5, Total Metals For Analysis By GFAA ST–30—Static Pressure Integrity Test, 2008, corrected March 6, 2009, and 310 Spectroscopy, Revision 1, July 1992, in Underground Storage Tanks,’’ adopted CMR 70.00, Environmental Results EPA Publication No. SW–846, Test November 30, 1983, and amended Program Certification, effective as of Methods for Evaluating Solid Waste, December 21, 1994, IBR approved for December 28, 2007. IBR approved for Physical/Chemical Methods, Third § 63.11120(a). § 63.99(a). Edition, IBR approved for table 6 to (2) [Reserved] (6)(i) New Hampshire Regulations subpart DDDDD and table 5 to subpart (i) British Standards Institute, 389 Applicable to Hazardous Air Pollutants, JJJJJJ. Chiswick High Road, London W4 4AL, March, 2003. IBR approved for (4) SW–846–3050B, Acid Digestion of United Kingdom. § 63.99(a). Sediments, Sludges, and Soils, Revision (1) BS EN 1593:1999, Non-destructive (ii) New Hampshire Regulations 2, December 1996, in EPA Publication Testing: Leak Testing—Bubble Emission Applicable to Hazardous Air Pollutants, No. SW–846, Test Methods for Techniques, IBR approved for September 2006. IBR approved for Evaluating Solid Waste, Physical/ § 63.425(i). § 63.99(a). Chemical Methods, Third Edition, IBR (2) [Reserved] (7) Maine Department of approved for table 6 to subpart DDDDD (j) California Air Resources Board Environmental Protection regulations at and table 5 to subpart JJJJJJ. (CARB), Engineering and Certification Chapter 125, Perchloroethylene Dry (5) SW–846–7470A, Mercury In Branch, 1001 I Street, P.O. Box 2815, Cleaner Regulation, effective as of June Liquid Waste (Manual Cold-Vapor Sacramento, CA 95812–2815, Telephone 2, 1991, last amended on June 24, 2009. Technique), Revision 1, September (916) 327–0900, http://www.arb.ca.gov/ IBR approved for § 63.99(a). 1994, in EPA Publication No. SW–846, vapor/vapor.htm. (8) California South Coast Air Quality Test Methods for Evaluating Solid (1) California Air Resources Board Management District’s ‘‘Spray Waste, Physical/Chemical Methods, Vapor Recovery Test Procedure TP– Equipment Transfer Efficiency Test Third Edition, IBR approved for table 6 201.1—‘‘Volumetric Efficiency for Phase Procedure for Equipment User, May 24, to subpart DDDDD and table 5 to I Vapor Recovery Systems,’’ adopted 1989,’’ IBR approved for §§ 63.11173(e) subpart JJJJJJ. April 12, 1996, and amended February and 63.11516(d). (6) SW–846–7471B, Mercury In Solid 1, 2001 and October 8, 2003, IBR (9) California South Coast Air Quality Or Semisolid Waste (Manual Cold- approved for § 63.11120(b). Management District’s ‘‘Guidelines for Vapor Technique), Revision 2, February (2) California Air Resources Board Demonstrating Equivalency with 2007, in EPA Publication No. SW–846, Vapor Recovery Test Procedure TP– District Approved Transfer Efficient Test Methods for Evaluating Solid 201.1E—‘‘Leak Rate and Cracking Spray Guns, September 26, 2002,’’ Waste, Physical/Chemical Methods,

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Third Edition, IBR approved for table 6 (15) SW–846–7740, Selenium (Atomic 2000, IBR approved for §§ 63.457 and to subpart DDDDD and table 5 to Absorption, Furnace Technique), 63.459. subpart JJJJJJ. Revision 0, September 1986, in EPA (2) NCASI Method CI/WP–98.01, (7) SW–846–8015C, Nonhalogenated Publication No. SW–846, Test Methods Chilled Impinger Method For Use At Organics by Gas Chromatography, for Evaluating Solid Waste, Physical/ Wood Products Mills to Measure Revision 3, February 2007, in EPA Chemical Methods, Third Edition, IBR Formaldehyde, Methanol, and Phenol, Publication No. SW–846, Test Methods approved for table 6 to subpart DDDDD. 1998, Methods Manual, IBR approved for Evaluating Solid Waste, Physical/ (16) SW–846–9056, Determination of for table 4 to subpart DDDD. Chemical Methods, Third Edition, IBR Inorganic Anions by Ion (3) NCASI Method DI/HAPS–99.01, approved for §§ 63.11960, 63.11980, and Chromatography, Revision 1, February Selected HAPs In Condensates by GC/ table 10 to subpart HHHHHHH. 2007, in EPA Publication No. SW–846, FID, Issued February 2000, IBR (8) SW–846–8260B, Volatile Organic Test Methods for Evaluating Solid approved for § 63.459(b). Compounds by Gas Chromatography/ Waste, Physical/Chemical Methods, (4) NCASI Method IM/CAN/WP– Mass Spectrometry (GC/MS), Revision Third Edition, IBR approved for table 6 99.02, Impinger/Canister Source 2, December 1996, in EPA Publication to subpart DDDDD. Sampling Method for Selected HAPs No. SW–846, Test Methods for (17) SW–846–9076, Test Method for and Other Compounds at Wood Evaluating Solid Waste, Physical/ Total Chlorine in New and Used Products Facilities, January 2004, Chemical Methods, Third Edition, IBR Petroleum Products by Oxidative Methods Manual, IBR approved for table approved for §§ 63.11960, 63.11980, and Combustion and Microcoulometry, 4 to subpart DDDD. table 10 to subpart HHHHHHH. Revision 0, September 1994, in EPA (5) NCASI Method ISS/FP A105.01, (9) SW–846–8270D, Semivolatile Publication No. SW–846, Test Methods Impinger Source Sampling Method for Organic Compounds by Gas for Evaluating Solid Waste, Physical/ Selected Aldehydes, Ketones, and Polar Chromatography/Mass Spectrometry Chemical Methods, Third Edition, IBR Compounds, December 2005, Methods (GC/MS), Revision 4, February 2007, in approved for table 6 to subpart DDDDD. Manual, IBR approved for table 4 to EPA Publication No. SW–846, Test (18) SW–846–9250, Chloride subpart DDDD. Methods for Evaluating Solid Waste, (Colorimetric, Automated Ferricyanide (o) National Technical Information Physical/Chemical Methods, Third AAI), Revision 0, September 1986, in Service (NTIS), 5285 Port Royal Road, Edition, IBR approved for §§ 63.11960, EPA Publication No. SW–846, Test Springfield, VA 22161, (703) 605–6000 63.11980, and table 10 to subpart Methods for Evaluating Solid Waste, or (800) 553–6847; or for purchase from HHHHHHH. Physical/Chemical Methods, Third (10) SW–846–8315A, Determination the Superintendent of Documents, U.S. Edition, IBR approved for table 6 to Government Printing Office, of Carbonyl Compounds by High subpart DDDDD. Performance Liquid Chromatography Washington, DC 20402, (202) 512–1800. (19) Method 200.8, Determination of (1) Handbook 44, Specificiations, (HPLC), Revision 1, December 1996, in Trace Elements in Waters and Wastes by EPA Publication No. SW–846, Test Tolerances, and Other Technical Inductively Coupled Plasma—Mass Requirements for Weighing and Methods for Evaluating Solid Waste, Spectrometry, Revision 5.4, 1994, IBR Physical/Chemical Methods, Third Measuring Devices 1998, IBR approved approved for table 6 to subpart DDDDD. for § 63.1303(e). Edition, IBR approved for §§ 63.11960 (20) Method 1631 Revision E, (2) ‘‘Test Methods for Evaluating and 63.11980, and table 10 to subpart Mercury in Water by Oxidation, Purge Solid Waste, Physical/Chemical HHHHHHH. and Trap, and Cold Vapor Atomic Methods,’’ EPA Publication SW–846, (11) SW–846–5050, Bomb Preparation Absorption Fluorescence Spectrometry, Third Edition. (A suffix of ‘‘A’’ in the Method for Solid Waste, Revision 0, Revision E, EPA–821–R–02–019, August method number indicates revision one September 1994, in EPA Publication No. 2002, IBR approved for table 6 to (the method has been revised once). A SW–846, Test Methods for Evaluating subpart DDDDD. Solid Waste, Physical/Chemical (m) International Standards suffix of ‘‘B’’ in the method number Methods, Third Edition IBR approved Organization (ISO), 1, ch. de la Voie- indicates revision two (the method has for table 6 to subpart DDDDD. Creuse, Case postale 56, CH–1211 been revised twice). (12) SW–846–6010C, Inductively Geneva 20, Switzerland, +41 22 749 01 (i) Method 0023A, ‘‘Sampling Method Coupled Plasma-Atomic Emission 11, http://www.iso.org/iso/home.htm. for Polychlorinated Dibenzo-p-Dioxins Spectrometry, Revision 3, February (1) ISO 6978–1:2003(E), Natural Gas— and Polychlorinated Dibenzofuran 2007, in EPA Publication No. SW–846, Determination of Mercury—Part 1: Emissions from Stationary Sources,’’ Test Methods for Evaluating Solid Sampling of Mercury by Chemisorption dated December 1996, IBR approved for Waste, Physical/Chemical Methods, on Iodine, First edition, October 15, § 63.1208(b). Third Edition, IBR approved for table 6 2003, IBR approved for table 6 to (ii) Method 9071B, ‘‘n-Hexane to subpart DDDDD. subpart DDDDD. Extractable Material (HEM) for Sludge, (13) SW–846–6020A, Inductively (2) ISO 6978–2:2003(E), Natural gas— Sediment, and Solid Samples,’’ dated Coupled Plasma-Mass Spectrometry, Determination of Mercury—Part 2: April 1998, IBR approved for Revision 1, February 2007, in EPA Sampling of Mercury by Amalgamation § 63.7824(e). Publication No. SW–846, Test Methods on Gold/Platinum Alloy, First edition, (iii) Method 9095A, ‘‘Paint Filter for Evaluating Solid Waste, Physical/ October 15, 2003, IBR approved for table Liquids Test,’’ dated December 1996, Chemical Methods, Third Edition, IBR 6 to subpart DDDDD. IBR approved for §§ 63.7700(b) and approved for table 6 to subpart DDDDD. (n) National Council of the Paper 63.7765. (14) SW–846–7060A, Arsenic (Atomic Industry for Air and Stream (iv) Method 9095B, ‘‘Paint Filter Absorption, Furnace Technique), Improvement, Inc. (NCASI), P.O. Box Liquids Test,’’ (revision 2), dated Revision 1, September 1994, in EPA 133318, Research Triangle Park, NC November 2004, IBR approved for the Publication No. SW–846, Test Methods 27709–3318 or at http://www.ncasi.org. definition of ‘‘Free organic liquids’’ in for Evaluating Solid Waste, Physical/ (1) NCASI Method DI/MEOH–94.03, §§ 63.10692, 63.10885(a), and the Chemical Methods, Third Edition, IBR Methanol in Process Liquids and definition of ‘‘Free liquids’’ in approved for table 6 to subpart DDDDD. Wastewaters by GC/FID, Issued May § 63.10906.

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(v) SW–846 74741B, Revision 2, (b) * * * Subpart Y—[Amended] ‘‘Mercury in Solid or Semisolid Waste (5) * * * (Manual Cold-Vapor Technique),’’ (i) * * * ■ 47. Amend § 63.565 by revising February 2007, IBR approved for (G) Method 8260B. Use procedures paragraphs (d)(5), (8), and (10) and (g) § 63.11647(f). specified in Method 8260B in the SW– to read as follows: (3) National Institute of Occupational 846 Compendium of Methods. Safety and Health (NIOSH) test method (H) Method 316. Use Method 316 to § 63.565 Test methods and procedures. compendium, ‘‘NIOSH Manual of determine formaldehyde concentration. * * * * * Analytical Methods,’’ NIOSH * * * * * (d) * * * publication no. 94–113, Fourth Edition, (5) Recovery devices. The average August 15, 1994. Subpart N—[Amended] VOC concentration in the vent upstream (i) NIOSH Method 2010, ‘‘Amines, and downstream of the control device ■ 44. Amend § 63.344 by adding Aliphatic,’’ Issue 2, August 15, 1994, shall be determined using Method 25A paragraph (c)(5) to read as follows: IBR approved for § 63.7732(g). or 25B of appendix A–7 to part 60 of (ii) [Reserved] § 63.344 Performance test requirements this chapter for recovery devices. The (p) North American Electric and test methods. average VOC concentration shall Reliability Corporation, 1325 G Street, * * * * * correspond to the volume measurement NW., Suite 600, Washington, DC 20005– (c) * * * by taking into account the sampling 3801, http://www.nerc.com, http:// (5) The South Coast Air Quality system response time. _ www.nerc.com/files/EOP0002-3 1.pdf. Management District (SCAQMD) * * * * * (1) North American Electric Method 205.1 (which is available by (8) Where Method 25, 25A, or 25B is Reliability Corporation Reliability contacting the South Coast AQMD, used to measure the percent reduction Standard EOP–002–3, Capacity and 21865 Copley Dr, Diamond Bar, CA in VOC, the percent reduction across the Energy Emergencies, adopted August 5, 91765) may be used to determine the combustion or recovery device shall be 2010, IBR approved for § 63.6640(f). total chromium concentration from hard calculated as follows: (2)[Reserved] and decorative chromium electroplating (q) Technical Association of the Pulp tanks and chromium anodizing tanks. and Paper Industry (TAPPI), 15 * * * * * Technology Parkway South, Norcross, GA 30092, (800) 332–8686, http:// Subpart O—[Amended] www.tappi.org. Where: (1) TAPPI T 266, Determination of ■ 45. Amend § 63.364 by revising R = control efficiency of control device, Sodium, Calcium, Copper, Iron, and paragraph (e) to read as follows: percent. Manganese in Pulp and Paper by Ei = mass flow rate of VOC at the inlet to the § 63.364 Monitoring requirements. Atomic Absorption Spectroscopy combustion or recovery device as (Reaffirmation of T 266 om-02), Draft * * * * * calculated under paragraph (c)(7) of this section, kg/hr. No. 2, July 2006, IBR approved for table (e) Measure and record once per hour the ethylene oxide concentration at the Eo = mass flow rate of VOC at the outlet of 6 to subpart DDDDD. the combustion or recovery device, as (2) [Reserved] outlet to the atmosphere after any control device according to the calculated under paragraph (c)(7) of this (r) Texas Commission on section, kg/hr. procedures specified in § 63.365(c)(1). Environmental Quality (TCEQ) Library, * * * * * Post Office Box 13087, Austin, Texas The owner or operator shall compute and record a 24-hour average daily. The (10) Use of methods other than 78711–3087, telephone number (512) Method 25, 25A, or 25B shall be 239–0028, http://www.tceq.state.tx.us/ owner or operator will install, calibrate, operate, and maintain a monitor validated pursuant to Method 301 of assets/public/implementation/air/sip/ appendix A to part 63 of this chapter. sipdocs/2002-12-HGB/02046sipapp_ consistent with the requirements of ado.pdf. performance specification (PS) 8 or 9 in * * * * * (1) ‘‘Air Stripping Method (Modified 40 CFR part 60, appendix B, to measure (g) Baseline outlet VOC concentration. El Paso Method) for Determination of ethylene oxide. The daily calibration The procedures in this paragraph shall Volatile Organic Compound Emissions requirements of section 7.2 of PS–9 or be used to determine the outlet VOC from Water Sources,’’ Revision Number Section 13.1 of PS–8 are required only concentration required in § 63.563(b)(4), One, dated January 2003, Sampling on days when ethylene oxide emissions (6), (7), and (8) for combustion devices Procedures Manual, Appendix P: are vented to the control device. except flare, carbon adsorbers, Cooling Tower Monitoring, January 31, * * * * * condenser/refrigeration units, and 2003, IBR approved for §§ 63.654 and ■ 46. Amend § 63.365 by revising the absorbers, respectively, and to monitor 63.11920. introductory text of paragraph (b) to the VOC concentration as required in (2) [Reserved] read as follows: § 63.564(e), (g), (h), and (i). The owner or operator shall use the procedures Subpart G—[Amended] § 63.365 Test methods and procedures. outlined in Method 25A or 25B. For the * * * * * baseline VOC concentration, the ■ 43. Amend § 63.144 by adding (b) Efficiency at the sterilization arithmetic average of the outlet VOC paragraphs (b)(5)(i)(G) and (H) to read as chamber vent. California Air Resources concentration from three test runs from follows: Board (CARB) Method 431 or the paragraph (d) of this section shall be § 63.144 Process wastewater provisions— following procedures shall be used to calculated for the control device. The test methods and procedures for determine the efficiency of all types of VOC concentration shall be measured at determining applicability and Group 1/ control devices used to comply with least every 15 minutes. Compliance Group 2 determinations (determining which § 63.362(c), sterilization chamber vent testing of VOC CEMS shall be performed wastewater streams require control). standard. using PS 8. * * * * * * * * * * * * * * *

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Subpart GG—[Amended] potential to be, released to the (c) * * * atmosphere. Examples of process vents (9) Method 26A for the concentration ■ 48. Amend § 63.750 by revising include, but are not limited to, vents on of HCl. Where a lime-injected fabric paragraph (o) to read as follows: condensers used for product recovery, filter is used as the control device to bottom receivers, surge control vessels, § 63.750 Test methods and procedures. comply with the 90 percent reduction reactors, filters, centrifuges, and process standard, the owner or operator must * * * * * tanks. Emission streams that are (o) Inorganic HAP emissions—dry undiluted and uncontrolled containing measure the fabric filter inlet particulate filter certification less than 50 ppmv HAP, as determined concentration of HCl at a point before requirements. Dry particulate filters through process knowledge that no HAP lime is introduced to the system. used to comply with § 63.745(g)(2) or are present in the emission stream or Method 26 may be used in place of § 63.746(b)(4) must be certified by the using an engineering assessment as Method 26A where it can be filter manufacturer or distributor, paint/ discussed in § 63.1257(d)(2)(ii); test data demonstrated that there are no water depainting booth supplier, and/or the using Method 18 of 40 CFR part 60, droplets in the emission stream. This facility owner or operator using method appendix A–6; Method 320 of 40 CFR can be demonstrated by showing that 319 in appendix A of this part, to meet part 63; or any other test method that the vapor pressure of water in the or exceed the efficiency data points has been validated according to the emission stream that you are testing is found in Tables 1 and 2, or 3 and 4 of procedures in Method 301 of appendix less than the equilibrium vapor pressure § 63.745 for existing or new sources A of this part, are not considered of water at the emission stream respectively. process vents. Process vents do not temperature, and by certifying that the include vents on storage tanks regulated Subpart GGG—[Amended] emission stream is not controlled by a under § 63.1253, vents on wastewater wet scrubber. emission sources regulated under ■ 49. Amend § 63.1251 by revising the § 63.1256, or pieces of equipment * * * * * definition of ‘‘Process vent’’ to read as regulated under § 63.1255. follows: Subpart CCCC—[Amended] * * * * * § 63.1251 Definitions. Subpart RRR—[Amended] ■ 51. Revise Table 2 to subpart CCCC to * * * * * read as follows: Process vent means a vent from a unit ■ 50. Amend § 63.1511 by revising As stated in § 63.2161, if you operation or vents from multiple unit paragraph (c)(9) as to read follows: operations within a process that are demonstrate compliance by monitoring manifolded together into a common § 63.1511 Performance test/compliance brew ethanol, you must comply with the header, through which a HAP- demonstration general requirements. requirements for performance tests in containing gas stream is, or has the * * * * * the following table:

TABLE 2 TO SUBPART CCCC OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS [Brew Ethanol Monitoring Only]

For each fed-batch fermenter for which compli- ance is determined by monitoring brew ethanol concentration and calculating VOC concentra- Using . . . According to the following requirements . . . tion in the fermenter exhaust according to the procedures in § 63.2161, you must . . .

1. Measure VOC as propane ...... Method 25A *, or an alternative validated by You must measure the VOC concentration in EPA Method 301 * and approved by the Ad- the fermenter exhaust at any point prior to ministrator. the dilution of the exhaust stream. * EPA Test Methods found in Appendix A of 40 CFR part 60.

Subpart UUUU—[Amended] As required in §§ 63.5530(b) and CEMS performance evaluations and 63.5535(a), (b), (g)(1), and (h)(1), you establish operating limits according to ■ 52. Revise Table 4 to subpart UUUU must conduct performance tests, other the requirements in the following table: to read as follows: initial compliance demonstrations, and

TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS

For . . . at . . . you must . . . using . . . according to the following requirements . . .

1. the sum of all proc- a. each existing or i. select sampling EPA Method 1 or 1A sampling sites must be located at the inlet ess vents. new affected source. port’s location and in appendix A to 40 and outlet to each control device; the number of tra- CFR § 63.7(d)(1)(i); verse points; ii. determine velocity EPA Method 2, 2A, you may use EPA Method 2A, 2C, 2D, 2F, and volumetric flow 2C, 2D, 2F, or 2G or 2G as an alternative to using EPA rate; in appendices A–1 Method 2, as appropriate; and A–2 to part 60 of this chapter;

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

iii. conduct gas anal- (1) EPA Method 3, you may use EPA Method 3A or 3B as an ysis; and, 3A, or 3B in appen- alternative to using EPA Method 3; or, dix A–2 to part 60 of this chapter; or, (2) ASME PTC 19.10– you may use ASME PTC 19.10–1981—Part 1981—Part 10; and, 10 (available for purchase from Three Park Avenue, New York, NY 10016–5990) as an alternative to using EPA Method 3B. iv. measure moisture EPA Method 4 in ap- content of the stack pendix A–3 to part gas. 60 of this chapter. 2. the sum of all vis- a. each existing or i. measure total sulfide (1) EPA Method 15 in (a) you must conduct testing of emissions at cose process vents. new viscose proc- emissions. appendix A–5 to the inlet and outlet of each control device; ess source. part 60 of this chap- ter; or (b) you must conduct testing of emissions from continuous viscose process vents and combinations of batch and continuous viscose process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (c) you must conduct testing of emissions from batch viscose process vents as spec- ified in § 63.490(c), except that the emis- sion reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and (d) you must collect CPMS data during the period of the initial compliance demonstra- tion and determine the CPMS operating limit during the period of the initial compli- ance demonstration; or (2) carbon disulfide (a) you must measure emissions at the inlet and/or hydrogen and outlet of each control device using sulfide CEMS, as CEMS; applicable; (b) you must install, operate, and maintain the CEMS according to the applicable per- formance specification (PS–7, PS–8, PS– 9, or PS–15) of 40 CFR part 60, appendix B; and (c) you must collect CEMS emissions data at the inlet and outlet of each control device during the period of the initial compliance demonstration and determine the CEMS operating limit during the period of the ini- tial compliance demonstration. 3. the sum of all sol- a. each existing or i. measure toluene (1) EPA Method 18 in (a) you must conduct testing of emissions at vent coating proc- new cellophane op- emissions. appendix A–6 to the inlet and outlet of each control device; ess vents. eration. part 60 of this chap- ter, or Method 320 in appendix A to part 63, or (b) you may use EPA Method 18 or 320 to determine the control efficiency of any control device for organic compounds; for a combustion device, you must use only HAP that are present in the inlet to the control device to characterize the percent reduction across the combustion device; (c) you must conduct testing of emissions from continuous solvent coating process vents and combinations of batch and con- tinuous solvent coating process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535;

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

(d) you must conduct testing of emissions from batch solvent coating process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and (e) you must collect CPMS data during the period of the initial compliance demonstra- tion and determine the CPMS operating limit during the initial compliance dem- onstration; or (2) ASTM D6420–99 .. (a) you must conduct testing of emissions at the inlet and outlet of each control device; (b) you may use ASTM D6420–99 (available for purchase from at least one of the fol- lowing addresses: 100 Barr Harbor Drive, West Conshohocken, PA 19428–2959; or University Microfilms International, 300 North Zeeb Road, Ann Arbor, MI 48106) as an alternative to EPA Method 18 only where: the target compound(s) are those listed in Section 1.1 of ASTM D6420–99; and the target concentration is between 150 parts per billion by volume (ppbv) and 100 ppmv; for target compound(s) not list- ed in Section 1.1 of ASTM D6420–99, but potentially detected by mass spectrometry, the additional system continuing calibration check after each run, as detailed in Sec- tion 10.5.3 of the ASTM method, must be followed, met, documented, and submitted with the data report even if there is no moisture condenser used or the compound is not considered water soluble; and for target compound(s) not listed in Section 1.1 of ASTM D6420–99 and not amenable to detection by mass spectrometry, ASTM D6420–99 does not apply; (c) you must conduct testing of emissions from continuous solvent coating process vents and combinations of batch and con- tinuous solvent coating process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (d) you must conduct testing of emissions from batch solvent coating process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and, (e) you must collect CPMS data during the period of the initial compliance demonstra- tion and determine the CPMS operating limit during the period of the initial compli- ance demonstration. 4. the sum of all cel- a. each existing or i. measure total or- (1) EPA Method 18 in (a) you must conduct testing of emissions at lulose ether process new cellulose ether ganic HAP emis- appendix A–6 to the inlet and outlet of each control device; vents. operation. sions. part 60 of this chap- (b) you may use EPA Method 18 or 320 to ter or Method 320 in determine the control efficiency of any appendix A to part control device for organic compounds; for 63, or a combustion device, you must use only HAP that are present in the inlet to the control device to characterize the percent reduction across the combustion device;

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

(c) you must conduct testing of emissions from continuous cellulose ether process vents and combinations of batch and con- tinuous cellulose ether process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (d) you must conduct testing of emissions from batch cellulose ether process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and (e) you must collect CPMS data during the period of the initial performance test and determine the CPMS operating limit during the period of the initial performance test; (2) ASTM D6420–99 .. (a) you must conduct testing of emissions at the inlet and outlet of each control device; (b) you may use ASTM D6420–99 (available for purchase from at least one of the fol- lowing addresses: 100 Barr Harbor Drive, West Conshohocken, PA 19428–2959; or University Microfilms International, 300 North Zeeb Road, Ann Arbor, MI 48106) as an alternative to EPA Method 18 only where: the target compound(s) are those listed in Section 1.1 of ASTM D6420–99; and the target concentration is between 150 ppbv and 100 ppmv; for target com- pound(s) not listed in Section 1.1 of ASTM D6420–99, but potentially detected by mass spectrometry, the additional system continuing calibration check after each run, as detailed in Section 10.5.3 of the ASTM method, must be followed, met, docu- mented, and submitted with the data re- port even if there is no moisture con- denser used or the compound is not con- sidered water soluble; and for target com- pound(s) not listed in Section 1.1 of ASTM D6420–99 and not amenable to detection by mass spectrometry, ASTM D6420–99 does not apply; target concentration is be- tween 150 ppbv and 100 ppmv for target compound(s). (c) you must conduct testing of emissions from continuous cellulose ether process vents and combinations of batch and con- tinuous cellulose ether process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (d) you must conduct testing of emissions from batch cellulose ether process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and (e) you must collect CPMS data during the period of the initial performance test and determine the CPMS operating limit during the period of the initial performance test. (3) EPA Method 25 in (a) you must conduct testing of emissions at appendix A–7 to the inlet and outlet of each control device; part 60 of this chap- ter; or

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

(b) you may use EPA Method 25 to deter- mine the control efficiency of combustion devices for organic compounds; you may not use EPA Method 25 to determine the control efficiency of noncombustion control devices; (c) you must conduct testing of emissions from continuous cellulose ether process vents and combinations of batch and con- tinuous cellulose ether process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (d) you must conduct testing of emissions from batch cellulose ether process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and (e) you must collect CPMS data during the period of the initial performance test and determine the CPMS operating limit during the period of the initial performance test; or (4) EPA Method 25A (a) you must conduct testing of emissions at in appendix A–7 to the inlet and outlet of each control device; part 60 of this chap- ter (b) you may use EPA Method 25A if: an ex- haust gas volatile organic matter con- centration of 50 ppmv or less is required in order to comply with the emission limit; the volatile organic matter concentration at the inlet to the control device and the required level of control are such as to result in ex- haust volatile organic matter concentra- tions of 50 ppmv or less; or because of the high control efficiency of the control device, the anticipated volatile organic matter concentration at the control device exhaust is 50 ppmv or less, regardless of the inlet concentration; (c) you must conduct testing of emissions from continuous cellulose ether process vents and combinations of batch and con- tinuous cellulose ether process vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535; (d) you must conduct testing of emissions from batch cellulose ether process vents as specified in § 63.490(c), except that the emission reductions required for process vents under this subpart supersede the emission reductions required for process vents under subpart U of this part; and, (e) you must collect CPMS data during the period of the initial performance test and determine the CPMS operating limit during the period of the initial performance test. 5. each toluene stor- a. each existing or i. measure toluene (1) EPA Method 18 in (a) if venting to a control device to reduce age vessel. new cellophane op- emissions. appendix A–6 to emissions, you must conduct testing of eration. part 60 of this chap- emissions at the inlet and outlet of each ter or Method 320 in control device; appendix A to part 63; or

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

(b) you may use EPA Method 18 or 320 to determine the control efficiency of any control device for organic compounds; for a combustion device, you must use only HAP that are present in the inlet to the control device to characterize the percent reduction across the combustion device; (c) you must conduct testing of emissions from continuous storage vessel vents and combinations of batch and continuous storage vessel vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535 for continuous process vents; (d) you must conduct testing of emissions from batch storage vessel vents as speci- fied in § 63.490(c) for batch process vents, except that the emission reductions re- quired for process vents under this subpart supersede the emission reductions re- quired for process vents under subpart U of this part; and, (e) you must collect CPMS data during the period of the initial compliance demonstra- tion and determine the CPMS operating limit during the period of the initial compli- ance demonstration; or (2) ASTM D6420–99 .. (a) if venting to a control device to reduce emissions, you must conduct testing of emissions at the inlet and outlet of each control device; (b) you may use ASTM D6420–99 (available for purchase from at least one of the fol- lowing addresses: 100 Barr Harbor Drive, West Conshohocken, PA 19428–2959; or University Microfilms International, 300 North Zeeb Road, Ann Arbor, MI 48106) as an alternative to EPA Method 18 only where: the target compound(s) are those listed in Section 1.1 of ASTM D6420–99, and the target concentration is between 150 ppbv and 100 ppmv; for target com- pound(s) not listed in Section 1.1 of ASTM D6420–99, but potentially detected by mass spectrometry, the additional system continuing calibration check after each run, as detailed in Section 10.5.3 of the ASTM method, must be followed, met, docu- mented, and submitted with the data re- port even if there is no moisture con- denser used or the compound is not con- sidered water soluble; and for target com- pound(s) not listed in Section 1.1 of ASTM D6420–99 and not amenable to detection by mass spectrometry, ASTM D6420–99 does not apply; (c) you must conduct testing of emissions from continuous storage vessel vents and combinations of batch and continuous storage vessel vents at normal operating conditions, as specified in §§ 63.7(e)(1) and 63.5535 for continuous process vents; (d) you must conduct testing of emissions from batch storage vessel vents as speci- fied in § 63.490(c) for batch process vents, except that the emission reductions re- quired for process vents under this subpart supersede the emission reductions re- quired for process vents under subpart U of this part; and,

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TABLE 4 TO SUBPART UUUU OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

For . . . at . . . you must . . . using . . . according to the following requirements . . .

(e) you must collect CPMS data during the period of the initial compliance demonstra- tion and determine the CPMS operating limit during the period of the initial compli- ance demonstration. 6. the sum of all proc- a. each existing or i. measure visible (1) EPA Method 22 in (a) you must conduct the flare visible emis- ess vents controlled new affected source. emissions. appendix A–7 to sions test according to § 63.11(b). using a flare. part 60 of this chap- ter. 7. equipment leaks .... a. each existing or i. measure leak rate ... (1) applicable equip- (a) you must follow all requirements for the new cellulose ether ment leak test applicable equipment leak test methods in operation. methods in § 63.180; or § 63.180; or (2) applicable equip- (a) you must follow all requirements for the ment leak test applicable equipment leak test methods in methods in § 63.1023. § 63.1023 8. all sources of a. each existing or i. measure wastewater (1) applicable waste- (a) You must follow all requirements for the wastewater emis- new cellulose ether HAP emissions. water test methods applicable wastewater test methods and sions. operation. and procedures in procedures in §§ 63.144 and 63.145; or §§ 63.144 and 63.145; or (2) applicable waste- (a) you must follow all requirements for the water test methods applicable waste water test methods and and procedures in procedures in §§ 63.144 and 63.145, ex- §§ 63.144 and cept that you may use ASTM D5790–95 63.145, using ASTM (available for purchase from at least one D5790–95 as an al- of the following addresses: 100 Barr Har- ternative to EPA bor Drive, West Conshohocken, PA Method 624 in ap- 19428–2959; or University Microfilms Inter- pendix A to part 163 national, 300 North Zeeb Road, Ann of this chapter. Arbor, MI 48106) as an alternative to EPA Method 624, under the condition that this ASTM method be used with the sampling procedures of EPA Method 25D or an equivalent method. 9. any emission point a. each existing or i. conduct a CEMS (1) applicable require- (a) you must conduct the CEMS perform- new affected source performance eval- ments in § 63.8 and ance evaluation during the period of the using a CEMS to uation. applicable perform- initial compliance demonstration according demonstrate compli- ance specification to the applicable requirements in § 63.8 ance. (PS–7, PS–8, PS–9, and the applicable performance specifica- or PS–15) in appen- tion (PS–7, PS–8, PS–9, or PS–15) of 40 dix B to part 60 of CFR part 60, appendix B; this chapter. (b) you must install, operate, and maintain the CEMS according to the applicable per- formance specification (PS–7, PS–8, PS– 9, or PS–15) of 40 CFR part 60, appendix B; and (c) you must collect CEMS emissions data at the inlet and outlet of each control device during the period of the initial compliance demonstration and determine the CEMS operating limit during the period of the ini- tial compliance demonstration.

Subpart ZZZZ—[Amended] As stated in §§ 63.6610, 63.6611, with the following requirements for 63.6620, and 63.6640, you must comply performance tests for stationary RICE: ■ 53. Revise Table 4 to subpart ZZZZ to read as follows:

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TABLE 4 TO SUBPART ZZZZ OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS

Complying with the According to the For each . . . requirement to . . . You must . . . Using . . . following requirements . . .

1. 2SLB, 4SLB, and a. reduce CO emis- i. Select the sampling ...... (a) For CO and O2 measurement, ducts ≤6 CI stationary RICE. sions. port location and inches in diameter may be sampled at a the number/location single point located at the duct centroid of traverse points at and ducts >6 and ≤12 inches in diameter the inlet and outlet may be sampled at 3 traverse points lo- of the control de- cated at 16.7, 50.0, and 83.3% of the vice; and measurement line (‘3-point long line’). If the duct is >12 inches in diameter and the sampling port location meets the two and half-diameter criterion of Section 11.1.1 of Method 1 of 40 CFR part 60, appendix A– 1, the duct may be sampled at ‘3-point long line’; otherwise, conduct the stratifica- tion testing and select sampling points ac- cording to Section 8.1.2 of Method 7E of 40 CFR part 60, appendix A–4. ii. Measure the O2 at (1) Method 3 or 3A or (b) Measurements to determine O2 must be the inlet and outlet 3B of 40 CFR part made at the same time as the measure- of the control de- 60, appendix A–2, ments for CO concentration. vice; and or ASTM Method D6522–00 (Re- approved 2005)ac (heated probe not necessary). iii. Measure the CO at (1) ASTM D6522–00 (c) The CO concentration must be at 15 per- the inlet and the (Reapproved cent O2, dry basis. outlet of the control 2005)abc (heated device. probe not nec- essary) or Method 10 of 40 CFR part 60, appendix A–4. 2. 4SRB stationary a. reduce formalde- i. Select the sampling ...... (a) For formaldehyde, O2, and moisture RICE. hyde emissions. port location and measurement, ducts ≤6 inches in diameter the number/location may be sampled at a single point located of traverse points at at the duct centroid and ducts >6 and ≤12 the inlet and outlet inches in diameter may be sampled at 3 of the control de- traverse points located at 16.7, 50.0, and vice; and 83.3% of the measurement line (‘3-point long line’). If the duct is >12 inches in di- ameter and the sampling port location meets the two and half-diameter criterion of Section 11.1.1 of Method 1 of 40 CFR part 60, appendix A, the duct may be sam- pled at ‘3-point long line’; otherwise, con- duct the stratification testing and select sampling points according to Section 8.1.2 of Method 7E of 40 CFR part 60, appendix A. ii. Measure O2 at the (1) Method 3 or 3A or (a) Measurements to determine O2 con- inlet and outlet of 3B of 40 CFR part centration must be made at the same time the control device; 60, appendix A–2, as the measurements for formaldehyde or and or ASTM Method THC concentration. D6522–00 (Re- approved 2005) a (heated probe not necessary). iii. Measure moisture (1) Method 4 of 40 (a) Measurements to determine moisture content at the inlet CFR part 60, ap- content must be made at the same time and outlet of the pendix A–3, or and location as the measurements for control device; and Method 320 of 40 formaldehyde or THC concentration. CFR part 63, ap- pendix A, or ASTM D 6348–03 a.

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TABLE 4 TO SUBPART ZZZZ OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

Complying with the According to the For each . . . requirement to . . . You must . . . Using . . . following requirements . . .

iv. If demonstrating (1) Method 320 or 323 (a) Formaldehyde concentration must be at compliance with the of 40 CFR part 63, 15 percent O2, dry basis. Results of this formaldehyde per- appendix A; or test consist of the average of the three 1- cent reduction re- ASTM D6348–03 a, hour or longer runs. quirement, measure provided in ASTM formalde-hyde at D6348–03 Annex the inlet and the A5 (Analyte Spiking outlet of the control Technique), the per- device. cent R must be greater than or equal to 70 and less than or equal to 130. v. If demonstrating (1) Method 25A, re- (a) THC concentration must be at 15 percent compliance with the ported as propane, O2, dry basis. Results of this test consist THC percent reduc- of 40 CFR part 60, of the average of the three 1-hour or tion requirement, appendix A–7. longer runs. measure THC at the inlet and the outlet of the control device. 3. Stationary RICE ..... a. limit the concentra- i. Select the sampling ...... (a) For formaldehyde, CO, O2, and moisture tion of formalde- port location and measurement, ducts ≤6 inches in diameter hyde or CO in the the number/location may be sampled at a single point located stationary RICE ex- of traverse points at at the duct centroid and ducts >6 and ≤12 haust. the exhaust of the inches in diameter may be sampled at 3 stationary RICE; traverse points located at 16.7, 50.0, and and 83.3% of the measurement line (‘3-point long line’). If the duct is >12 inches in di- ameter and the sampling port location meets the two and half-diameter criterion of Section 11.1.1 of Method 1 of 40 CFR part 60, appendix A, the duct may be sam- pled at ‘3-point long line’; otherwise, con- duct the stratification testing and select sampling points according to Section 8.1.2 of Method 7E of 40 CFR part 60, appendix A. If using a control device, the sampling site must be located at the outlet of the control device. ii. Determine the O2 (1) Method 3 or 3A or (a) Measurements to determine O2 con- concentration of the 3B of 40 CFR part centration must be made at the same time stationary RICE ex- 60, appendix A–2, and location as the measurements for haust at the sam- or ASTM Method formaldehyde or CO concentration. pling port location; D6522–00 (Re- and approved 2005) a (heated probe not necessary). iii. Measure moisture (1) Method 4 of 40 (a) Measurements to determine moisture content of the sta- CFR part 60, ap- content must be made at the same time tion-ary RICE ex- pendix A–3, or and location as the measurements for haust at the sam- Method 320 of 40 formaldehyde or CO concentration. pling port location; CFR part 63, ap- and pendix A, or ASTM D 6348–03 a. iv. Measure formalde- (1) Method 320 or 323 (a) Formaldehyde concentration must be at hyde at the exhaust of 40 CFR part 63, 15 percent O2, dry basis. Results of this of the station-ary appendix A; or test consist of the average of the three 1- RICE; or ASTM D6348–03 a, hour or longer runs. provided in ASTM D6348–03 Annex A5 (Analyte Spiking Technique), the per- cent R must be greater than or equal to 70 and less than or equal to 130.

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TABLE 4 TO SUBPART ZZZZ OF PART 63—REQUIREMENTS FOR PERFORMANCE TESTS—Continued

Complying with the According to the For each . . . requirement to . . . You must . . . Using . . . following requirements . . .

v. measure CO at the (1) Method 10 of 40 (a) CO concentration must be at 15 percent exhaust of the sta- CFR part 60, ap- O2, dry basis. Results of this test consist tion-ary RICE. pendix A–4, ASTM of the average of the three 1-hour or Method D6522–00 longer runs. (2005) ac, Method 320 of 40 CFR part 63, appendix A, or ASTM D6348–03 a. a You may also use Methods 3A and 10 as options to ASTM–D6522–00 (2005). You may obtain a copy of ASTM–D6522–00 (2005) from at least one of the following addresses: American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428–2959, or University Microfilms International, 300 North Zeeb Road, Ann Arbor, MI 48106. b You may obtain a copy of ASTM–D6348–03 from at least one of the following addresses: American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428–2959, or University Microfilms International, 300 North Zeeb Road, Ann Arbor, MI 48106.

■ 54. Amend appendix A to part 63 to should read the APTD–0576 document and 10.1.3 Temperature Sensors. Calibrate read as follows: adopt the outlined procedures. Alternative against mercury-in-glass thermometers. An ■ a. By revising Method 306, sections mercury-free thermometers may be used if alternative mercury-free thermometer may be 2.2.1 and 6.1.4, and the Note to section the thermometers are, at a minimum, used if the thermometer is, at a minimum, 8.0. equivalent in terms of performance or equivalent in terms of performance or ■ b. By revising Method 306A, section suitably effective for the specific temperature suitably effective for the specific temperature measurement application. 8.2. measurement application. ■ c. By revising Method 308, section * * * * * * * * * * 10.1.3. 8.0 Sample Collection, Preservation, Method 315—Determination of Particulate ■ d. By amending Method 315 as Holding Times, Storage, and Transport and Methylene Chloride Extractable Matter follows: (MCEM) From Selected Sources at Primary Note: Prior to sample collection, ■ i. By revising section 6.1.1. Aluminum Production Facilities ■ ii. By redesignating section 8.11 as consideration should be given to the type of analysis (Cr+6 or total Cr) that will be * * * * * section 8.1. performed. Which analysis option(s) will be 6.1.1 Sampling train. A schematic of the ■ iii. By revising newly designated performed will determine which sample sampling train used in this method is shown section 8.1. recovery and storage procedures will be in Figure 5–1, Method 5, 40 CFR part 60, ■ iv. By revising section 10.5. required to process the sample. appendix A–3. Complete construction details ■ e. By revising Method 316, section are given in APTD–0581 (Reference 2 in 10.5. * * * * * section 17.0 of this method); commercial ■ f. By revising Method 321, the Method 306A—Determination of Chromium models of this train are also available. For definition for the term ‘‘Df’’ in section Emissions From Decorative and Hard changes from APTD–0581 and for allowable 9.3.1. Chromium Electroplating and Chromium modifications of the train shown in Figure 5– Anodizing Operations 1, Method 5, 40 CFR part 60, appendix A– Appendix A to Part 63—Test Methods 3, see the following subsections. Note: The * * * * * Pollutant Measurement Methods From operating and maintenance procedures for 8.2 Sample Recovery. After the train has Various Waste Media the sampling train are described in APTD– been transferred to the sample recovery area, 0576 (Reference 3 in section 17.0 of this * * * * * disconnect the tubing that connects the jar/ method). Since correct usage is important in impingers. The tester shall select either the obtaining valid results, all users should read Method 306—Determination of Chromium total Cr or Cr+6 sample recovery option. Emissions From Decorative and Hard APTD–0576 and adopt the operating and Samples to be analyzed for both total Cr and maintenance procedures outlined in it, Chromium Electroplating and Chromium Cr+6 shall be recovered using the Cr+6 sample Anodizing Operations—Isokinetic Method unless otherwise specified herein. option (Section 8.2.2). Note: Collect a reagent Alternative mercury-free thermometers may * * * * * blank sample for each of the total Cr or the be used if the thermometers are, at a 2.2.1 Total chromium samples with high +6 Cr analytical options. If both analyses (Cr minimum, equivalent in terms of chromium concentrations (≥35 mg/L) may be +6 and Cr ) are to be conducted on the samples, performance or suitably effective for the analyzed using inductively coupled plasma collect separate reagent blanks for each specific temperature measurement emission spectrometry (ICP) at 267.72 nm. analysis. Also, since particulate matter is not application. The use of grease for sealing Note: The ICP analysis is applicable for this usually present at chromium electroplating sampling train components is not method only when the solution analyzed has and/or chromium anodizing operations, it is recommended because many greases are a Cr concentration greater than or equal to 35 +6 not necessary to filter the Cr samples soluble in methylene chloride. The sampling mg/L or five times the method detection limit unless there is observed sediment in the train consists of the following components: as determined according to appendix B in 40 collected solutions. If it is necessary to filter CFR part 136. Similarly, inductively coupled the Cr+6 solutions, please refer to Method * * * * * plasma-mass spectroscopy (ICP–MS) may be 0061, Determination of Hexavalent 8.1 Pretest preparation. It is suggested used for total chromium analysis provided Chromium Emissions from Stationary that sampling equipment be maintained the procedures for ICP–MS analysis Sources, Section 7.4, Sample Preparation in according to the procedures described in described in Method 6020 or 6020A (EPA SW–846 (see Reference 1). APTD–0576. Alternative mercury-free Office of Solid Waste, publication SW–846) * * * * * thermometers may be used if the are followed. thermometers are at a minimum equivalent * * * * * Method 308—Procedure for Determination in terms of performance or suitably effective 6.1.4 Operating and maintenance of Methanol Emission From Stationary for the specific temperature measurement procedures for the sampling train are Sources application. described in APTD–0576 of Method 5. Users * * * * * * * * * *

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10.5 Temperature sensors. Use the Method 316—Sampling and Analysis for specific temperature measurement procedure in Section 10.3 of Method 2, 40 Formaldehyde Emissions From Stationary application. CFR part 60, appendix A–1 to calibrate in- Sources in the Mineral Wool and Wool * * * * * stack temperature sensors. Dial Fiberglass Industries thermometers, such as are used for the DGM Test Method 321—Measurement of Gaseous * * * * * Hydrogen Chloride Emissions at Portland and condenser outlet, shall be calibrated 10.5 Temperature gauges: Use the Cement Kilns by Fourier Transform Infrared against mercury-in-glass thermometers. An procedure in Section 4.3 of EPA Method 2 to (FTIR) Spectroscopy alternative mercury-free thermometer may be calibrate in-stack temperature gauges. Dial used if the thermometer is, at a minimum, * * * * * thermometers, such as are used for the dry 9.3.1 * * * equivalent in terms of performance or gas meter and condenser outlet, shall be DF = Dilution Factor (Total flow/Spike flow). suitably effective for the specific temperature calibrated against mercury-in-glass Total flow = spike flow plus effluent measurement application. thermometers. An alternative mercury-free flow. * * * * * thermometer may be used if the thermometer * * * * * is, at a minimum, equivalent in terms of [FR Doc. 2014–02704 Filed 2–26–14; 8:45 am] performance or suitably effective for the BILLING CODE 6560–50–P

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Reader Aids Federal Register Vol. 79, No. 39 Thursday, February 27, 2014

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 1 CFR 1717...... 6740 Executive orders and proclamations 741–6000 1720...... 6740 456...... 10951 The United States Government Manual 741–6000 1721...... 6740 2 CFR 1724...... 6740 Other Services 1726...... 6740 Electronic and on-line services (voice) 741–6020 Ch. XX ...... 9981 1737...... 6740 Privacy Act Compilation 741–6064 3 CFR 1738...... 6740 Public Laws Update Service (numbers, dates, etc.) 741–6043 1739...... 6740 TTY for the deaf-and-hard-of-hearing 741–6086 Proclamations: 1740...... 6740 9079...... 6795 1753...... 6740, 8327 9080...... 6797 ELECTRONIC RESEARCH 1755...... 8327 9081...... 6799 1774...... 6740 World Wide Web 9082...... 8821 1775...... 6740 Full text of the daily Federal Register, CFR and other publications Executive Orders: 1779...... 6740 is located at: www.fdsys.gov. 13657...... 8823 1780...... 6740 Federal Register information and research tools, including Public 13658...... 9851 1781...... 6740 Inspection List, indexes, and Code of Federal Regulations are 13659...... 10657 1782...... 6740 located at: www.ofr.gov. Administrative Orders: 1924...... 6740 Memorandums: 1940...... 6740 E-mail Memorandum of 1942...... 6740 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is January 20, 2014 ...... 6453 1944...... 6740 an open e-mail service that provides subscribers with a digital Memorandum of 1948...... 6740 form of the Federal Register Table of Contents. The digital form January 29, 2014 ...... 6455 1951...... 6740 of the Federal Register Table of Contents includes HTML and Memorandum of 1955...... 6740 PDF links to the full text of each document. January 30, 2014 ...... 7041 1962...... 6740 To join or leave, go to http://listserv.access.gpo.gov and select Memorandum of 1970...... 6740 Online mailing list archives, FEDREGTOC-L, Join or leave the list January 31, 2014 ...... 7045 1980...... 6740 (or change settings); then follow the instructions. Memorandum of 3550...... 6740 PENS (Public Law Electronic Notification Service) is an e-mail January 31, 2014 ...... 8079 3560...... 6740 service that notifies subscribers of recently enacted laws. Notices: 3570...... 6740 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Notice of February 4, 3575...... 6740 and select Join or leave the list (or change settings); then follow 2014 ...... 7047 4274...... 6740 the instructions. Notice of February 20, 4279...... 6740 FEDREGTOC-L and PENS are mailing lists only. We cannot 2014 ...... 10329 4280...... 6740 respond to specific inquiries. Reference questions. Send questions and comments about the Notice of February 25, 4284...... 6740 Federal Register system to: [email protected] 2014 ...... 10949 4290...... 6740 The Federal Register staff cannot interpret specific documents or 5 CFR 8 CFR regulations. Reminders. Effective January 1, 2009, the Reminders, including Ch. XLVIII ...... 9981 Proposed Rules: Rules Going Into Effect and Comments Due Next Week, no longer 6901...... 7565 Ch. I ...... 10760 appear in the Reader Aids section of the Federal Register. This 6 CFR 9 CFR information can be found online at http://www.regulations.gov. CFR Checklist. Effective January 1, 2009, the CFR Checklist no Proposed Rules: 94...... 7567 longer appears in the Federal Register. This information can be Ch. I ...... 10760 Proposed Rules: found online at http://bookstore.gpo.gov/. 3...... 7592 7 CFR 94...... 10999 FEDERAL REGISTER PAGES AND DATE, FEBRUARY 210...... 7049 245...... 7049 10 CFR 6077–6452...... 3 10331–10660...... 25 920...... 7365 Ch. I ...... 9981 6453–6794...... 4 10661–10950...... 26 946...... 8253 430...... 7366, 7846 6795–7046...... 5 10951–11294...... 27 947...... 9984 431...... 7746 7047–7364...... 6 948...... 9986 Proposed Rules: 7365–7564...... 7 966...... 9987 Ch. I ...... 7406 7565–8080...... 10 980...... 8253 2...... 8097 8081–8252...... 11 Proposed Rules: 30...... 8097 8253–8602...... 12 210...... 6488, 10693 40...... 8097 8603–8822...... 13 220...... 10693 50...... 8097 8823–9082...... 14 235...... 6488 52...... 8097 9083–9378...... 18 930...... 10423 60...... 8097 9379–9620...... 19 945...... 10423 61...... 8097 9621–9854...... 20 1703...... 6740 63...... 8097 9855–9980...... 21 1709...... 6740 70...... 8097 9981–10330...... 24 1710...... 6740 71...... 8097

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72...... 8097 748...... 7105 707...... 8614 100...... 6506, 7408 76...... 8097 750...... 7105 713...... 8618 110...... 10438 110...... 8097 758...... 7105 117...... 8911 150...... 8097 772...... 7105 23 CFR 165...... 9118 429 ...... 8112, 8886, 9818 636...... 8263 37 CFR 430...... 8122 16 CFR Proposed Rules: 431 .....6839, 8112, 8337, 8903, 1500...... 8825 Ch. I ...... 11051 Proposed Rules: 9643, 9818, 10999 Proposed Rules: Ch. II ...... 11051 1...... 9677 2...... 9678 12 CFR 423...... 9442 Ch. III ...... 11051 1101...... 10712 7...... 9678 261...... 6077 24 CFR 39 CFR 602...... 10661 17 CFR Proposed Rules: 618...... 10661 230...... 7570 50...... 11045 Proposed Rules: 621...... 10661 58...... 11045 501...... 10994 1071...... 7569 240...... 7570 260...... 7570 961...... 9120 Proposed Rules: 26 CFR 40 CFR 216...... 8904 18 CFR 1...... 8544, 10663 222...... 9645 9...... 6470, 8273 157...... 6808 54...... 8544, 10296 229...... 6674 301...... 8544 51...... 11228 230...... 9647 375...... 9402 Proposed Rules: 52 ...... 7067, 7070, 7072, 8090, 612...... 9649 19 CFR 8632, 8861, 9097, 10377, 651...... 10426 1 ...... 7110, 10054, 10055 54...... 10320 10385, 10391, 10995 700...... 11184 Proposed Rules: 60...... 11228 Ch. I ...... 10760 701...... 11184 27 CFR 61...... 11228 702...... 11184 63...... 11228 703...... 11184 20 CFR 447...... 7392 479...... 7392 152...... 6819 713...... 11184 403...... 7576 174...... 8293 Proposed Rules: 723...... 11184 404...... 10661 141...... 10665 9...... 10742 747...... 11184 429...... 7576 142...... 10665 619...... 9404 14 CFR 28 CFR 180 .....6092, 6826, 7397, 7401, Proposed Rules: 8091, 8295, 8301, 9856, 25 ...... 7054, 7370, 7372, 9379, 50...... 10989 404 ...... 9663, 10636, 10730 9861, 10670, 10678, 10683 9380 59...... 10989 405...... 9663 260...... 7518 39 ...... 7374, 7377, 7380, 7382, 416...... 9663 Proposed Rules: 262...... 7518 7386, 7388, 8081, 9382, 552...... 8910 263...... 7518 9385, 9387, 9389, 9392, 21 CFR 29 CFR 264...... 7518 9395, 9398, 9400, 9990, 17...... 6088 9991, 10331, 10333, 10335, 265...... 7518 106 ...... 7609, 7610, 7934, 9412 1952...... 8856 271...... 7518 10337, 10340, 10342, 10344, 107...... 7934, 9412 1987...... 8619 10346, 10348, 10350, 10959 721...... 6470, 8273 179...... 10353 2590...... 10296 1039...... 7077 71 ...... 6077, 6801, 6803, 7055, 510...... 10963 4022...... 8857 8603, 8604, 8605, 8606, 1042...... 7077 520...... 10963 Proposed Rules: 1068...... 7077 9855, 9994, 9995 522...... 10963 101...... 7318, 10747 91...... 9932 Proposed Rules: 524...... 10965 102...... 7318, 10747 97...... 6804, 6805 49...... 10441 526...... 10963, 10965 103...... 7318, 10747 120...... 9932 50...... 8644 529...... 10963, 10965 1926...... 7611 121 ...... 6078, 6082, 8257 51...... 9318 556...... 10974, 10976 2590...... 10320 125...... 6082 52 ...... 6842, 7118, 7126, 7410, 558 ...... 10963, 10974, 10976 135...... 6082, 9932 30 CFR 7412, 8130, 8133, 8368, 1214...... 7391 800...... 9412 8645, 8914, 8916, 8923, 803...... 8832 Proposed Rules: Proposed Rules: 9123, 9133, 9134, 9697, 806...... 9413 553...... 10056 Ch. I ...... 11051 9701, 10442, 10447, 10448, 882...... 9083 Ch. II ...... 11051 10451, 11050 1308...... 7577, 10985 31 CFR Ch. III ...... 11051 60...... 6330, 10750 353...... 8858 21...... 11004 Proposed Rules: 70...... 10750 360...... 8858 25...... 7406 1...... 7006, 8907 71...... 10750 39 ...... 6102, 6104, 6106, 6109, 15...... 10740 363...... 8858 81 ...... 6842, 8133, 9134 7098, 7103, 7592, 7596, 16...... 6111 1010...... 10365 82...... 7417 7598, 7601, 7603, 8350, 17...... 6112 1030...... 10365 98...... 10750 106...... 7611 8358, 8905, 9661, 9868, 32 CFR 141...... 10752 10429, 10431, 10433, 10707, 225...... 6111 142...... 10752 10710, 11013, 11016, 11019, 500...... 6111 329...... 6809 180...... 9870, 10458 11022 507...... 6111, 6116 Proposed Rules: 190...... 6509 45...... 11004 573...... 7611 311...... 11048 261...... 8926 71 ...... 6841, 8129, 8360, 8362, 579...... 6111 317...... 7114 262...... 8926 890...... 9670, 9671 721...... 7621 8363, 8364, 8365, 8367, 33 CFR 8637 1308...... 8639, 11037 1700...... 6117 73...... 6504 100...... 6457, 9085 251...... 10049 22 CFR 110...... 7064 41 CFR 1206...... 9430, 10435 41...... 7582 117 .....7064, 7396, 7584, 8266, Proposed Rules: 1260...... 10436 120...... 8082 8269, 8270, 8860, 10011, 61–250...... 10063 122...... 8082 10012, 10013 61–300...... 10063 15 CFR 126...... 8082 147...... 6817 902...... 9995 127...... 8082 165 ...... 6468, 7584, 9086, 9088 42 CFR 906...... 7056 128...... 8082 211...... 7065 88...... 9100 Proposed Rules: 130...... 8082 Proposed Rules: 424...... 6475 4...... 11025 706...... 8607 Ch. I ...... 10760 482...... 10395

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493...... 7290 Proposed Rules: 79...... 7590 382...... 9703 Proposed Rules: 147...... 10320 Proposed Rules: Ch. IV...... 11051 403...... 9872 170...... 10880 25...... 9445 Ch. V...... 11051 414...... 10754 262...... 7127 64...... 8935 575...... 9792 416...... 9872 264...... 7127 73...... 11052 Ch. VI...... 11051 418...... 9872 1626...... 6859 79...... 7136 Ch. VII...... 11051 441...... 9872 Ch. VIII...... 11051 46 CFR 460...... 9872 48 CFR Ch. X ...... 7627, 11051 482...... 9872 1...... 10686 1815...... 10687 Ch. XI...... 11051 483...... 9872 10...... 10686 1852...... 10687 Ch. XII...... 10760 484...... 9872 11...... 10686 Proposed Rules: 485...... 9872 12...... 10686 Ch. II ...... 8402 50 CFR 486...... 9872 13...... 10686 Ch. XII...... 11051 491...... 9872 14...... 10686 2...... 10461 17...... 10236 494...... 9872 15...... 10686 5...... 6135 217...... 10016 28...... 8864 6...... 6135 622 .....6097, 8635, 9427, 9866, 44 CFR Proposed Rules: 18...... 6135 10028 64 ...... 6833, 7087, 10014 Ch. I ...... 10760 19...... 6135 635...... 10028 206...... 10685 Ch. II ...... 11051 52...... 6135 648 ...... 8786, 10029, 10421 Proposed Rules: 298...... 10075 212...... 8387 660...... 6486 Ch. I ...... 10760 Ch. III ...... 10760 225...... 8387 679 .....6837, 7404, 7590, 8870, 252...... 8387 9428, 9625, 9995, 10691 45 CFR 47 CFR Proposed Rules: 49 CFR 144...... 10296 1 ...... 7587, 9427, 9622 17 ...... 6871, 6874, 7136, 7627, 146...... 10296 4...... 7589 541...... 7090 8402, 8413, 8416, 8656, 147...... 10296 12...... 7589 571...... 10396 8668, 10077, 11053 164...... 7290 22...... 9622 Proposed Rules: 21...... 9152 1100...... 9621 25...... 8308 Ch. I ...... 11051 29...... 10080 1611...... 6836, 8863 27 ...... 7587, 9427, 9622 177...... 10461 300 .....6876, 7152, 7156, 8150, 1171...... 9413 73 ...... 8252, 8870, 9622, 10016 Ch. II ...... 11051 10465 1184...... 9421 74...... 9622 Ch. III ...... 11051 660...... 6527, 9592

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Superintendent of Documents, S.J. Res. 29 / P.L. 113–85 enacted public laws. To U.S. Government Printing Providing for the appointment subscribe, go to http:// LIST OF PUBLIC LAWS Office, Washington, DC 20402 of Risa Lavizzo-Mourey as a listserv.gsa.gov/archives/ (phone, 202–512–1808). The citizen regent of the Board of publaws-l.html This is a continuing list of text will also be made Regents of the Smithsonian public bills from the current available on the Internet from Institution. (Feb. 21, 2014; 128 Note: This service is strictly session of Congress which GPO’s Federal Digital System Stat. 1014) have become Federal laws. (FDsys) at http://www.gpo.gov/ for E-mail notification of new Last List February 20, 2014 This list is also available fdsys. Some laws may not yet laws. The text of laws is not online at http:// be available. available through this service. www.archives.gov/federal- PENS cannot respond to register/laws. S.J. Res. 28 / P.L. 113–84 Public Laws Electronic Providing for the appointment specific inquiries sent to this Notification Service address. The text of laws is not of John Fahey as a citizen (PENS) published in the Federal regent of the Board of Register but may be ordered Regents of the Smithsonian in ‘‘slip law’’ (individual Institution. (Feb. 21, 2014; 128 PENS is a free electronic mail pamphlet) form from the Stat. 1013) notification service of newly

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