Vol. 82 Tuesday, No. 6 January 10, 2017

Pages 2849–3130

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 82, No. 6

Tuesday, January 10, 2017

Agriculture Department Defense Department See Grain Inspection, Packers and Stockyards NOTICES Administration Agency Information Collection Activities; Proposals, See Rural Utilities Service Submissions, and Approvals, 2970 Arms Sales, 2964–2975 Alcohol and Tobacco Tax and Trade Bureau Charter Amendments, Establishments or Renewals: RULES United States Naval Academy Board of Visitors, 2966 Civil Monetary Penalty Inflation Adjustments: Meetings: Alcoholic Beverage Labeling Act, 2892–2893 National Intelligence University Board of Visitors, 2964

Bureau of Consumer Financial Protection Education Department PROPOSED RULES NOTICES Supplemental Standards of Ethical Conduct for Employees Meetings: of the Bureau of Consumer Financial Protection, 2921– National Advisory Committee on Institutional Quality 2929 and Integrity, 2975–2977

Centers for Disease Control and Prevention Energy Department NOTICES RULES Meetings: Energy Efficiency Standards: Advisory Committee to the Director, Centers for Disease Design and Construction of New Federal Low-Rise Control and Prevention—Health Disparities Residential Buildings’ Baseline Standards Update, Subcommittee, 2997 2857–2868

Centers for Medicare & Medicaid Services Environmental Protection Agency NOTICES RULES Agency Information Collection Activities; Proposals, Pesticide Tolerances: Submissions, and Approvals, 2997–2998 Tetraconazole, 2900–2906 Protection of Visibility: Chemical Safety and Hazard Investigation Board Requirements for State Plans, 3078–3129 NOTICES Tolerance Exemptions: Meetings; Sunshine Act, 2945 Butanedioic acid, 2-methylene-, telomer with sodium Children and Families Administration phosphinate (1:1), acidified, potassium salts, 2897– NOTICES 2900 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 2998–2999 Funding Availability: Applications for Credit Assistance under the Water Coast Guard Infrastructure Finance and Innovation Act (WIFIA) RULES Program, 2933–2938 Anchorage Regulations: Special Anchorage Areas; Marina del Rey Harbor, Marina Export-Import Bank del Rey, CA, 2893–2896 NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Special Local Regulations: Submissions, and Approvals, 2977 Mavericks Surf Competition, Half Moon Bay, CA, 2930– 2933 Federal Aviation Administration NOTICES RULES Update to Alternative Planning Criteria National Class D and E Airspace, Amendments; Class E Airspace, Guidelines, 3016 Revocations: Roswell, NM, 2871–2873 Commerce Department Class E Airspace, Amendments: See Foreign-Trade Zones Board Algona, IA; Ankeny, IA; Atlantic, IA; Belle Plane, IA; See Industry and Security Bureau Creston, IA; Estherville, IA; Grinnell, IA; Guthrie See International Trade Administration Center, IA; Oelwein, IA, 2868–2870 See National Oceanic and Atmospheric Administration Land O’ Lakes, WI; Manitowish Waters, WI; Merrill, WI; NOTICES Oconto, WI; Phillips, WI; Platteville, WI; Solon Agency Information Collection Activities; Proposals, Springs, WI; Superior, WI; West Bend, WI, 2873– Submissions, and Approvals, 2945–2946 2875 VOR Federal Airway V–506; Amendments: Commodity Futures Trading Commission Kotzebue, AK;, 2870–2871 NOTICES NOTICES Agency Information Collection Activities; Proposals, Airport Property Releases: Submissions, and Approvals, 2963 South Texas Regional Airport, Hondo, TX, 3071

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Meetings: Grain Inspection, Packers and Stockyards Administration RTCA Drone Advisory Committee, 3071 NOTICES Thirty First RTCA 216 Aeronautical Systems Security Designation Opportunities: Plenary, 3071–3072 Casa Grande, AZ, Area, 2939–2940 Petitions for Exemption; Summaries, 3072 Designations: Petitions for Exemption; Summaries: Fremont Grain Inspection Department, Inc. to provide AgrowSoft, LLC, 3072–3073 Class X or Class Y Weighing Services, 2939

Federal Emergency Management Agency Health and Human Services Department NOTICES See Centers for Disease Control and Prevention Guidance: See Centers for Medicare & Medicaid Services Tribal Declarations Pilot, 3016–3017 See Children and Families Administration See Food and Drug Administration Federal Financial Institutions Examination Council See Indian Health Service NOTICES See National Institutes of Health Appraisal Subcommittee Proposed Revised Policy See Substance Abuse and Mental Health Services Statements, 2977–2995 Administration Federal Highway Administration NOTICES Requests for Information: NOTICES Final Federal Agency Actions: Organizations Utilizing Business Models Supporting Proposed Highway in North Carolina, 3073–3074 Private Sector Vaccine Management, 3006–3007 Statement of Organization, Functions, and Delegations of Federal Labor Relations Authority Authority, 3005–3006 RULES Availability of Official Information, 2849–2857 Homeland Security Department See Coast Guard Federal Motor Carrier Safety Administration See Federal Emergency Management Agency RULES See U.S. Citizenship and Immigration Services Commercial Driver’s License Requirements: Minimum Training Requirements for Entry-Level Indian Health Service Commercial Motor Vehicle Operators; Correction, NOTICES 2915–2916 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Federal Reserve System Environmental Health Assessment of Tribal Child Care NOTICES Centers in the Pacific Northwest, 3007–3008 Agency Information Collection Activities; Proposals, Funding Opportunities: Submissions, and Approvals, 2995–2997 Indian Health Professions Preparatory, Indian Health Changes in Bank Control: Professions Pre-Graduate and Indian Health Acquisitions of Shares of a Bank or Bank Holding Professions Scholarship Programs, 3008–3013 Company, 2997 Formations of, Acquisitions by, and Mergers of Bank Industry and Security Bureau Holding Companies, 2995 RULES Fish and Wildlife Service Certain Persons and Modification of Certain Entries to the Entity List; Additions and Removals, 2883–2889 NOTICES Export Administration Regulations: Endangered Species Recovery Permit; Applications, 3019– Control of Spacecraft Systems and Related Items the 3023 President Determines No Longer Warrant Control Food and Drug Administration under the United States Munitions List, 2875–2883 NOTICES Agency Information Collection Activities; Proposals, Interior Department Submissions, and Approvals: See Fish and Wildlife Service Citizen Petitions and Petitions for Stay of Action Subject See Land Management Bureau to the Federal Food, Drug, and Cosmetic Act, 2999– See National Park Service 3001 Guidance: International Trade Administration Annual Reporting by Prescription Drug Wholesale NOTICES Distributors and Third-Party Logistics Providers, Antidumping or Countervailing Duty Investigations, Orders, 3004–3005 or Reviews: Recommendations for Assessment of Blood Donor Certain New Pneumatic Off-the-Road Tires from India, Eligibility, Donor Deferral and Blood Product 2946–2949 Management in Response to Ebola Virus, 3002–3004 Certain New Pneumatic Off-the-Road Tires from Sri Lanka, 2949–2951 Foreign-Trade Zones Board Opportunity to Request Administrative Review, 2951– NOTICES 2953 Subzone Status; Approvals: Council Establishments: Jos. A. Bank Manufacturing Co., Hampstead and U.S. Department of Commerce Advisory Council on Eldersburg, MD, 2946 Trade Enforcement and Compliance, 2953–2954

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International Trade Commission Takes of Threatened or Endangered Marine Mammals NOTICES Incidental to Specific Activities: Investigations; Determinations, Modifications, and Rulings, Commercial Fishing Operations; Proposed Issuance of etc.: Permit, 2954–2960 Certain Document Cameras and Software for Use Therewith, 3024–3025 National Park Service NOTICES Justice Department Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Membership Applications: National Park Service Visitor Survey Card, 3024 National Commission on Forensic Science; Additional Statistician Commission, 3025–3026 Nuclear Regulatory Commission NOTICES Land Management Bureau Environmental Assessments; Availability, etc.: RULES FirstEnergy Nuclear Operating Company; Davis-Besse Onshore Oil and Gas Operations: Nuclear Power Station, Unit No. 1, 3028–3030 Federal and Indian Oil and Gas Leases; Onshore Oil and Gas Order Number 1, Approval of Operations, 2906– Postal Service 2915 RULES NOTICES Production or Disclosure of Material or Information, 2896 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 3023–3024 Rural Utilities Service NOTICES Management and Budget Office Grant Application Deadlines and Funding Levels, 2940– NOTICES 2945 Discount Rates for Cost-Effectiveness Analysis of Federal Programs, 3026–3027 Securities and Exchange Commission NOTICES National Archives and Records Administration Applications: NOTICES Hartford Funds Exchange-Traded Trust, et al., 3056–3058 Records Schedules; Availability, 3027–3028 Krane Funds Advisors, LLC, et al., 3044–3045 Meetings; Sunshine Act, 3030 National Endowment for the Arts Self-Regulatory Organizations; Proposed Rule Changes: International Securities Exchange, LLC, 3055–3056 NOTICES ISE Gemini, LLC, 3034–3035, 3043–3044 Meetings: ISE Mercury, LLC, 3058–3061 Arts Advisory Panel, 3028 National Securities Clearing Corp., 3030–3034 Federal Advisory Committee on International Exhibitions, New York Stock Exchange LLC, 3045–3052, 3067–3068 3028 NYSE Arca, Inc., 3042, 3061–3067 NYSE MKT LLC, 3035–3042, 3052–3055, 3068–3069 National Foundation on the Arts and the Humanities See National Endowment for the Arts State Department RULES National Institutes of Health International Traffic in Arms Regulations: NOTICES Revision of U.S. Munitions List Category XV, 2889–2892 Meetings: NOTICES Eunice Kennedy Shriver National Institute of Child Culturally Significant Objects Imported for Exhibition: Health and Human Development, 3014 Abstract Experiments—Latin American Art on Paper after National Institute of Environmental Health Sciences, 1950 Exhibition, 3070 3014 Alfred Sisley (1839–1899): Impressionist Master, 3070– National Library of Medicine, 3013 3071 Office of Dietary Supplements Strategic Plan for 2017–2021, Seurat’s Circus Sideshow Exhibition, 3069 3013–3014 Designations as Global Terrorists: Hamza bin Laden, 3070 National Oceanic and Atmospheric Administration Ibrahim al-Banna, aka Shaykh Ibrahim Muhammad Salih RULES al-Banna, aka Ibrahim Muhammad Salih al-Banna, Fisheries of the Exclusive Economic Zone Off Alaska: aka Ibrahim Muhamad Salih al-Banna, aka Abu Inseason Adjustment to the 2017 Bering Sea and Aleutian Ayman al-Masri, 3070 Islands Pollock, Atka Mackerel, and Pacific cod Total Meetings: Allowable Catch Amounts, 2916–2920 Funding Initiatives to End Modern Slavery, 3069–3070 NOTICES Agency Information Collection Activities; Proposals, Substance Abuse and Mental Health Services Submissions, and Approvals, 2962–2963 Administration List of Foreign Fisheries, 2961–2962 Requests for Nominations: NOTICES Western and Central Pacific Fisheries Commission Meetings: Permanent Advisory Committee, 2960–2961 National Advisory Council, 3015–3016

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Transportation Department Meetings: See Federal Aviation Administration Advisory Committee on Former Prisoners of War, 3074– See Federal Highway Administration 3075 See Federal Motor Carrier Safety Administration Treasury Department See Alcohol and Tobacco Tax and Trade Bureau Separate Parts In This Issue NOTICES Interest Rate Paid on Cash Deposited to Secure U.S. Immigration and Customs Enforcement Immigration Part II Bonds, 3074 Environmental Protection Agency, 3078–3129 U.S. Citizenship and Immigration Services NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals: Citizenship and Integration Direct Services Grant Consult the Reader Aids section at the end of this issue for Program, 3018 phone numbers, online resources, finding aids, and notice Record of Abandonment of Lawful Permanent Resident of recently enacted public laws. Status, 3017 To subscribe to the Federal Register Table of Contents electronic mailing list, go to https://public.govdelivery.com/ Veterans Affairs Department accounts/USGPOOFR/subscriber/new, enter your e-mail NOTICES address, then follow the instructions to join, leave, or Agency Information Collection Activities; Proposals, Submissions, and Approvals: manage your subscription. Application Requirements to Receive VA Dental Insurance Plan Benefits, 3075

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CFR PARTS AFFECTED IN THIS ISSUE

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

5 CFR 2411...... 2849 Proposed Rules: 9401...... 2921 10 CFR 435...... 2857 14 CFR 71 (4 documents) ...2868, 2870, 2871, 2873 15 CFR 740...... 2875 742...... 2875 744...... 2883 750...... 2875 774...... 2875 22 CFR 121...... 2889 27 CFR 16...... 2892 33 CFR 110...... 2893 Proposed Rules: 100...... 2930 39 CFR 265...... 2896 40 CFR 51...... 3078 52...... 3078 180 (2 documents) ...... 2897, 2900 Proposed Rules: 35...... 2933 43 CFR 3160...... 2906 49 CFR 383...... 2915 384...... 2915 50 CFR 679...... 2916

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Rules and Regulations Federal Register Vol. 82, No. 6

Tuesday, January 10, 2017

This section of the FEDERAL REGISTER and streamline the language of some also now notifies a requester of the contains regulatory documents having general procedural provisions, the FLRA is dispute-resolution services offered by applicability and legal effect, most of which making the following changes: OGIS. are keyed to and codified in the Code of • Section 2411.4 is amended to • Section 2411.11 is amended to Federal Regulations, which is published under emphasize the ability to view records 50 titles pursuant to 44 U.S.C. 1510. again notify requesters of the electronically on the FLRA’s Web site. availability of OGIS and its dispute- Because all of the FLRA’s disclosable The Code of Federal Regulations is sold by resolution services. the Superintendent of Documents. Prices of records under 5 U.S.C. 552(a)(2) are • new books are listed in the first FEDERAL available on the FLRA’s Web site, Section 2411.12 is amended to state REGISTER issue of each week. section 2411.4 is also amended to that no search or review fees will be eliminate the procedure for requesting charged for a quarter-hour period unless use of a computer terminal at the more than half of that period is required FEDERAL LABOR RELATIONS FLRA’s headquarters or one of its for search or review. This section is also AUTHORITY regional offices. Finally, section 2411.4 amended to elaborate on how a is amended to reflect the requirement requester may submit a fee waiver, as 5 CFR Part 2411 under the FOIA Improvement Act of well as to describe the obligations on Availability of Official Information 2016 that agencies make available for the requester when a fee waiver is public inspection, in electronic format, denied. Additionally, the section is AGENCY: Federal Labor Relations records that have been requested three amended to explain the consequences of Authority. or more times. failing to pay fees, such as the agency ACTION: Final rule. • Section 2411.6 is amended to notify closing the matter without further requesters that they may contact the processing the request. SUMMARY: This rulemaking amends the FLRA’s Chief FOIA Officer or FOIA • Section 2411.15 is amended to regulations that the Federal Labor Public Liaison to discuss and to receive incorporate the additional reporting Relations Authority (FLRA) follows in assistance in processing records requirements related to the agency’s processing records under the Freedom requests. This section also updates the FOIA annual report, including that the of Information Act (FOIA) to comply information that is listed in the agency’s report will provide raw statistical data with the FOIA Improvement Act of public FOIA logs to include, among 2016. The amendments would clarify other things, whether any exemptions to the public. and update procedures for requesting were applied in processing a request. This rule is internal and procedural information from the FLRA and The section additionally describes the rather than substantive. It does not procedures that the FLRA follows in agency’s consultation, referral, and create a right to obtain FLRA records, responding to requests from the public. coordination efforts with other agencies nor does it create any additional right or DATES: Effective January 24, 2017. in processing FOIA requests. privilege not already available to the FOR FURTHER INFORMATION CONTACT: If • Section 2411.7 is amended to public as a result of the FOIA you have any comments or questions, describe that the agency will inform a Improvement Act of 2016. It merely please contact Fred B. Jacob, Solicitor, requester of the availability of the adopts the improvements mandated in Chief FOIA Officer, Federal Labor FLRA’s FOIA Public Liaison to assist in the Act and builds upon the previous Relations Authority, 1400 K Street NW., processing his or her request. agency procedures for processing FOIA- Washington, DC 20424; (202) 218–7999; • Section 2411.8 describes the time related requests. fax: (202) 343–1007; or email: solmail@ limits for processing FOIA requests and flra.gov. provides instances in which fees will Regulatory Flexibility Act Certification SUPPLEMENTARY INFORMATION: On June not be assessed if an agency component Pursuant to section 605(b) of the 30, 2016, President Obama signed into fails to comply with deadlines listed in Regulatory Flexibility Act, 5 U.S.C. law the FOIA Improvement Act of 2016. 5 U.S.C. 552(a)(4)(A). The section is 605(b), the FLRA has determined that The Act specifically requires all amended to further describe exceptions this regulation, as amended, will not agencies to review and update their under this rule, including, for instance, have a significant impact on a FOIA regulations in accordance with its when unusual circumstances are substantial number of small entities. provisions, and the FLRA is making present and when large numbers of changes to its regulations accordingly. documents are necessary to respond to Unfunded Mandates Reform Act of Among other things, the Act addresses the request. This section is also 1995 a range of procedural issues that affect amended to explain that in the case of agency FOIA regulations, including a denial, the agency will notify the This rule change will not result in the requirements that agencies establish a requester of additional assistance that is expenditure by state, local, and tribal minimum of 90 days for requesters to available, specifically from the FLRA’s governments, in the aggregate, or by the file an administrative appeal and that FOIA Public Liaison and the Office of private sector, of $100,000,000 or more they provide dispute-resolution services Government Information Services in any one year, and it will not at various times throughout the FOIA (OGIS). significantly or uniquely affect small process. In addition to some minor non- • Section 2411.10, describing how a governments. Therefore, no actions were substantive changes to correct requester can appeal a denied request, is deemed necessary under the provisions typographical errors, make small amended to provide the requester with of the Unfunded Mandates Reform Act stylistic adjustments for clarification, 90 calendar days to appeal. This section of 1995.

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Small Business Regulatory Enforcement Authority component (Authority), the Officer, who has agency-wide Fairness Act of 1996 General Counsel of the FLRA (General responsibility for the efficient and This action is not a major rule as Counsel), the Federal Service Impasses appropriate compliance with the FOIA. defined by section 804 of the Small Panel (Panel), and the Inspector General The Chief FOIA Officer monitors the Business Regulatory Enforcement of the FLRA (IG), follow in processing implementation of the FOIA throughout Fairness Act of 1996, 5 U.S.C. 804. This requests for information under the the agency. rule will not result in an annual effect Freedom of Information Act, as (b) Authority/General Counsel/Panel/ on the economy of $100,000,000 or amended, 5 U.S.C. 552 (FOIA) These IG. Regional Directors of the Authority, more; a major increase in costs or prices; regulations should be read in the FOIA Officer of the Office of the or significant adverse effects on conjunction with the text of the FOIA General Counsel, Washington, DC, the competition, employment, investment, and the Uniform Freedom of Solicitor of the Authority, the Executive productivity, innovation, or on the Information Fee Schedule and Director of the Panel, and the IG are ability of United States-based Guidelines published by the Office of delegated the exclusive authority to act companies to compete with foreign- Management and Budget. Requests by upon all requests for information, individuals for records about based companies in domestic and documents, and records that are themselves under the Privacy Act of export markets. received from any person or 1974, 5 U.S.C. 552a, are processed in organization under § 2411.5(a) and (b). Paperwork Reduction Act of 1995 accordance with the Authority’s Privacy (c) FOIA Public Liaison(s). The Chief The amended regulations contain no Act regulations, see 5 CFR part 2412, as FOIA Officer shall designate the FOIA additional information-collection or well as under this subpart. Public Liaison(s), who shall serve as the record-keeping requirements under the ■ 3. Revise § 2411.2 to read as follows: supervisory official(s) to whom a FOIA requester can raise concerns about the Paperwork Reduction Act of 1995, 44 § 2411.2 Scope. U.S.C. 3501, et seq. service that the FOIA requester has (a) For the purpose of this part, the received following an initial response. Public Participation term record and any other term used in ■ 5. Amend § 2411.4 by revising This rule is published as a final rule. reference to information includes any paragraphs (a) through (c) and (e) and (f) It is exempt from public comment, information that would be subject to the to read as follows: pursuant to 5 U.S.C. 553(b)(A), as a rule requirements of 5 U.S.C. 552 when of ‘‘agency organization, procedure, or maintained by the Authority, the § 2411.4 Information policy. practice.’’ If you wish to contact the General Counsel, the Panel, or the IG in (a)(1) It is the policy of the Authority, agency, please do so at the above listed any format, including an electronic the General Counsel, the Panel, and the address. However, before including your format. All written requests for IG to make available for public address, phone number, email address, information from the public that are not inspection in an electronic format: or other personal identifying processed under parts 2412 and 2417 of (i) Final decisions and orders of the information in your comment, you this chapter will be processed under Authority and administrative rulings of should be aware that your entire this part. The Authority, the General the General Counsel; procedural comment—including your personal Counsel, the Panel, and the IG may each determinations, final decisions and identifying information—may be made continue, regardless of this part, to orders of the Panel; factfinding and publicly available at any time. While furnish the public with the information arbitration reports; and reports and you can ask us in your comment to that it has furnished in the regular executive summaries of the IG; withhold your personal identifying course of performing its official duties, (ii) Statements of policy and information from public review, we unless furnishing the information would interpretations that have been adopted cannot guarantee that we will be able to violate the Privacy Act of 1974, 5 U.S.C. by the Authority, the General Counsel, do so. 552a, or another law. the Panel, or the IG and that are not (b) When the subject of a record, or published in the Federal Register; List of Subjects in 5 CFR Part 2411 the subject’s representative, requests the (iii) Administrative staff manuals and Freedom of Information Act. record from a Privacy Act system of instructions to staff that affect a member records, as that term is defined by 5 For the reasons stated in the of the public (except those establishing U.S.C. 552a(a)(5), and the FLRA preamble, the Authority amends 5 CFR internal operating rules, guidelines, and retrieves the record by the subject’s part 2411 as follows: procedures for the investigation, trial, name or other personal identifier, the and settlement of cases); PART 2411—AVAILABILITY OF FLRA will handle the request under the (iv) Copies of all records, regardless of OFFICIAL INFORMATION procedures and subject to the fees set form or format, that have been released out in part 2412. When a third party to any person under 5 U.S.C. 552(a)(3) ■ 1. The authority citation for part 2411 requests access to those records, without and that: is revised to read as follows: the written consent of the subject of the (A) Because of the nature of their Authority: 5 U.S.C. 552, as amended; record, the FLRA will process the subject matter, the Authority, the Freedom of Information Improvement Act of request under this part. General Counsel, the Panel, or the IG 2016, Pub. L. 114–185, 130 Stat. 528; (c) Nothing in 5 U.S.C. 552 or this part determines have become, or are likely to Openness Promotes Effectiveness in our requires that the Authority, the General become, the subject of subsequent National Government Act of 2007 (OPEN Counsel, the Panel, or the IG, as requests for substantially the same Government Act), Pub. L. 110–175, 121 Stat. appropriate, create a new record in records; or 2524. order to respond to a request for the (B) Have been requested three or more ■ 2. Revise § 2411.1 to read as follows: records. times; and ■ 4. Revise § 2411.3 to read as follows: (v) A general index of the records § 2411.1 Purpose. referred to in paragraph (a)(i)–(iv) of this This part contains the rules that the § 2411.3 Delegation of authority. section. Federal Labor Relations Authority (a) Chief FOIA Officer. The Chairman (2) It is the policy of the Authority, (FLRA), including the three-Member of the FLRA designates the Chief FOIA the General Counsel, the Panel, and the

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IG to make promptly available for public Panel, or the IG in Washington, DC, as (3) If the request is for records, inspection in an electronic format, upon appropriate, under conditions documents, or other information in the request by any person, other records prescribed by the Authority, the General offices of the Authority in Washington, where the request reasonably describes Counsel, the Panel, or the IG at DC, it should be made to the Solicitor such records and otherwise conforms to reasonable times during normal working of the Authority, Washington, DC; the procedures of this part. hours so long as it does not interfere (4) If the request is for records, (b)(1) Any person may examine and with the efficient operations of the documents, or other information in the copy items in paragraphs (a)(1)(i) Authority, the General Counsel, the offices of the Panel in Washington, DC, through (iv) of this section, at each Panel, or the IG. it should be made to the Executive regional office of the Authority and at (2) The Authority, the General Director of the Panel, Washington, DC; the offices of the Authority, the General Counsel, the Panel, or the IG, as and Counsel, the Panel, and the IG, appropriate, shall certify copies of the (5) If the request is for records, respectively, in Washington, DC, under formal documents upon request made a documents or other information in the conditions prescribed by the Authority, reasonable time in advance of need and offices of the IG in Washington, DC, it the General Counsel, the Panel, and the payment of lawfully prescribed costs. should be made to the IG, Washington, IG, respectively, and at reasonable times (f)(1) Copies of forms prescribed by DC. during normal working hours, so long as the General Counsel for the filing of (b) Each request under this part should be clearly and prominently it does not interfere with the efficient charges and petitions may be obtained identified as a request for information operations of the Authority, the General without charge from any regional office under the FOIA and, if submitted by Counsel, the Panel, or the IG. To the of the Authority or on the Authority’s mail or otherwise submitted in an extent required to prevent a clearly Web site at: https://www.flra.gov/ envelope or other cover, should be unwarranted invasion of personal resources-training/resources/forms- clearly identified as such on the privacy, identifying details may be checklists. envelope or other cover. A request shall deleted and, in each case, the (2) Copies of forms prescribed by the justification for the deletion shall be be considered an agreement by the Panel for the filing of requests may be requester to pay all applicable fees fully explained in writing. On the obtained without charge from the released portion of the record, the charged under § 2411.13, up to $25.00, Panel’s offices in Washington, DC or on unless the requester seeks a waiver of amount of information deleted, and the the Authority’s Web site at: https:// exemption under which the deletion is fees. When making a request, the www.flra.gov/resources-training/ requester may specify a willingness to made, shall be indicated unless an resources/forms-checklists. interest protected by the exemption pay a greater or lesser amount. Fee (3) Copies of optional forms for filing charges will be assessed for the full would be harmed. exceptions or appeals with the (2) All records covered by this section allowable direct costs of document Authority may be obtained without search, review, and duplication, as are available on the FLRA’s Web site charge from the Office of Case Intake (https://www.flra.gov/elibrary). appropriate, in accordance with and Publication at the Authority’s § 2411.13. If a request does not comply (c) The Authority, the General offices in Washington, DC or on the Counsel, the Panel, and the IG shall with the provisions of this paragraph, it Authority’s Web site at: https:// shall not be deemed received by the maintain and make available for public www.flra.gov/resources-training/ inspection in an electronic format the appropriate Regional Director, the FOIA resources/forms-checklists. Officer of the General Counsel, the current indexes and supplements to the ■ 6. Revise § 2411.5 to read as follows: records that are required by 5 U.S.C. Solicitor of the Authority, the Executive Director of the Panel, or the IG, as 552(a)(2) and, as appropriate, a record of § 2411.5 Procedure for obtaining the final votes of each Member of the information. appropriate. ■ 7. Revise § 2411.6 to read as follows: Authority and of the Panel in every (a) Any person who desires to inspect agency proceeding. Any person may or copy any records, documents, or § 2411.6 Identification of information examine and copy such document or other information of the Authority, the requested. record of the Authority, the General General Counsel, the Panel, or the IG, (a) Reasonably describe and identify Counsel, the Panel, or the IG at the covered by this part, other than those records. Each request under this part offices of either the Authority, the specified in § 2411.4(a)(1) and (c), shall shall reasonably describe the records General Counsel, the Panel, or the IG, as submit an electronic written request via being sought in a way that the FLRA can appropriate, in Washington, DC, under the FOIAOnline system at https:// be identify and locate them. A request conditions prescribed by the Authority, foiaonline.regulations.gov or a written, shall be legible and include all pertinent the General Counsel, the Panel, or the IG facsimiled, or email request (see office details that will help identify the at reasonable times during normal and email addresses listed at https:// records sought. Before submitting a working hours, so long as it does not www.flra.gov/foia_contact and in request, a requester may contact the interfere with the efficient operations of Appendix A to 5 CFR Chapter XIV) as FLRA’s Chief FOIA Officer or FOIA the Authority, the General Counsel, the follows: Public Liaison to discuss the records Panel, or the IG. (1) If the request is for records, that he or she seeks and to receive * * * * * documents, or other information in a assistance in describing the records. (e)(1) The formal documents regional office of the Authority, it (b) Agency efforts to further identify constituting the record in a case or should be made to the appropriate records. If the description does not meet proceeding are matters of official record Regional Director; the requirements of paragraph (a) of this and, until destroyed pursuant to (2) If the request is for records, section, the officer processing the applicable statutory authority, are documents, or other information in the request shall so notify the person available to the public for inspection Office of the General Counsel and making the request and indicate the and copying at the appropriate regional located in Washington, DC, it should be additional information needed. Every office of the Authority, or the offices of made to the FOIA Officer, Office of the reasonable effort shall be made to assist the Authority, the General Counsel, the General Counsel, Washington, DC; in the identification and location of the

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records sought. A requester who is the name(s) of the agency to which the ■ 9. Amend § 2411.8 by revising attempting to reformulate or modify his record was referred, including that paragraphs (a) introductory text, (b), (c) or her request may discuss the request agency’s FOIA contact information. introductory text, (c)(1) and (2), (c)(5), with the FLRA’s Chief FOIA Officer or (3) Coordination. The standard (d), and (e) to read as follows: FOIA Public Liaison. referral procedure is not appropriate (c) Public logs. Upon receipt of a § 2411.8 Time limits for processing where disclosure of the identity of the requests. request for records, the appropriate agency to which the referral would be (a) The 20-day period (excepting Regional Director, the FOIA Officer of made could harm an interest protected Saturdays, Sundays, and legal public the General Counsel, the Solicitor of the by an applicable exemption, such as the holidays), established in this section, Authority, the Executive Director of the exemptions that protect personal shall commence on the date on which Panel, or the IG, as appropriate, shall privacy or national-security interests. In the request is first received by the enter it in a public log. The log shall such instances, in order to avoid harm appropriate component of the agency state: The request number; the date to an interest protected by an applicable (Regional Director, the FOIA Officer of received; the nature of the records exemption, the Authority, the General requested; the action taken on the the Office of the General Counsel, the Counsel, the Panel, or the IG should Solicitor of the Authority, the Executive request; the agency’s response date; any coordinate with the originating agency exemptions that were applied (if Director of the Panel, or the IG), but in to seek its views on the disclosability of any event not later than 10 days after applicable) and their descriptions; and the record. The release determination whether any fees were charged for the request is first received by any FLRA for the record that is the subject of the component responsible for receiving processing the request. coordination should then be conveyed (d) Consultation, referral, and FOIA requests under part 2411. The 20- to the requester by the Authority, the day period does not run when: coordination. When reviewing records General Counsel, the Panel, or the IG. located in response to a request, the * * * * * ■ Authority, the General Counsel, the 8. Revise § 2411.7 to read as follows: (b) A request for records shall be Panel, or the IG will determine whether § 2411.7 Format of disclosure. logged in by the appropriate Regional another agency of the Federal Director, the FOIA Officer of the General Government is better able to determine (a) After a determination has been Counsel, the Solicitor of the Authority, whether the record is exempt from made to grant a request in whole or in the Executive Director of the Panel, or disclosure under the FOIA. As to any part, the appropriate Regional Director, the IG, as appropriate, pursuant to such record, the Authority, the General the FOIA Officer of the General Counsel, § 2411.6(c). All requesters must Counsel, the Panel, or the IG will the Solicitor of the Authority, the reasonably describe the records sought. proceed in one of the following ways: Executive Director of the Panel, or the An oral request for records shall not (1) Consultation. When records IG, as appropriate, will notify the begin any time requirement. A written originated with the Authority, the requester in writing. The notice will request for records sent to other than the General Counsel, the Panel, or the IG, describe the manner in which the record appropriate officer will be forwarded to but contain within them information of will be disclosed and will inform the that officer by the receiving officer, but, interest to another agency or other requester of the availability of the in that event, the applicable time limit Federal Government component, the Authority’s FOIA Public Liaison to offer for response shall begin as set forth in Authority, the General Counsel, the assistance. The appropriate Regional paragraph (a) of this section. Panel, or the IG will typically consult Director, the FOIA Officer of the General (c) Except as provided in § 2411.11, with that other entity prior to making a Counsel, the Solicitor of the Authority, the appropriate Regional Director, the release determination. the Executive Director of the Panel, or FOIA Officer of the General Counsel, the (2) Referral. (i) When the Authority, the IG, as appropriate, will provide the Solicitor of the Authority, the Executive the General Counsel, the Panel, or the IG record in the form or format requested Director of the Panel, or the IG, as believes that a different agency or if the record is readily reproducible in appropriate, shall, within 20 working component is best able to determine that form or format, provided the days following receipt of the request, as whether to disclose the record, the requester has agreed to pay and/or has provided by paragraph (a) of this Authority, the General Counsel, the paid any fees required by § 2411.13 of section, respond in writing to the Panel, or the IG will typically refer the this part. The appropriate Regional requester, determining whether, or the responsibility for responding to the Director, the FOIA Officer of the General extent to which, the request shall be request regarding that record to that Counsel, the Solicitor of the Authority, complied with. agency or component. Ordinarily, the the Executive Director of the Panel, or (1) If all of the records requested have agency or component that originated the the IG, as appropriate, will determine on been located, and a final determination record is presumed to be the best agency a case-by-case basis what constitutes a has been made with respect to or component to make the disclosure readily reproducible format. These disclosure of all of the records determination. However, if the FLRA offices will make a reasonable effort to requested, the response shall so state. and the originating agency or maintain their records in commonly (2) If all of the records have not been component jointly agree that the FLRA reproducible forms or formats. located, or a final determination has not is in the best position to respond (b) Alternatively, the appropriate been made with respect to disclosure of regarding the record, then the record Regional Director, the FOIA Officer of all of the records requested, the may be handled as a consultation. the General Counsel, the Solicitor of the response shall state the extent to which (ii) Whenever the Authority, the Authority, the Executive Director of the the records involved shall be disclosed General Counsel, the Panel, or the IG Panel, or the IG, as appropriate, may pursuant to the rules established in this refers any part of the responsibility for make a copy of the releasable portions part. responding to a request to another of the record available to the requester * * * * * Federal agency, it must document the for inspection at a reasonable time and (5) Search fees shall not be assessed referral, maintain a copy of the record place. The procedure for such an to requesters (or duplication fees in the that it refers, and notify the requester of inspection will not unreasonably case of an educational or the referral, informing the requester of disrupt the operations of the office. noncommercial scientific institution,

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whose purpose is scholarly or scientific (i) The date on which the agency (e) * * * research; or a representative of the news originally received the request; and (2) The FLRA has reason to believe media requester, as defined by (ii) An estimated date on which the that the information may be protected § 2411.13(a)(8)) under this subparagraph agency will complete action on the from disclosure under Exemption 4. if an agency component fails to comply request. (f) Opportunity to object to disclosure. with any of the deadlines in 5 U.S.C. (e) If any request for records is denied The FLRA will allow a submitter a 552(a)(4)(A), except as provided in the in whole or in part, the response reasonable time to respond to the notice following paragraphs (c)(5)(i) through required by paragraph (c) of this section described in paragraph (d) of this (iii): shall notify the requester of the denial. section and will specify that time period (i) If the Authority, the General Such denial shall specify the reason within the notice. If a submitter has any Counsel, the Panel, or the IG has therefore, set forth the name and title or objection to disclosure, it is required to determined that unusual circumstances position of the person responsible for submit a detailed written statement. The apply (as the term is defined in the denial, and notify the person making statement must specify all grounds for § 2411.11(b)) and the Authority, the the request of the right to appeal the withholding any portion of the General Counsel, the Panel, or the IG denial under the provisions of information under any exemption of the provided a timely written notice to the § 2411.10. Such denial shall also notify FOIA and, in the case of Exemption 4, requester in accordance with the requester of the assistance available it must show why the information is a § 2411.11(a), a failure described in this from the FLRA’s FOIA Public Liaison trade secret or commercial or financial paragraph (c)(5) is excused for an and the dispute resolution services information that is privileged or additional 10 days. If the Authority, the offered by the Office of Government confidential. In the event that a General Counsel, the Panel, or the IG Information Services of the National submitter fails to respond to the notice fails to comply with the extended time Archives and Records Administration within the time specified in it, the limit, the Authority, the General (OGIS). submitter will be considered to have no Counsel, the Panel, or the IG may not objection to disclosure of the ■ 10. Amend § 2411.9 by revising assess any search fees (or, in the case of information. Information provided by paragraphs (a), (b), (d), (e)(2), (f), (g) a requester described in § 2411.13(a)(8), the submitter that is not received by the introductory text, (h)(1), (3), and (4), (i), duplication fees). FLRA until after it has made its (ii) If the Authority, the General and (j) to read as follows: disclosure decision shall not be Counsel, the Panel, or the IG determines § 2411.9 Business information. considered by the FLRA. Information that unusual circumstances apply and (a) In general. Business information provided by a submitter under this more than 5,000 pages are necessary to obtained by the FLRA from a submitter paragraph may itself be subject to respond to the request, the Authority, disclosure under the FOIA. will be disclosed under the FOIA only the General Counsel, the Panel, or the IG (g) Notice of intent to disclose. The under this section. may charge search fees or, in the case of FLRA shall consider a submitter’s (b) Definitions. For purposes of this requesters defined in § 2411.13(a)(6) objections and specific grounds for section: through (8), may charge duplication nondisclosure in deciding whether to (1) Business information means fees, if the following steps are taken. disclose business information. commercial or financial information The Authority, the General Counsel, the Whenever the FLRA decides to disclose obtained by the FLRA from a submitter Panel, or the IG must have provided business information over the objection that may be protected from disclosure timely written notice of unusual of a submitter, the FLRA shall give the under Exemption 4 of the FOIA. circumstances to the requester in submitter written notice, which shall (2) Submitter means any person or accordance with the FOIA and must include: entity from whom the FLRA obtains have discussed with the requester via business information, directly or * * * * * written mail, email, or telephone (or (h) * * * indirectly. The term includes made not less than three good-faith (1) The FLRA determines that the corporations; state, local, and tribal attempts to do so) how the requester information should not be disclosed; governments; and foreign governments. could effectively limit the scope of the * * * * * request in accordance with 5 U.S.C. * * * * * (3) Disclosure of the information is 552(a)(6)(B)(ii). If this exception is (d) Notice to submitters. The FLRA required by statute (other than the satisfied, the Authority, the General shall provide a submitter with prompt FOIA) or by a regulation issued in Counsel, the Panel, or the IG may charge written notice of a FOIA request or accordance with the requirements of all applicable fees incurred in the administrative appeal that seeks its Executive Order 12600, (52 FR 23781, 3 processing of the request. business information wherever required CFR, 1987 Comp. p. 235); or (iii) If a court has determined that under paragraph (e) of this section, (4) The designation made by the exceptional circumstances exist, as except as provided in paragraph (h) of submitter under paragraph (c) of this defined by the FOIA, a failure to comply this section, in order to give the section appears to be obviously with the time limits shall be excused for submitter an opportunity to object to frivolous—except that, in such a case, the length of time provided by the court disclosure of any specified portion of the FLRA shall, within a reasonable order. that information under paragraph (f) of time prior to a specified disclosure date, (d) If a request will take longer than this section. The notice shall either give the submitter written notice of any 10 days to process: describe the business information final decision to disclose the (1) An individualized tracking requested or include copies of the information. number will be assigned to the request requested records or record portions (i) Notice of FOIA lawsuit. Whenever and provided to the requester; and containing the information. When a requester files a lawsuit seeking to (2) Using the tracking number, the notification of a voluminous number of compel the disclosure of business requester can find, by calling 202–218– submitters is required, notification may information, the FLRA shall promptly 7999 or visiting https:// be made by posting or publishing the notify the submitter. foiaonline.regulations.gov, status notice in a place reasonably likely to (j) Corresponding notice to requesters. information about the request including: accomplish it. Whenever the FLRA provides a

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submitter with notice and an records that involves a fee of less than to arrange with the processing agency opportunity to object to disclosure $250.00 shall be accompanied by the component an alternative time frame for under paragraph (d) of this section, the requested records when there is no processing the request or a modified FLRA shall also notify the requester(s). history of the requester having request. No such notice shall specify a Whenever the FLRA notifies a submitter previously failed to pay fees in a timely date that would result in a total of its intent to disclose requested manner. Where this is not possible, the extension of more than 10 working days. information under paragraph (g) of this records shall be forwarded as soon as To aid the requester, the FOIA Public section, the FLRA shall also notify the possible thereafter, consistent with Liaison shall assist in the resolution of requester(s). Whenever a submitter files other obligations of the Authority, the any disputes between the requester and a lawsuit seeking to prevent the General Counsel, the Panel, or the IG. the processing agency component, and disclosure of business information, the (b) If, on appeal, the denial of the shall notify the requester of the FLRA shall notify the requester(s). request for records is upheld in whole requester’s right to seek dispute ■ 11. Revise § 2411.10 to read as or in part by the Chairman of the resolution services from the OGIS. follows: Authority, the General Counsel, or the (b) As used in this section, ‘‘unusual Chairman of the Panel, as appropriate, circumstances’’ means, but only to the § 2411.10 Appeal from denial of request. the person making the request shall be extent reasonably necessary to the (a)(1) When a request for records is notified of the reasons for the proper processing of the particular denied, in whole or in part, a requester determination, the name and title or request: may appeal the denial by submitting a position of the person responsible for (1) The need to search for and collect written appeal by mail or online that is the denial, and the provisions for the requested records from field postmarked, or in the case of an judicial review of that determination facilities or other establishments that are electronic submission, transmitted, under 5 U.S.C. 552(a)(4). The separate from the processing agency within 90 calendar days after the determination will also inform the component; requester receives notification that the requester of the mediation services (2) The need to search for, collect, and request has been denied or after the offered by the OGIS as a non-exclusive appropriately examine a voluminous requester receives any records being alternative to litigation. Mediation is a amount of separate and distinct records made available, in the event of partial voluntary process. If the FLRA agrees to that are demanded in a single request; denial. The appeal should clearly participate in the mediation services or provided by the OGIS, it will actively identify the agency determination that is (3) The need for consultation, which engage as a partner to the process in an being appealed and the assigned request shall be conducted with all practicable attempt to resolve the dispute. number. speed, with another agency having a (i) If the denial was made by the (c) Even though no appeal is filed substantial interest in the determination Solicitor or the IG, the appeal shall be from a denial in whole or in part of a of the request or among two or more filed with the Chairman of the Authority request for records by the person components of the agency having in Washington, DC. making the request, the Chairman of the (ii) If the denial was made by a Authority, the General Counsel, or the substantial subject matter interest Regional Director or by the FOIA Officer Chairman of the Panel, as appropriate, therein. of the General Counsel, the appeal shall may, without regard to the time limit for (c) Expedited processing of a request be filed with the General Counsel in filing of an appeal, sua sponte initiate for records, or an appeal of a denial of Washington, DC. consideration of a denial under this a request for expedited processing, shall (iii) If the denial was made by the appeal procedure by written notification be provided when the requester Executive Director of the Panel, the to the person making the request. In demonstrates a compelling need for the appeal shall be filed with the Chairman such event, the time limit for making information and in other cases as of the Panel. the determination shall commence with determined by the officer processing the (2) The Chairman of the Authority, the issuance of such notification. request. A requester seeking expedited the General Counsel, or the Chairman of (d) Before seeking judicial review of processing can demonstrate a the Panel, as appropriate, shall, within the FLRA’s denial of a request, a compelling need by submitting a 20 working days (excepting Saturdays, requester generally must first submit a statement certified by the requester to be Sundays, and legal public holidays) timely administrative appeal. true and correct to the best of such from the time of receipt of the appeal, ■ 12. Revise § 2411.11 to read as person’s knowledge and belief and that except as provided in § 2411.11, make a follows: satisfies the statutory and regulatory determination on the appeal and definitions of compelling need. respond in writing to the requester, § 2411.11 Modification of time limits. Requesters shall be notified within 10 determining whether, or the extent to (a) In unusual circumstances, as calendar days after receipt of such a which, the request shall be granted. An specified in this section, the time limits request whether expedited processing, appeal ordinarily will not be prescribed with respect to initial or an appeal of a denial of a request for adjudicated if the request becomes a determinations or determinations on expedited processing, was granted. As matter of FOIA litigation. appeal may be extended by written used in this section, ‘‘compelling need’’ (i) If the determination is to grant the notice from the agency component means: request and the request is expected to handling the request (either initial or on (1) That a failure to obtain requested involve an assessed fee in excess of appeal) to the person making such records on an expedited basis could $250.00, the determination shall specify request setting forth the reasons for such reasonably be expected to pose an or estimate the fee involved, and it shall extension and the date on which a imminent threat to the life or physical require prepayment of any charges due determination is expected to be safety of an individual; or in accordance with the provisions of dispatched. As appropriate, the notice (2) With respect to a request made by § 2411.13(a) before the records are made shall provide the requester with an a person primarily engaged in available. opportunity to limit the scope of the disseminating information, urgency to (ii) Whenever possible, the request so that it may be processed inform the public concerning actual or determination relating to a request for within the time limit or an opportunity alleged Federal Government activity.

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■ 13. Revise § 2411.12 to read as Counsel, the Panel, or the IG will look Authority, the General Counsel, the follows: first to the use to which a requester will Panel, or the IG will provide the first put the document requested. Where the 100 pages of duplication and the first § 2411.12 Effect of failure to meet time Authority, the General Counsel, the two hours of search time without limits. Panel, or the IG has reasonable cause to charge. The word pages in this Failure by the Authority, the General doubt the use to which a requester will paragraph refers to paper copies of Counsel, the Panel, or the IG either to put the records sought, or where that standard size, usually 81⁄2 by 11. The deny or grant any request under this use is not clear from the request itself, term search time in this paragraph is part within the time limits prescribed by the Authority, the General Counsel, the based on a manual search for records. In the FOIA, as amended and these Panel, or the IG may seek additional applying this term to searches made by regulations shall be deemed to be an clarification before assigning the request computer, when the cost of the search exhaustion of the administrative to a specific category. as set forth in paragraph (d)(2) of this remedies available to the person making (6) The term educational institution section equals the equivalent dollar this request. refers to a preschool, a public or private amount of two hours of the salary of the ■ 14. Amend § 2411.13 by revising elementary or secondary school, an person performing the search, the paragraphs (a)(1), (a)(3) through (8), (b), institution of undergraduate higher Authority, the General Counsel, the (c)(2) through (4), (d)(2) through (5), (e) education, an institution of graduate Panel, or the IG will begin assessing through (h), and adding paragraph (j) to higher education, an institution of charges for the computer search. No read as follows: professional education, or an institution search or review fees will be charged for of vocational education that operates a § 2411.13 Fees. a quarter-hour period unless more than program or programs of scholarly half of that period is required for search (a) * * * research. or review. (1) The term direct costs means those (7) The term non-commercial (2) The Authority, the General expenditures that the Authority, the scientific institution refers to an Counsel, the Panel, or the IG will not General Counsel, the Panel, or the IG institution that is not operated on a charge fees to any requester, including actually incurs in searching for and commercial basis as that term is commercial-use requesters, if the cost of duplicating (and in the case of referenced in paragraph (a)(5) of this collecting the fee would be equal to or commercial requesters, reviewing) section, and that is operated solely for greater than the fee itself. documents to respond to a FOIA the purpose of conducting scientific (3) As provided in § 2411.8(c)(5), the request. Direct costs include, for research, the results of which are not Authority, the General Counsel, the example, the salary of the employee intended to promote any particular Panel, or the IG will not charge search performing work (the basic rate of pay product or industry. fees (or duplication fees if the requester for the employee plus 16 percent of the (8) The term representative of the is an educational or noncommercial rate to cover benefits) and the cost of news media refers to any person or scientific institution, whose purpose is operating duplication machinery. Not entity that gathers information of scholarly or scientific research; or a included in direct costs are overhead potential interest to a segment of the representative of the news media, as expenses such as costs of space, and public, uses its editorial skills to turn described in this section), when the heating or lighting the facility in which the raw materials into a distinct work, time limits are not met. the records are stored. and distributes that work to an (4)(i) The Authority, the General * * * * * audience. The term news means Counsel, the Panel, or the IG will (3) The term duplication refers to the information that is about current events provide documents without charge or at process of making a copy of a document or that would be of current interest to reduced charges if disclosure of the necessary to respond to a FOIA request. the public. Examples of news-media information is in the public interest Such copies can take the form of paper entities include television or radio because it is likely to contribute copy, audio-visual materials, or stations broadcasting to the public at significantly to public understanding of machine-readable documentation, large and publishers of periodicals that the operations or activities of the among others. disseminate ‘‘news’’ and make their government; and is not primarily in the (4) The term review refers to the products available through a variety of commercial interest of the requester. process of examining documents located means to the general public including (ii) In determining whether disclosure in response to a commercial-use request news organizations that disseminate is in the ‘‘public interest because it is (see paragraph (a)(5) of this section) to solely on the Internet. These examples likely to contribute significantly to determine whether any portion of any are not intended to be all-inclusive. public understanding of the operations document located is permitted to be Moreover, as methods of news delivery or activities of the government’’ under withheld. It also includes processing evolve, such alternative media shall be paragraph (b)(4)(i) of this section, the any documents for disclosure, e.g., considered to be news-media entities. A Authority, the General Counsel, the doing all that is necessary to prepare freelance journalist shall be regarded as Panel, and the IG will consider the them for release. Review does not working for a news-media entity if the following factors: include time spent resolving general journalist can demonstrate a solid basis (A) The subject of the request. The legal or policy issues regarding the for expecting publication through that subject of the requested records must application of exemptions. entity, whether or not the journalist is concern identifiable operations or (5) The term commercial-use request actually employed by the entity. A activities of the Federal government, refers to a request from or on behalf of publication contract would present a with a connection that is direct and one who seeks information for a use or solid basis for such an expectation; the clear, not remote or attenuated; purpose that furthers the commercial, FLRA may also consider the past (B) The informative value of the trade, or profit interests of the requester publication record of the requester in information to be disclosed. The or the person on whose behalf the making such a determination. disclosable portions of the requested request is made. In determining whether (b) Exceptions to fee charges. (1) With records must be meaningfully a requester properly belongs in this the exception of requesters seeking informative about government category, the Authority, the General documents for a commercial use, the operations or activities in order to be

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‘‘likely to contribute’’ to an increased ordinarily shall presume that where a for records about themselves filed in public understanding of those news media requester has satisfied the Authority, General Counsel, Panel, or IG operations or activities. The disclosure public interest standard, the public systems of records will continue to be of information that already is in the interest will be the interest primarily treated under the fee provisions of the public domain, in either a duplicative or served by disclosure to that requester. Privacy Act of 1974, which permits fees a substantially identical form, would Disclosure to data brokers or others who only for duplication. not be as likely to contribute to such merely compile and market government (d) * * * understanding where nothing new information for direct economic return (2) Computer searches for records. would be added to the public’s shall not be presumed to primarily serve The actual direct cost of providing the understanding; the public interest. service, including the cost of operating (C) The contribution to an (iv) A request for a fee waiver based computers and other electronic understanding of the subject by the on the public interest under paragraph equipment, and the salary (i.e., basic general public likely to result from (b)(4)(i) of this section must address pay plus 16 percent of that rate to cover disclosure. The disclosure must these factors as they apply to the request benefits) of the employee conducting contribute to the understanding of a for records in order to be considered by the search. reasonably broad audience of persons the Authority, the General Counsel, the (3) Review of records. The salary rate interested in the subject, as opposed to Panel, or the IG. (i.e., basic pay plus 16 percent of that the individual understanding of the (v) Requests for a waiver or reduction rate to cover benefits) of the employee(s) requester. A requester’s expertise in the of fees should be made when the request conducting the review. This charge subject area and his or her ability and is first submitted to the Authority, the applies only to requesters who are intention to effectively convey General Counsel, the Panel, or the IG. A seeking documents for commercial use, information to the public shall be requester may submit a fee-waiver and only to the review necessary at the considered. It shall be presumed that a request at a later time so long as the initial administrative level to determine representative of the news media will underlying record request is pending or the applicability of any relevant FOIA satisfy this consideration; and on administrative appeal. When a exemptions, and not at the (D) The significance of the requester who has committed to pay administrative-appeal level of an contribution to the public fees subsequently asks for a waiver of exemption already applied. understanding. The public’s those fees, and that waiver is denied, (4) Duplication of records. Twenty- understanding of the subject in the requester must pay any costs five cents per page for paper-copy question, as compared to the level of incurred up to the date on which the duplication of documents, which the public understanding existing prior to fee-waiver request was received. Authority, the General Counsel, the the disclosure, must be enhanced by the (vi) When only some of the records to Panel, and the IG have determined is the disclosure to a significant extent. The be released satisfy the requirements for reasonable direct cost of making such Authority, the General Counsel, the a waiver of fees, a waiver shall be copies, taking into account the average Panel, and the IG shall not make value granted for those records. salary of the operator and the cost of the judgments about whether information (c) * * * duplication machinery. For copies of that would contribute significantly to (2) A request for documents from an records produced on tapes, disks, or public understanding of the operations educational or non-commercial other media, the Authority, the General or activities of the government is scientific institution will be charged for Counsel, the Panel, or the IG shall ‘‘important’’ enough to be made public. the cost of duplication alone, excluding charge the actual cost of production, (iii) In determining whether charges for the first 100 pages. To be including operator time. When paper disclosure ‘‘is not primarily in the eligible for inclusion in this category, documents must be scanned in order to commercial interest of the requester’’ requesters must show that the request is comply with a requester’s preference to under paragraph (b)(4)(i) of this section, being made under the auspices of a receive the records in an electronic the Authority, the General Counsel, the qualifying institution and that the format, the requester shall pay the direct Panel, and the IG will consider the records are not sought for a commercial costs associated with scanning those following factors: use, but are sought in furtherance of materials, including operator time. For (A) The existence and magnitude of a scholarly (if the request is from an all other forms of duplication, the commercial interest. The processing educational institution) or scientific (if Authority, the General Counsel, the agency component will identify any the request is from a non-commercial Panel, and the IG will charge the direct commercial interest of the requester scientific institution) research. costs, including operator time. (with reference to the definition of (3) The Authority, the General (5) Forwarding material to ‘‘commercial use’’ in paragraph (a)(5) of Counsel, the Panel, or the IG shall destination. Postage, insurance, and this section), or of any person on whose provide documents to requesters who special fees will be charged on an behalf the requester may be acting, that are representatives of the news media actual-cost basis. would be furthered by the requested for the cost of duplication alone, (e) Aggregating requests. When the disclosure. Requesters shall be given an excluding charges for the first 100 Authority, the General Counsel, the opportunity in the administrative pages. Panel, or the IG reasonably believes that process to provide explanatory (4) The Authority, the General a requester or group of requesters is information regarding this Counsel, the Panel, or the IG shall attempting to break a request down into consideration; and, charge requesters who do not fit into a series of requests for the purpose of (B) The primary interest in disclosure. any of the categories of this section fees evading the assessment of fees, the A fee waiver or reduction is justified that recover the full direct cost of Authority, the General Counsel, the where the public interest standard is searching for and duplicating records Panel, or the IG will aggregate any such satisfied and that public interest is that are responsive to the request, requests and charge accordingly. greater in magnitude than that of any except that the first 100 pages of (f) Charging interest. Interest at the identified commercial interest in duplication and the first two hours of rate prescribed in 31 U.S.C. 3717 may be disclosure. The Authority, the General search time shall be furnished without charged to those requesters who fail to Counsel, the Panel, and the IG charge. Requests from record subjects pay fees charged, beginning on the 31st

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day following the billing date. Receipt Panel, or the IG, as appropriate, will Dated: December 20, 2016. of a fee by the Authority, the General handle the request under this part. Carol Waller Pope, Counsel, the Panel, or the IG, whether * * * * * Chairman. processed or not, will stay the accrual (j) The fee schedule of this section [FR Doc. 2016–31121 Filed 1–9–17; 8:45 am] of interest. does not apply to fees charged under BILLING CODE P (g) Advance payments. The Authority, any statute that specifically requires the the General Counsel, the Panel, or the IG Authority, the General Counsel, the will not require a requester to make an Panel, or the IG to set and collect fees DEPARTMENT OF ENERGY advance payment, i.e., payment before for particular types of records. In work is commenced or continued on a instances in which records responsive 10 CFR Part 435 request, unless: to a request are subject to a statutorily (1) The Authority, the General based fee-schedule program, the [Docket No. EERE–2016–BT–STD–0003] Counsel, the Panel, or the IG estimates Authority, the General Counsel, the or determines that allowable charges RIN 1904–AD56 Panel, or the IG will inform the that a requester may be required to pay requester of the contact information for Energy Efficiency Standards for the are likely to exceed $250. In those that program. Design and Construction of New circumstances, the Authority, the ■ Federal Low-Rise Residential General Counsel, the Panel, or the IG 15. Revise § 2411.14 to read as Buildings’ Baseline Standards Update will notify the requester of the likely follows. cost and obtain satisfactory assurance of § 2411.14 Record retention and AGENCY: Office of Energy Efficiency and full payment, where the requester has a preservation. Renewable Energy, Department of history of prompt payment of FOIA fees, The Authority, the General Counsel, Energy. or require an advance payment of an the Panel, and the IG shall preserve all ACTION: Final rule. amount up to the full estimated charges correspondence pertaining to the in the case of requesters with no history requests that it receives under this SUMMARY: The U.S. Department of of payment; or subpart, as well as copies of all Energy (DOE) is publishing this final (2) A requester has previously failed rule to implement provisions in the to pay a fee charged in a timely fashion requested records, until such time as disposition or destruction is authorized Energy Conservation and Production (i.e., within 30 days of the date of the Act (ECPA) that require DOE to update billing), in which case the Authority, by title 44 of the United States Code or the National Archives and Records the baseline Federal energy efficiency the General Counsel, the Panel, or the IG performance standards for the requires the requester to pay the full Administration’s General Records Schedule 14. Records will not be construction of new Federal low-rise amount owed plus any applicable residential buildings. This rule updates interest, as provided in this section, or disposed of while they are the subject of a pending request, appeal, or lawsuit the baseline Federal residential standard demonstrate that the requester has, in to the International Code Council (ICC) fact, paid the fee, and to make an under the FOIA. ■ 2015 International Energy Conservation advance payment of the full amount of 16. Revise § 2411.15 to read as Code (IECC). the estimated fee before the agency follows: begins to process a new request or a DATES: This rule is effective March 13, § 2411.15 Annual report. pending request from that requester. 2017. When the Authority, the General Each year, on or around February 1, The incorporation by reference of a Counsel, the Panel, or the IG has a as requested by the Department of certain publication listed in this rule reasonable basis to believe that a Justice’s Office of Information Policy, was approved by the Director of the requester has misrepresented his or her the Chief FOIA Officer of the FLRA Federal Register as of March 13, 2017. identity in order to avoid paying shall submit a report of the activities of All Federal agencies shall design new outstanding fees, it may require that the the Authority, the General Counsel, the Federal buildings that are low-rise requester provide proof of identity. Panel, and the IG with regard to public residential buildings, for which design When the Authority, the General information requests during the for construction began on or after Counsel, the Panel, or the IG acts under preceding fiscal year to the Attorney January 10, 2018, using the 2015 IECC paragraph (g)(1) or (2) of this section, General of the United States and the as the baseline standard for 10 CFR part the administrative time limits Director of the OGIS. The report shall 435. prescribed in subsection (a)(6) of the include those matters required by 5 ADDRESSES: The docket, which includes FOIA (i.e., 20 working days from receipt U.S.C. 552(e), and it shall be made Federal Register notices, public meeting of initial requests and 20 working days available electronically. The Chief FOIA attendee lists and transcripts, from receipt of appeals from initial Officer of the FLRA shall make each comments, and other supporting denial, plus permissible extension of such report available for public documents/materials, is available for these time limits) will begin only after inspection in an electronic format. In review at https://www.regulations.gov/ the Authority, the General Counsel, the addition, the Chief FOIA Officer of the docketBrowser?rpp=25&po=0&D=EERE- Panel, or the IG has received fee FLRA shall make the raw statistical data 2016-BT-STD-0003]. All documents in payments described in this section. If used in each report available in a timely the docket are listed in the the requester does not pay the advance manner for public inspection in an regulations.gov index. However, some payment within 30 calendar days after electronic format, which shall be documents listed in the index, such as the date of the fee determination, the available— those containing information that is request will be closed. (a) Without charge, license, or exempt from public disclosure, may not (h) When a person other than a party registration requirement; be publicly available. The to a proceeding before the FLRA makes (b) In an aggregated, searchable regulations.gov site contains simple a request for a copy of a transcript or format; and instructions on how to access all recording of the proceeding, the (c) In a format that may be documents, including public comments, Authority, the General Counsel, the downloaded in bulk. in the docket.

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A link to the docket Web page can be IV. Compliance Date ‘‘any building to be constructed by, or found at http://www.regulations.gov/ V. Reference Resources for the use of, any Federal agency. Such #!docketDetail;D=EERE-2016-BT-STD- A. Resources for Low-Rise Residential term shall include buildings built for 0003. This Web page will contain a link Buildings. the purpose of being leased by a Federal VI. Regulatory Analysis to the docket for this rule on the A. Review Under Executive Order 12866, agency, and privatized military www.regulations.gov site. The ‘‘Regulatory Planning and Review’’ housing.’’ (42 U.S.C. 6832(6)). This term www.regulations.gov Web page will B. Administrative Procedure Act does not include renovations or contain simple instructions on how to C. Review Under the Regulatory Flexibility modifications to existing buildings. access all documents, including public Act II. Introduction comments, in the docket. D. Review Under the Paperwork Reduction For further information on how to Act of 1995 ECPA, as amended, requires DOE to review the docket, contact Mr. Nicolas E. Review Under the National establish building energy efficiency Baker at (202) 586–8215 or by email: Environmental Policy Act of 1969 standards for all new Federal buildings. [email protected]. F. Review Under Executive Order 13132, (42 U.S.C. 6834(a)(1)) The standards ‘‘Federalism’’ established under section 305(a)(1) of FOR FURTHER INFORMATION CONTACT: G. Review Under Executive Order 12988, Nicolas Baker, U.S. Department of ‘‘Civil Justice Reform’’ ECPA must contain energy efficiency Energy, Office of Energy Efficiency H. Review Under the Unfunded Mandates measures that are technologically and Renewable Energy, Federal Reform Act of 1995 feasible, economically justified, and Energy Management Program, I. Review Under the Treasury and General meet the energy efficiency levels in the Mailstop EE–5F, 1000 Independence Government Appropriations Act of 1999 applicable voluntary consensus energy J. Review Under Executive Order 12630, Avenue SW., Washington, DC 20585, codes specified in section 305. (42 ‘‘Governmental Actions and Interference U.S.C. 6834(a)(1)–(3)) (202) 586–8215, email: nicolas.baker@ With Constitutionally Protected Property ee.doe.gov. Under section 305 of ECPA, the Rights’’ referenced voluntary consensus code for Kavita Vaidyanathan, U.S. Department K. Review Under the Treasury and General of Energy, Office of the General Government Appropriations Act, 2001 low-rise residential buildings is the Counsel, Forrestal Building, GC–33, L. Review Under Executive Order 13211, International Code Council (ICC) 1000 Independence Avenue SW., ‘‘Actions Concerning Regulations That International Energy Conservation Code Washington, DC 20585, (202) 586– Significantly Affect Energy Supply, (IECC). (42 U.S.C. 6834(a)(2)(A)). DOE 0669, email: kavita.vaidyanathan@ Distribution, or Use’’ codified this referenced code as the hq.doe.gov. M. Review Under Section 32 of the Federal baseline Federal building standard in its Energy Administration Act of 1974 existing energy efficiency standards SUPPLEMENTARY INFORMATION: This final N. Description of Materials Incorporated by found in 10 CFR part 435. Also pursuant rule incorporates by reference the Reference to section 305 of ECPA, DOE must following standard into 10 CFR part VII. Congressional Notification VIII. Approval of the Office of the Secretary establish, by rule, revised Federal 435: ICC International Energy building energy efficiency performance Conservation Code (IECC), 2015 Edition I. Executive Summary of the Final Rule standards for new Federal buildings that (‘‘IECC 2015’’), May 30, 2014. Section 305 of the Energy require such buildings to be designed to Copies of this standard are available achieve energy consumption levels that from the International Code Council, Conservation and Production Act (ECPA), as amended, requires DOE to are at least 30 percent below the levels 4051 West Flossmoor Road, Country established in the referenced code Club Hills, IL 60478, 1–800–422–7233, determine whether the energy efficiency standards for new Federal buildings (baseline Federal building standard), if http://www.iccsafe.org/. life-cycle cost-effective. (42 U.S.C. Also, a copy of this standard is should be updated to reflect revisions to the IECC based on the cost-effectiveness 6834(a)(3)(A)(i)(I)) available for inspection at U.S. Under section 305 of ECPA, not later Department of Energy (DOE), Office of of the revisions. (42 U.S.C. 6834(a)(3)(B)) Accordingly, DOE than one year after the date of approval Energy Efficiency and Renewable of each subsequent revision of the Energy, Federal Energy Management conducted a cost-effectiveness analysis that found the 2015 IECC to be cost- ASHRAE Standard or the IECC, DOE Program, 8th Floor, 956 L’Enfant Plaza must determine whether to amend the SW., Suite 8000, Washington, DC 20024. effective. DOE’s assumptions and methodology for the cost-effectiveness baseline Federal building standards For information on the availability of with the revised voluntary standard of this rule are based on DOE’s cost- this standard at DOE, contact Mr. Cyrus based on the cost-effectiveness of the effectiveness analysis of 2015 IECC, as Nasseri at (202) 586–9138, or email revised voluntary standard. (42 U.S.C. well as DOE’s Environmental [email protected]. 6834(a)(3)(B)) It is this requirement that Assessment (EA) for this rulemaking.1 This standard is discussed in greater this rulemaking addresses. ICC has Therefore, in this final rule, DOE detail in section VI.N of this document. updated the IECC from the version updates the energy efficiency standards currently referenced in DOE’s Table of Contents for new Federal buildings to the 2015 regulations at 10 CFR part 435. In this IECC for buildings for which design for I. Executive Summary of the Final Rule rule, DOE revises the latest baseline II. Introduction construction began on or after one year Federal building standard for 10 CFR III. Synopsis of the Final Rule after the rule is published in the Federal part 435 from the 2009 IECC to the 2015 A. Updated Definition of New Federal Register. (42 U.S.C. 6834(a)(3)(A)). IECC. DOE notes that although ICC Building Federal buildings are defined as follows: B. Adding Explicit Mention of Mechanical published an update to the IECC in Ventilation Requirements in the 2015 1 The Environmental Assessment (EA) (DOE/EA– 2012, this rule updates 10 CFR part 435 IECC to the 2015 IECC directly, without C. Expanding the List of Energy End-Uses 2020) is entitled, ‘‘Environmental Assessment for Final Rule, 10 CFR part 435, ‘Energy Efficiency requiring agencies to comply with the that must be included in the 30 Percent Standards for New Federal Low-Rise Residential 2012 IECC. DOE notes however that Savings Calculation Buildings,’ Baseline Standards Update’’. The EA D. Other Energy Efficiency Requirements may be found in the docket for this rulemaking and because development of the IECC is E. Synopsis of Changes to the IECC at https://energy.gov/sites/prod/files/2016/12/f34/ incremental from version to version, the Between the 2009 and 2015 Versions EA-2020-FEA-2016.pdf. 2015 IECC does include all content in

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the 2012 IECC that was not specifically efficiency standards for new Federal Order 12866, ‘‘Regulatory Planning and removed or modified during the buildings should be updated to reflect Review’’.6 DOE’s assumptions and development of the 2015 IECC. DOE the 2015 revisions to the IECC based on methodology for the cost-effectiveness evaluated the 2012 IECC as well and the cost-effectiveness of the revisions. of this rule are based on DOE’s cost- found it to be technologically feasible DOE reviewed the IECC for DOE’s effectiveness analysis of the 2015 IECC, and economically justified.2 state building codes program and as well as DOE’s Environmental Section 306(a) of ECPA provides that determined that the 2015 version of the Assessment (EA) for this rulemaking.7 each Federal agency and the Architect IECC would achieve greater energy In this rule, DOE updates the energy of the Capitol must adopt procedures to efficiency than the prior version (the efficiency standards applicable to new ensure that new Federal buildings will 2012 version). (See 80 FR 33250 (June Federal buildings based on the meet or exceed the Federal building 11, 2015)) DOE also reviewed the 2012 determinations made by DOE as to the energy efficiency standards established version of the IECC and determined that energy efficiency improvements of the under section 305. (42 U.S.C. 6835(a)) the 2012 version would achieve greater 2015 IECC 8 and 2012 IECC,9 as ECPA Section 306(b) bars the head of a energy efficiency than the prior version compared to the predecessor version Federal agency from expending Federal (the 2009 version currently referenced (the 2009 IECC), and based on the funds for the construction of a new in 10 CFR part 435). (See 77 FR 29322 considerations of cost-effectiveness Federal building unless the building (May 17, 2012)) Both these incorporated into the codes processes, meets or exceeds the applicable baseline determinations were subject to notice DOE’s involvement in those processes, Federal building energy standards and comment. See 79 FR 57915 and DOE’s own cost-effectiveness established under section 305. (42 (September 26, 2014) and 76 FR 42688 analysis. This final rule amends 10 CFR U.S.C. 6835(b)) Specifically, all new (July 19, 2011) respectively for the 2015 part 435 to update the referenced Federal buildings 3 must be designed to IECC and 2012 preliminary baseline Federal energy efficiency achieve the baseline standards in the determinations. DOE found that the performance standards. This final rule International Energy Conservation Code 2015 version of the IECC would save does not make any changes to the for low-rise residential buildings (and 0.87% more source energy than the overall requirement that agencies must ASHRAE Standard 90.1 for commercial 2012 version of the IECC 4 and that the design buildings to meet the baseline and multi-family high-rise residential 2012 version of the IECC would save standard and, if life-cycle cost-effective, buildings) and achieve energy 24% more source energy than the 2009 achieve savings of at least 30% below consumption levels at least 30 percent version of the IECC.5 the baseline standard. The statutory below these minimum baseline In DOE’s determination for the state requirement to achieve savings of at standards, where life-cycle cost- building codes program, and again in least 30% below the levels established effective. (42 U.S.C. 6834(a)(3)(A)). This this rule, DOE states that the cost- for the 2012 and 2015 IECC updates, requirement does not extend to effectiveness of revisions to the applies to Federal agencies in the renovations or modifications to existing voluntary codes is considered through determinations they make for individual buildings. DOE’s statutorily directed involvement buildings, but not to DOE’s overall in the codes process. See 80 FR 33250. III. Synopsis of the Final Rule determination for the purpose of this Section 307 of ECPA requires DOE to rule. DOE is issuing this action as a final participate in the ICC code development Three changes made to 10 CFR part rule. As indicated in this preamble, DOE process and to assist in determining the 435 in this rule warrant further must determine whether the energy cost-effectiveness of the voluntary discussion. These changes are: (1) efficiency standards for new Federal standards. (42 U.S.C. 6836) DOE is Updated the definition of ‘‘Federal buildings should be updated to reflect required to periodically review the buildings’’ to meet the requirements of revisions to the 2015 IECC based on the economic basis of the voluntary 42 U.S.C. 6832(6); (2) explicit reference cost-effectiveness of the revisions. (42 building energy codes and participate in to the new mechanical ventilation U.S.C. 6834(a)(3)(B)) In this final rule, the industry process for review and requirements found in the 2015 IECC to DOE determines that the energy modification, including seeking § 435.4; and (3) expanded list of energy adoption of all technologically feasible end-uses that must be considered in the 2 See DOE’s determination for the 2012 IECC at and economically justified energy 30 percent savings calculation. Each of http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/ efficiency measures. (42 U.S.C. 6836(b)) 2012-12000.pdf. See DOE’s analysis of the cost- these changes is discussed in this effectiveness of the 2012 IECC at https:// In addition to DOE’s consideration of preamble. DOE is also providing a www.energycodes.gov/sites/default/files/ the cost-effectiveness of the 2015 IECC synopsis of the major changes made to documents/ through its participation in the codes NationalResidentialCostEffectiveness.pdf. See development process, DOE conducted DOE’s analysis of the cost savings of the 2009 IECC 6 National Cost-Effectiveness of the Residential and 2012 IECC at https://www.energycodes.gov/ an independent analysis of the cost- Provisions of the 2015 IECC, Mendon, V.V. et al. sites/default/files/documents/ effectiveness of the 2015 IECC compared PNNL–24240, Pacific Northwest National NationalResidentialEnergyAnalysis.pdf. to the 2012 IECC and 2009 IECC. The Laboratory, June 2015. https:// 3 www.energycodes.gov/sites/default/files/ 42 U.S.C. 6832 defines ‘‘Federal buildings’’ as results of the analysis are discussed in _ _ any building to be constructed by, or for the use of, documents/2015IECC CE Residential.pdf. section A. Review Under Executive 7 any Federal agency. Such term shall include The Environmental Assessment (EA) (DOE/EA– buildings built for the purpose of being leased by 2020) is entitled, ‘‘Environmental Assessment for a Federal agency, and privatized military housing. 4 Determination Regarding Energy Efficiency Final Rule, 10 CFR part 435, ‘Energy Efficiency DOE’s codifications of this definition in 10 CFR 435 Improvements in the 2015 International Energy Standards for New Federal Low-Rise Residential and 10 CFR 433 include a second sentence defining Conservation Code (IECC); Notice of determination, Buildings,’ Baseline Standards Update’’. The EA ‘‘new buildings’’, resulting in the definition of ‘‘new 80 FR 33250 (June 11, 2015) may be found in the docket for this rulemaking and Federal buildings’’ as ‘‘New Federal building means 5 Energy savings of the 2012 IECC over the 2009 at https://energy.gov/sites/prod/files/2016/12/f34/ any building to be constructed by, or for the use of, IECC are shown in Table 1 of Energy Use Savings EA-2020-FEA-2016.pdf. any Federal agency which is not legally subject to for a Typical New Residential Dwelling Unit Based 8 Determination Regarding Energy Efficiency State or local building codes or similar on the 2009 and 2012 IECC as Compared to the Improvements in the 2015 International Energy requirements. A new building is a building 2006 IECC—Letter Report (PNNL–88603) (available Conservation Code (IECC); Notice of determination. constructed on a site that previously did not have at https://www.energycodes.gov/sites/default/files/ 80 FR 33250 (June 11, 2015). a building or a complete replacement of an existing documents/NationalResidentialEnergyAnalysis.pdf, 9 Updating State Residential Building Energy building from the foundation up.’’ rather than the actual published determination. Efficiency Codes, 77 FR 29322 (May 17, 2012).

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the IECC between the 2009 IECC and the (IMC) 11 and the 2015 International Standard 62.2–2013 are incorporated by 2015 IECC to provide more detail Residential Code (IRC) 12 as optional reference in this rule as they are options regarding what the change in baseline sources of ventilation requirements. The that an agency may choose to use. standard means. 2015 IECC also allows ‘‘other approved C. Expanding the List of Energy End- means’’ of mechanical ventilation. A. Updated Definition of New Federal Uses That Must Be Included in the 30 Specifically, Section R403.5 of the Building Percent Savings Calculation 2015 IECC requires that ‘‘the building The definition of ‘‘New Federal shall be provided with ventilation that Under the current 10 CFR 435.4, building’’ in 10 CFR part 435 has not meets the requirements of the Federal agencies that are designing new previously been updated to match what International Residential Code or Federal buildings that are low-rise is found in 42 U.S.C. 6832(6). The International Mechanical Code, as residential buildings must only consider Energy Independence and Security Act applicable, or with other approved space heating, space cooling and of 2007 (EISA 2007) updated the means of ventilation. Outdoor air domestic water heating when making definition of ‘‘Federal building’’ to intakes and exhausts shall have the 30% savings calculation required in include privatized military family automatic or gravity dampers that close 10 CFR part 435 because the 2004 IECC housing and leased buildings. This rule when the ventilation system is not and 2009 IECC only included those makes that update by revising the operating’’. Section R403.5.1 of the 2015 requirements. In addition to those three definition of ‘‘New Federal building’’ to IECC also requires that ‘‘Mechanical elements, the 2015 IECC includes mean ‘‘any new building (including a ventilation system fans shall meet the explicit mechanical ventilation complete replacement of an existing requirements of Table R403.5.1.’’ Table requirements that, the energy used for building from the foundation up) to be R403.5.1 sets minimum efficacy for mechanical ventilation should be constructed by, or for the use of, any range hoods, in-line fans, and bathroom included in the 30 percent savings federal agency.10 Such term shall and utility room fans. DOE’s 2012 IECC calculation required in 10 CFR part 435 include buildings built for the purpose determination (previously footnoted) as well. Also, both the 2015 IECC and of being leased by a federal agency, and states that the 2009 IECC does not the 2009 IECC (the current baseline privatized military housing.’’ DOE require any mechanical ventilation. standard for 10 CFR part 435) contain believes that the main impact of this Section R403.5 of the 2012 IECC refers requirements for high-efficacy lighting definition change for this rule will be to the 2012 International Residential and, therefore, lighting should be that privatized military housing will Code and International Mechanical included in the 30 percent savings now be required to follow the Code which, in tandem with the 2012 calculation as well. DOE believes that requirements of 10 CFR part 435 for IECC, require that a mechanical the impact of this change on agencies energy efficiency instead of using ventilation system meet these should be minimal as ventilation and prevailing energy efficiency standards. requirements or other approved means lighting end-uses should be part of the For example, privatized military family of ventilation in new homes. output of any residential whole building housing constructed in the state of DOE believes that the primary simulation tool that an agency might be Georgia must meet the requirements of technical authority on residential using for its calculations. 10 CFR part 435, which may or may not ventilation is the American Society of This rule also updates the methodology used in the 30 Percent be the same as the Georgia energy code. Heating, Refrigerating, and Air- Savings Calculation by directing This change is made solely to bring 10 Conditioning Engineers (ASHRAE) agencies to use the Simulated CFR part 435 into agreement with 42 Standard 62.2 committee. Their latest Performance Alternative in the 2015 U.S.C. 6832(6). standard—ASHRAE Standard 62.2– IECC as opposed to the Simulated 2013,13 is the source of many of the B. Adding Explicit Mention of Performance Alternative in the 2009 requirements in the 2015 IMC and 2015 Mechanical Ventilation Requirements in IECC. Updates to the Simulation IRC and could therefore be used as an the 2015 IECC Performance Alternative in the 2015 ‘‘other approved means’’ by agencies. If The 2015 IECC includes explicit IECC from the Simulated Performance agencies wish to develop their own Alternative in the 2009 IECC include mechanical ventilation requirements for mechanical ventilation standards, they new homes. Previous editions of the three clarifications to the may choose to request an interpretation documentation, calculation procedure, IECC (prior to the 2012 IECC, but from the ASHRAE Standard 62.2 including the 2009 IECC) referred to in and calculation software tools sections committee as to whether or not the that point out that all subsections in 10 CFR part 435 did not explicitly agency’s own standard is an acceptable require mechanical ventilation. DOE these sections must be addressed, as substitute. Agencies may submit a well as a number of editorial changes to believes that ensuring adequate request for interpretation to the ventilation is critical to ensuring good call out specific sections in the 2015 committee using the procedures IECC. There were also a few more indoor air quality and has therefore outlined at https://www.ashrae.org/ explicitly added a mention of this technical changes to the Simulated standards-research--technology/ Performance Alternative, including a requirement in 10 CFR part 435. DOE standards-forms--procedures/how-to- believes the main impact of this change change to the calculation method for the request-an-interpretation. Neither the internal shade fraction, a change to the will be to require agencies to use the 2015 IMC, nor 2015 IRC, nor ASHRAE newest residential ventilation standards. treatment of air exchange rates, a change to the default heating system The 2015 IECC explicitly mentions the 11 The 2015 IMC is available for read-only 2015 International Mechanical Code viewing at http://codes.iccsafe.org/app/book/toc/ assumption in cases where electric 2015/I-Codes/2015%20IMC%20HTML/index.html. heating without a heat pump is used, 10 42 U.S.C. 6832 defines ‘‘Federal agency’’ as 12 The 2015 IRC is available for read-only viewing and a change in how thermal ‘‘any department, agency, corporation, or other at http://codes.iccsafe.org/app/book/toc/2015/I- distribution system efficiency is treated. entity or instrumentality of the executive branch of Codes/2015%20IRC%20HTML/index.html. There are also new requirements for the Federal Government, including the United 13 Standard 62.2–2013 is available for read-only States Postal Service, the Federal National Mortgage viewing at https://www.ashrae.org/standards- compliance documentation associated Association, and the Federal Home Loan Mortgage research--technology/standards--guidelines/other- with the Simulated Performance Corporation.’’ ashrae-standards-referenced-in-code. Alternative in the 2015 IECC. These

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requirements, while part of the 2015 achievement of the greenhouse gas 1. Steel-framed wall insulation, and IECC, do not apply to Federal buildings reduction goals set out in the CAP. 2. Air barrier location. as they are associated with applications E. Synopsis of Changes to the IECC DOE also noted another two changes for building permits and certificates of Between the 2009 and 2015 IECC the effect of which was unclear: occupancy required from local code 1. Fenestration SHGC requirement in officials. The IECC is updated every three years climate zone 4, and by the International Code Council (ICC). 2. Interior shading assumptions in the D. Other Energy Efficiency Between the 2009 IECC and the 2015 performance compliance path. Requirements IECC, the ICC also issued the 2012 IECC. DOE also noted nine additional DOE, as part of its determination changes that had no apparent impact on DOE also notes that there are a process, evaluates each new version of the energy performance of the 2012 number of statutory provisions, the IECC for low-rise residential IECC: regulations, Executive Orders, and buildings. The following summaries are 1. Clarification of the scope of the memoranda of understanding that taken directly from DOE’s residential building section of the IECC, govern energy consumption in new determinations and supporting analyses Federal buildings. These include, but for the 2012 IECC 15 and 2015 IECC.16 2. Definition of a whole house are not limited to, the Executive Order ventilation system, 13693 (80 FR 15871 (March 25, 2015)); 2012 IECC Changes 3. A requirement for the results of the sections 323, 431, 433, 434, and 523 of In creating the 2012 IECC, ICC air leakage test to be put on the the Energy Independence and Security processed 27 sets of approved code certificate, Act of 2007 (EISA 2007); section 109 of change proposals. Overall, DOE found 4. Inclusion of Visual Transmittance the Energy Policy Act of 2005 (Pub. L. that the majority of changes in the 2012 (VT) in the code, 109–58); and 10 CFR parts 433 and 435. IECC appear to be positive (i.e., have a 5. Clarification of recessed lighting This rule supports and does not positive impact on energy savings) leakage rates, supplant these other applicable within the context of the determination 6. Introduction of ASHRAE Test requirements and goals for new Federal analysis. Of the 27 sets of changes: Procedure 193 for HVAC equipment buildings. For example, by designing • 14 were considered beneficial; leakage test rates, buildings to meet the 2015 IECC • 9 were considered neutral; 7. Introduction of a new test standard baseline, Federal agencies also help • 2 were considered detrimental; and for home ventilation systems, • achieve the energy intensity reductions 2 were considered to have an 8. Clarification for the requirement for mandated under section 431 of EISA unquantifiable impact. thermal distribution system design in 2007. In the 2012 IECC, DOE noted the the Simulated Performance Alternative, following 14 sets of improvements: and Of particular significance is the 1. Increases in prescriptive insulation Administration’s Climate Action Plan, 9. Moving of a requirement for sizing levels of walls, roofs and floors, of equipment from an IRC reference into (CAP), issued June 2013, in which the 2. Decrease (improvement) in U-factor President affirmed that the Federal the IECC. allowances for fenestration, All of these changes are discussed in government must position itself as a 3. Decrease (improvement) in leader in clean energy and energy more detail in DOE’s 2012 allowable Solar Heat Gain Coefficient Determination. efficiency, and pledged that Federal (SHGC) for fenestration in warm agencies must surpass previous climates, 2015 IECC Changes greenhouse gas reduction achievements, 4. Infiltration control: Mandated In creating the 2015 IECC, ICC through a combination of consuming 20 whole house pressure test with strict processed 76 approved code change percent of Federal electricity from allowances for air leakage rates, proposals. Overall, DOE found that the renewable sources by 2020, and by 5. Wall insulation when structural vast majority of changes in the 2015 pursuing greater energy efficiency in sheathing is used, IECC appear to be neutral (i.e., have no Federal buildings.14 Additionally, the 6. Ventilation fan efficiency, 7. Lighting—Increased fraction of direct impact on energy savings) within President directed that efficiency the context of the determination standards for appliances and Federal lamps required to be high-efficacy, 8. Air distribution systems—leakage analysis. DOE also found that beneficial buildings set in the first and second changes (i.e., increased energy savings) terms combined would reduce carbon control requirements, 9. Hot water pipe insulation and outweigh any changes with a pollution by at least 3 billion metric length requirements, detrimental effect on energy efficiency tons cumulatively by 2030—equivalent 10. Skylight definition change, in residential buildings. Of the 76 total to nearly one-half of the carbon 11. Penalizing electric resistance changes: pollution from the entire U.S. energy heating in the performance compliance • 6 were considered beneficial; sector for one year. This rule, which path, • DOE estimates will avoid cumulative 62 were considered neutral; 12. Fireplace air leakage control, • emissions of 690,200 metric tons of 5 were considered negligible; 13. Insulating covers for in-ground • carbon dioxide through 2030, directly 2 were considered detrimental; and spas, and • supports the Administration’s 14. Baffles for attic insulation. 1 was considered to have an undertaking to make energy efficiency DOE also noted the following two unquantifiable impact. in Federal buildings an essential changes that decrease the efficiency of The 6 changes considered beneficial stratagem in the government’s enduring the 2012 IECC: are:

14 The President’s Climate Action Plan, Office of 15 See determination at http://www.gpo.gov/fdsys/ 16 See determination at https:// the Executive Office of the President, https:// pkg/FR-2012-05-17/pdf/2012-12000.pdf. See www.regulations.gov/document?D=EERE-2014-BT- www.whitehouse.gov/sites/default/files/image/ analysis of energy savings at https:// DET-0030-0007. president27sclimateactionplan.pdf, June 2013. www.energycodes.gov/sites/default/files/ documents/NationalResidentialEnergyAnalysis.pdf.

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Nature of change Reason for evaluation

Increases insulation requirements for return ducts in at- Modestly reduces conduction losses from return ducts in attics. tics from R–6 to R–8. Adds requirements for demand-activated control on hot Demand activated control reduces the runtime of circulation pumps. water circulation systems and heat trace systems. Makes IECC, IRC, and IPC consistent and clarifies re- quirements for these systems. Deletes requirement for domestic hot water (DHW) pipe Energy lost due to the elimination of hot water pipe insulation on the kitchen pipe is insulation to kitchen and the generic requirement on typically more than made up by added insulation requirements for pipes 3⁄4 inches long/large-diameter pipes. However, adds DHW pipe in diameter, the most common size for trunk lines. insulation for 3⁄4-inch pipes. Adds demand control requirements for recirculating sys- Demand activated control reduces the runtime of circulation pumps. tems that use a cold water supply pipe to return water to the tank. Revises language requiring the code to apply to historic Additional buildings must meet the code requirements. buildings if no ‘‘compromise to the historic nature and function of the building’’ occurs. Adds requirement for outdoor setback control for hot Lowering boiler water temperature during periods of moderate outdoor temperature water boilers that controls the boiler water temperature reduces energy consumption of the boiler. based on the outdoor temperature.

The two changes were considered detrimental were:

Nature of change Reason for evaluation

Slightly increases sunroom U-factor ...... Applies to only climate zones 2 and 3; impacts only thermally isolated sunrooms. Defines a new ‘‘Tropical’’ climate zone and adds an op- Exception to code requirements applicable to a small number of homes in tropical tional compliance path for semi-conditioned residential areas. buildings with a list of pre-defined criteria to be deemed as code compliant in this climate zone.

The remaining 68 changes were incorporation of energy efficiency construction. 42 U.S.C. 8259b(b) primarily editorial in nature. These measure more difficult or expensive). Although this rule does not specifically changes are discussed in more detail in address the use of this equipment, V. Reference Resources Table III.1 in DOE’s 2015 IECC ENERGY STAR and FEMP-Designated Determination. The Department originally prepared products are generally more energy this list of resources to help Federal IV. Compliance Date efficient than the corresponding agencies achieve building energy requirements of the 2015 IECC, and may This final rule applies to new Federal efficiency levels of at least 30 percent be used to achieve part of the savings low-rise residential buildings for which below the 2009 IECC. The Department required of Federal building designs. design for construction begins on or has reviewed these resources and Therefore, DOE lists this Web site as a after one year from the publication date believes that they continue to be useful potential resource. of this rulemaking in the Federal for helping agencies maximize their 2. Life-Cycle Cost Analysis—U.S. DOE Register. (42 U.S.C. 6834(a)(1)) Such energy efficiency levels. The Federal Energy Management Program buildings must be designed to exceed Department has updated this resource the energy efficiency level of the list as appropriate. These resources come in many forms and in a variety of http://energy.gov/sites/prod/files/2015/ appropriate updated voluntary standard 06/f23/ashb15.pdf by 30 percent if life-cycle cost-effective. media. Resources are provided for all However, at a minimum, such buildings buildings, and also specifically for low- The life-cycle cost analysis rules must achieve the energy efficiency equal rise residential buildings. promulgated in 10 CFR part 436 Subpart to that of the appropriate updated A. Resources for Low-Rise Residential A Life-Cycle Cost Methodology and voluntary standard. One year lead time Buildings Procedures conform to requirements in before the design for construction begins the Federal Energy Management is consistent with DOE’s previous 1. Energy Efficient Products—U.S. DOE Improvement Act of 1988 (Pub. L. 100– updates to the energy efficiency Federal Energy Management Program 615) and subsequent energy baselines and the original statutory and U.S. Environmental Protection conservation legislation, as well as mandate for Federal building standards. Agency (EPA) ENERGY STAR Program Executive Order 13693, Planning for One year lead time before design for http://energy.gov/eere/femp/energy-and- Federal Sustainability in the Next construction begins helps minimize water-efficient-products Decade. The life-cycle cost guidance compliance costs to agencies, which Federal agencies are required to and required discount rates and energy may have planned buildings in various specify Federal Energy Management price projections are determined stages of design, and allows for design Program (FEMP) designated or ENERGY annually by FEMP and the Energy changes to more fully consider life-cycle STAR equipment, including building Information Administration, and are cost-effective measures (as opposed to mechanical and lighting equipment and published in the Annual Supplement to having to revise designs in builder-supplied appliances, for The National Institute of Standards and development, which may make purchase and installation in all new Technology Handbook 135: ‘‘Energy

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Price Indices and Discount Factors for 9. 2015 IECC—ICC residential buildings sector, as well as Life-Cycle Cost Analysis’’. http://shop.iccsafe.org/codes/2015- life-cycle cost net savings. DOE determined that the total incremental 3. ENERGY STAR Buildings—U.S. international-codes-and-references/ first cost estimate is an increase of $4.1 Environmental Protection Agency and 2015-international-energy- million per year, with an average first U.S. Department of Energy conservation-coder-1.html cost increase of $2,051 per household. The baseline energy efficiency (http://www.energystar.gov/homes) DOE estimated $14.8 million in annual standard for low-rise residential life-cycle cost (LCC) net savings for the ENERGY STAR is a government- buildings is the 2015 IECC. backed program helping businesses and entire Federal low-rise residential individuals protect the environment 10. Whole Building Design Guide— buildings sector with an average life- through superior energy efficiency. The National Institute of Building Sciences cycle cost net savings of $7,421 per EPA program requirements for ENERGY http://www.wbdg.org/ household. STAR-labeled homes, effective as of the A portal providing one-stop access to DOE’s assumptions and methodology date of this rule, provide a useful guide up-to-date information on a wide range for the cost-effectiveness of this rule are for meeting the Federal energy of building-related guidance, criteria based on DOE’s cost-effectiveness efficiency standard for low-rise and technology from a ‘‘whole analysis of the 2015 IECC,17 as well as residential buildings. buildings’’ perspective. DOE’s Environmental Assessment (EA) for this rulemaking.18 The EA identified 4. Passive House Institute US VI. Regulatory Analysis a rate of new Federal residential http://www.phius.org/home-page A. Review Under Executive Order construction of 4,936 homes per year. This Web site provides information 12866, ‘‘Regulatory Planning and As described in the EA, this estimate is on designing and building very low Review’’ derived from consideration of data from energy homes. This final rule is a ‘‘significant a number of sources. DOE’s cost- effectiveness analysis of the 2015 IECC 5. Energy Efficient Home Design—U.S. regulatory action’’ under Executive provides tables for the first cost DOE Building Technologies Program Order 12866, ‘‘Regulatory Planning and Review.’’ 58 FR 51735 (October 4, 1993). increase, the energy savings, and the life http://energy.gov/energysaver/energy- Accordingly, this action was subject to cycle costs associated with the 2015 efficient-home-design review by the Office of Information and IECC versus the 2012 IECC and 2009 This Web site provides information Regulatory Affairs in the Office of IECC by climate zone. DOE’s cost- on energy efficient home design Management and Budget (OMB). OMB effectiveness report does not provide strategies, and technologies to support has completed its review. As discussed national average values, but does energy efficiency in residences. previously in this rule, DOE is required provide sufficient weighting data so that to determine, based on the cost- these national averages can be 6. 2012 National Green Building calculated. The weighting data provided Standard—ICC and NAHB effectiveness, whether the standards for Federal buildings should be updated to in the cost-effectiveness report is used http://shop.iccsafe.org/2012-national- reflect an amendment to the IECC to generate the rows labeled ‘‘National green-building-standard-icc-700- standard. As stated in this preamble, Average’’ in Tables 1, 2, and 3 in this 2012.html DOE complied with the statutory preamble. This standard provides requirements language by analyzing the cost- Table 1 lists the increased first costs for building high-efficiency and green effectiveness of the 2015 IECC, and associated with the 2015 IECC for a homes and multi-family buildings. through DOE’s involvement in the ICC standard 2,400 ft2 prototypical home code development process, including and a standard 1,200 ft2 prototypical 7. LEED for Homes—US Green Building consideration of the cost-effectiveness of apartment/condo building. DOE Council the 2015 IECC. believes that the majority of Federal http://www.usgbc.org/articles/getting- DOE has also reviewed this regulation low-rise residential construction will be know-leed-homes-design-and- pursuant to Executive Order 13563, single family homes built by the construction issued on January 18, 2011. 76 FR 3281 Department of Defense (or their (January 21, 2011). E.O. 13563 is This certification system provides supplemental to and explicitly reaffirms 17 DOE’s Cost Effectiveness report on the 2015 requirements for building high- the principles, structures, and IECC is ‘‘National Cost-Effectiveness of the efficiency and green homes and multi- definitions governing regulatory review Residential Provisions of the 2015 IECC’’, PNNL– family buildings. established in Executive Order 12866. 24240, Mendon et al, June 2015. Available at https://www.energycodes.gov/sites/default/files/ 8. Green Globes—The Green Building Review under Executive Order 12866 documents/2015IECC_CE_Residential.pdf. Initiative requires an analysis of the economic 18 The Environmental Assessment (EA) (DOE/EA– effect of the rule. For this purpose, DOE 2020) is entitled, ‘‘Environmental Assessment for http://www.thegbi.org/ estimated incremental first cost (in this Final Rule, 10 CFR part 435, ‘Energy Efficiency This certification provides case, the difference between the cost of Standards for New Federal Low-Rise Residential Buildings,’ Baseline Standards Update’’. The EA requirements for building high- a building designed to meet the 2015 may be found in the docket for this rulemaking and efficiency and green multi-family IECC and a building designed to meet at https://energy.gov/sites/prod/files/2016/12/f34/ buildings. the 2009 IECC) for the Federal low-rise EA-2020-FEA-2016.pdf.

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privatization contractors), but there is a so the results of DOE’s first cost analysis new homes and apartments/condos possibility that some Federal low-rise are shown in full. The 2015 IECC does compared to the 2009 IECC in all multi-family buildings could be built,19 increase the first cost of construction of climate zones in the United States.

TABLE 1—TOTAL INCREMENTAL FIRST COST FOR 2015 IECC COMPARED TO THE 2009 IECC

2,400 ft 2 house 1,200 ft 2 apartment/condo a Slab, Climate zone Unheated Heated unheated Heated Slab-on-grade basement, or basement basement, or basement crawlspace crawlspace

1 ...... $1,585 $1,553 $1,553 $848 $848 1-tropical b ...... 1,152 1,152 1,152 848 848 2 ...... 1,920 1,888 1,888 968 968 3 ...... 2,495 2,463 2,463 1,175 1,175 4 ...... 2,005 1,973 1,973 1,012 1,012 5 ...... 1,493 1,461 1,715 827 865 6 ...... 2,718 2,686 2,686 1,266 1,266 7 ...... 2,718 2,686 2,686 1,266 1,266 8 ...... 2,718 2,686 2,686 1,266 1,266 National Average...... 2,060 2,028 2,081 1,026 1,034 Foundation Weight c ...... 0.479 0.379 0.142 0.858 0.142 a For multifamily homes with an oil-fired boiler, an additional incremental cost of $30.55 for the outdoor air temperature reset applies to all cli- mate zones. b This cost applies to 35% of all new single-family homes in the tropical climate zone. The tropical climate zone accounts for around 50% of all new single-family construction starts in climate zone 1. c Foundation weights from Table 1.3 of the 2015 IECC Cost-Effectiveness Report.

The first cost data shown in Table 1 would be accompanied by a reduction TABLE 2—AVERAGE ANNUAL ENERGY can be further aggregated by foundation in energy costs and an increase in life COST SAVINGS FOR THE 2015 IECC type using the foundation type cycle cost savings. COMPARED TO THE 2009 IECC— weightings found in the 2015 IECC Cost- The estimated energy cost savings Continued Effectiveness report (and also shown in associated with the 2015 IECC is shown Table 1 in the row labeled ‘‘Foundation in Table 2. This table is based on a Average annual combination of single-family homes and Weights’’). The results of that weighting Climate zone energy cost indicate that the typical first cost of a apartments/condos as described in savings home would be $2,051 and that of an DOE’s cost-effectiveness report. While ($/residence-yr) the weighting of homes and apartments/ apartment/condo would be $1,027. National Average ...... 315 These first cost increases should be condos may not be identical in the compared to the estimated first cost of private and Federal sectors, the trends are similar for both single-family homes The life-cycle cost impact of the 2015 new Federal low-rise residential IECC is shown in Table 3. Again, these construction, but that information is not and apartments/condos. The 2015 IECC saves a considerable amount of energy values represent the combination of typically publicly available. Instead, single-family homes and apartments/ DOE has chosen to compare these costs costs over the 2009 IECC in all climate zones in the United States. condos, but the trends are clear. The to typical costs in the private sector. 2015 IECC has large life cycle cost- The National Association of Realtors TABLE 2—AVERAGE ANNUAL ENERGY savings in all climate zones in the U.S. (NAR) in a press release dated COST SAVINGS FOR THE 2015 IECC September 21, 2015 states that the TABLE 3—TOTAL LIFE CYCLE COST COMPARED TO THE 2009 IECC median U.S. single family home price SAVINGS FOR THE 2015 IECC COM- was $230,200 in August 2015.20 The Average annual PARED TO THE 2009 IECC $2,051 cost increase represents Climate zone energy cost approximately 0.9% of the average cost savings Total life cycle of a new home. As previously stated, ($/residence-yr) Climate zone cost savings DOE does not believe that a large ($/residence-yr) fraction of Federal low-rise construction 1 ...... $179 2 ...... 220 1 ...... +$4,418 falls under this rule, but for comparison, 3 ...... 256 2 ...... +5,725 the same NAR press release lists the 4 ...... 353 3 ...... +6,569 price for condominiums at $217,400. 5 ...... 353 4 ...... +8,088 The $1,027 cost increase for 6 ...... 497 5 ...... +7,697 condominiums represents a 0.5% 7 ...... 841 6 ...... +11,231 increase. Any increase in first cost 8 ...... 1,199 7 ...... +17,525

19 DOE’s main source of Federal construction regulated under the Federal building energy rooms, and physical training facilities and are information, the Federal Real Property Profile, does efficiency standards for commercial and high-rise therefore designed by DOD using the Federal list Family Housing and Barracks/Apartments as multi-family buildings. While Barracks may be commercial and high-rise multi-family separate categories but does not differentiate envisioned long low buildings containing rows of requirements. Barracks/Apartments on the basis of number of cots, this vision is driven primarily by old-style 20 See http://www.realtor.org/news-releases/2015/ stories. DOE assumes the all Family Housing would barracks from the past. DOD’s new training barracks 09/existing-home-sales-stall-in-august-prices- fall under this rule, while Barracks/Apartments are tend to combine sleeping accommodations, class moderate.

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TABLE 3—TOTAL LIFE CYCLE COST for the design and construction of new Policy Act of 1969 (NEPA), as amended SAVINGS FOR THE 2015 IECC COM- Federal buildings, is a rule relating to (42 U.S.C. 4321 et seq.), and DOE’s PARED TO THE 2009 IECC—Contin- public property, and therefore is not NEPA Implementing Procedures (10 ued subject to the rulemaking requirements CFR part 1021). of the Administrative Procedure Act, The EA addresses the possible including the requirement to publish a Total life cycle incremental environmental effects Climate zone cost savings notice of proposed rulemaking. (See 5 attributable to the application of the ($/residence-yr) U.S.C. 553(a)(2)) final rule. The only anticipated impact 8 ...... +24,003 C. Review Under the Regulatory would be a decrease in outdoor air National Average ...... +7,421 Flexibility Act pollutants resulting from decreased The Regulatory Flexibility Act (5 fossil fuel burning for energy use in Multiplying the estimated 4936 new U.S.C. 601 et seq.) requires the Federal buildings. Therefore, DOE has Federal homes per year by the national preparation of an initial regulatory issued a Finding of No Significant average values in Tables 1, 2, and 3 flexibility analysis for any rule that by Impact (FONSI), pursuant to NEPA, the provides a summary of annual cost law must be proposed for public regulations of the Council on increases, energy savings, and first cost- comment, unless the agency certifies Environmental Quality (40 CFR parts increases for the entire Federal low-rise that the rule, if promulgated, will not 1500–1508), and DOE’s regulations for sector shown in Table 4. have a significant economic impact on compliance with NEPA (10 CFR part a substantial number of small entities. 1021). TABLE 4—ANNUAL NATIONAL AVERAGE As required by Executive Order 13272, To identify the potential FIRST COST INCREASE, ENERGY Proper Consideration of Small Entities environmental impacts that may result SAVINGS, AND LIFE CYCLE COST in Agency Rulemaking, 67 FR 53461 from implementing the final rule on SAVINGS FOR FEDERAL LOW RISE (August 16, 2002), DOE published new Federal low-rise residential RESIDENTIAL SECTOR FOR THE 2015 procedures and policies on February 19, buildings, DOE compared the IECC COMPARED TO 2009 IECC 2003, to ensure that the potential impacts of its rules on small entities are requirements of the final rule updating Annual national properly considered during the energy efficiency performance standard Metric average fist cost rulemaking process, 68 FR 7990. The for Federal new low-rise residential increase buildings to 2015 IECC with the ‘‘no- (million) Department has made its procedures and policies available on the Office of action alternative’’ of using the current Incremental First Cost In- General Counsel’s Web site: http:// Federal standards (the 2009 IECC). This crease ...... $9.24 energy.gov/gc/office-general-counsel. comparison is identical to that Energy Savings ...... 1.55 DOE has determined that a notice of undertaken by DOE in its Life Cycle Cost Savings 36.6 proposed rulemaking is not required by determinations of energy savings of 5 U.S.C. 553 or any other law for those standards and codes. B. Administrative Procedure Act issuance of this rule. As such, the Accordingly, DOE concludes in the DOE notes that the determination analytical requirements of the EA that new Federal buildings designed regarding the 2015 IECC in the context Regulatory Flexibility Act do not apply. and constructed to the 2015 IECC will of State building codes was subject to D. Review Under the Paperwork use less energy than new Federal notice and comment in evaluating the Reduction Act of 1995 buildings designed and constructed to voluntary consensus codes. See 79 FR the 2009 IECC because the 2015 IECC is This rulemaking will impose no new 57915 (September 26, 2014) for the more efficient than 2009 IECC. This preliminary determination and 80 FR information or record keeping requirements. Accordingly, Office of decrease in energy usage translates to 33250 (June 11, 2015) for the final reduced emissions of carbon dioxide determination. DOE also notes that the Management and Budget (OMB) clearance is not required under the (CO2), nitrogen oxides (NOX), and determination regarding the 2012 IECC mercury (Hg) over the thirty-year period in the context of State building codes Paperwork Reduction Act. (44 U.S.C. 3501 et seq). examined in the EA. Cumulative was subject to notice and comment in emission reductions for 30 years of evaluating the voluntary consensus E. Review Under the National construction (2018 through 2047) and codes. See 76 FR 42688 (July 19, 2011) Environmental Policy Act of 1969 30 years of energy reduction for each for the preliminary determination and building built during that period can be 77 FR 29322 (May 17, 2012) for the final The Department prepared an estimated at up to 4,114,800 metric tons determination. The determinations Environmental Assessment (EA) (DOE/ of CO , up to 3,147 metric tons of NO , made in the context of the State codes EA–2020) entitled, ‘‘Environmental 2 X are equally applicable in the context of Assessment for Final Rule, 10 CFR part and up to 0.0338 metric tons of Hg. DOE Federal buildings. DOE finds that 435, ‘Energy Efficiency Standards for conducted a separate calculation to providing notice and comment on the New Federal Low-Rise Residential determine emissions reductions relative Buildings,’ Baseline Standards to the targets identified in the CAP. This determinations again in the context of 21 Federal buildings would be Update,’’ pursuant to the Council on calculation showed that the cumulative unnecessary. The fact that the voluntary Environmental Quality’s (CEQ) reduction in CO2 emissions through consensus codes apply to Federal Regulations for Implementing the 2030 amounts to 690,220 metric tons of Procedural Provisions of the National 22 buildings as opposed to the general CO2. building stock does not require a Environmental Policy Act (40 CFR parts different evaluation of energy efficiency 1500–1508), the National Environmental 22 See discussion of CAP calculations in footnote and cost-effectiveness. Additionally, 12 on page 23 of the EA for this rule. The EA may 21 The EA may be found in the docket for this be found in the docket for this rulemaking and at DOE notes that this rule, which updates rulemaking and at https://energy.gov/sites/prod/ https://energy.gov/sites/prod/files/2016/12/f34/EA- energy efficiency performance standards files/2016/12/f34/EA-2020-FEA-2016.pdf. 2020-FEA-2016.pdf.

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F. Review Under Executive Order 13132, review regulations in light of applicable prepare a Family Policymaking ‘‘Federalism’’ standards in section 3(a) and section Assessment. 3(b) to determine whether they are met Executive Order 13132, ‘‘Federalism,’’ J. Review Under Executive Order 12630, or it is unreasonable to meet one or 64 FR 43255 (August 4, 1999), imposes ‘‘Governmental Actions and more of them. DOE has completed the certain requirements on agencies Interference With Constitutionally required review and determined that, to formulating and implementing policies Protected Property Rights’’ the extent permitted by law, this rule or regulations that preempt State law or The Department has determined, that have federalism implications. The meets the relevant standards of Executive Order 12988. under Executive Order 12630, Executive Order requires agencies to ‘‘Governmental Actions and Interference examine the constitutional and statutory H. Review Under the Unfunded with Constitutionally Protected Property authority supporting any action that Mandates Reform Act of 1995 Rights’’ 53 FR 8859 (March 18, 1988) would limit the policymaking discretion Title II of the Unfunded Mandates that this rule would not result in any of the States and to carefully assess the Reform Act of 1995 (UMRA) (Pub. L. takings which might require necessity for such actions. The 104–4) requires each Federal agency to compensation under the Fifth Executive Order also requires agencies assess the effects of Federal regulatory Amendment to the United States to have an accountable process to actions on State, local, and tribal Constitution. ensure meaningful and timely input by governments and the private sector. For K. Review Under the Treasury and State and local officials in the a proposed regulatory action likely to General Government Appropriations development of regulatory policies that result in a rule that may cause the Act, 2001 have federalism implications. On March expenditure by State, local, and tribal 14, 2000, DOE published a statement of governments, in the aggregate, or by the Section 515 of the Treasury and policy describing the intergovernmental private sector of $100 million or more General Government Appropriations consultation process it will follow in the in any one year (adjusted annually for Act, 2001 (44 U.S.C. 3516, note) development of such regulations, 65 FR inflation), section 202 of UMRA requires provides for agencies to review most 13735. DOE examined this rule and a Federal agency to publish a written disseminations of information to the determined that it does not preempt statement that estimates the resulting public under guidelines established by State law and does not have a costs, benefits, and other effects on the each agency pursuant to general substantial direct effect on the States, on national economy. (2 U.S.C. 1532(a) and guidelines issued by OMB. OMB’s the relationship between the national (b)) The UMRA also requires a Federal guidelines were published at 67 FR government and the States, or on the agency to develop an effective process 8452 (February 22, 2002), and DOE’s distribution of power and to permit timely input by elected guidelines were published at 67 FR responsibilities among the various officers of State, local, and tribal 62446 (October 7, 2002). DOE has levels of Government. No further action governments on a proposed ‘‘significant reviewed this final rule under the OMB is required by Executive Order 13132. intergovernmental mandate’’ and and DOE guidelines and has concluded that it is consistent with applicable G. Review Under Executive Order requires an agency plan for giving notice policies in those guidelines. 12988, ‘‘Civil Justice Reform’’ and opportunity for timely input to potentially affected small governments With respect to the review of existing L. Review Under Executive Order 13211, before establishing any requirements ‘‘Actions Concerning Regulations That regulations and the promulgation of that might significantly or uniquely new regulations, section 3(a) of Significantly Affect Energy Supply, affect small governments. On March 18, Distribution, or Use’’ Executive Order 12988, ‘‘Civil Justice 1997, DOE published a statement of Reform,’’ 61 FR 4729 (February 7, 1996), policy on its process for Executive Order 13211, ‘‘Actions imposes on Federal agencies the general intergovernmental consultation under Concerning Regulations That duty to adhere to the following UMRA (62 FR 12820) (also available at Significantly Affect Energy Supply, requirements: (1) Eliminate drafting http://energy.gov/gc/office-general- Distribution, or Use,’’ 66 FR 28355 (May errors and ambiguity; (2) write counsel). This final rule contains 22, 2001), requires Federal agencies to regulations to minimize litigation; and neither an intergovernmental mandate prepare and submit to the Office of (3) provide a clear legal standard for nor a mandate that may result in the Information and Regulatory Affairs affected conduct, rather than a general expenditure of $100 million or more in (OIRA), Office of Management and standard and promote simplification any year by State, local, and tribal Budget, a Statement of Energy Effects for and burden reduction. Section 3(b) of governments, in the aggregate, or by the any proposed significant energy action. Executive Order 12988 specifically private sector, so these requirements A ‘‘significant energy action’’ is defined requires that Executive agencies make under the Unfunded Mandates Reform as any action by an agency that every reasonable effort to ensure that the Act do not apply. promulgated or is expected to lead to regulation: (1) Clearly specifies the promulgation of a final rule, and that: preemptive effect, if any; (2) clearly I. Review Under the Treasury and (1) Is a significant regulatory action specifies any effect on existing Federal General Government Appropriations under Executive Order 12866, or any law or regulation; (3) provides a clear Act of 1999 successor order; and (2) is likely to have legal standard for affected conduct, Section 654 of the Treasury and a significant adverse effect on the while promoting simplification and General Government Appropriations supply, distribution, or use of energy, or burden reduction; (4) specifies the Act of 1999 (Pub. L. 105–277) requires (3) is designated by the Administrator of retroactive effect, if any; (5) adequately Federal agencies to issue a Family OIRA as a significant energy action. For defines key terms; and (6) addresses Policymaking Assessment for any rule any proposed significant energy action, other important issues affecting clarity that may affect family well-being. This the agency must give a detailed and general draftsmanship under any final rule would not have any impact on statement of any adverse effects on guidelines issued by the Attorney the autonomy or integrity of the family energy supply, distribution, or use General. Section 3(c) of Executive Order as an institution. Accordingly, DOE has should the proposal be implemented, 12988 requires Executive agencies to concluded that it is not necessary to and of reasonable alternatives to the

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action and their expected benefits on revisions, including procedures for Authority: 42 U.S.C. 6831–6832; 6834– energy supply, distribution, and use. timely, documented, consensus action 6836; 42 U.S.C. 8253–54, 42 U.S.C. 7101 et DOE’s Energy Information on requested changes to the IECC. The seq. Administration (EIA) estimates that new 2015 IECC was published in 2014. ■ 2. Section 435.2 is amended by: construction in the residential sector However, DOE is unable to conclude ■ a. Adding in alphabetical order the will range from average about 81 million whether the IECC fully complies with definition of ‘‘IECC Baseline Building households in the US in 2016, with a the requirements of section 32(b) of the 2015’’; and growth rate of roughly 0.8% per year FEAA (i.e., whether they were ■ b. Revising the definition of ‘‘New which is equivalent to about 648,000 developed in a manner that fully Federal building’’. new households per year.23 This rule is provides for public participation, The revision and addition read as expected to incrementally reduce the comment, and review). DOE has follows: 24 energy usage of approximately 4936 consulted with both the Attorney § 435.2 Definitions. units of Federal low-rise residential General and the Chairman of the FTC * * * * * construction annually. Thus, the rule about the impact on competition of IECC Baseline Building 2015 means a represents approximately 0.76% of the using the methods contained in these building that is otherwise identical to expected annual U.S. construction in standards and has received no the proposed building but is designed to 2017, and less in every succeeding year. comments objecting to their use. meet, but not exceed, the energy This final rule would not have a N. Description of Materials Incorporated efficiency specifications in the ICC IECC significant adverse effect on the supply, by Reference 2015 (incorporated by reference, see distribution, or use of energy and, § 435.3). therefore, is not a significant energy In this rule, DOE incorporates by action. Accordingly, DOE has not reference the ICC 2015 IECC, * * * * * prepared a Statement of Energy Effects. International Energy Conservation Code, New Federal building means any new Copyright 2014. This U.S. standard building (including a complete M. Review Under Section 32 of the provides minimum requirements for replacement of an existing building Federal Energy Administration Act of energy efficient designs for low-rise from the foundation up) to be 1974 residential buildings. Copies of this constructed by, or for the use of, any Under section 301 of the Department standard are available from the federal agency. Such term shall include of Energy Organization Act (Pub. L. 95– International Code Council, 4051 West buildings built for the purpose of being 91), DOE must comply with section 32 Flossmoor Road, Country Club Hills, IL leased by a federal agency, and of the Federal Energy Administration 60478, 1–888–422–7233, http:// privatized military housing. Act of 1974 (Pub. L. 93–275), as www.iccsafe.org. * * * * * amended by the Federal Energy VII. Congressional Notification ■ 3. Revise § 435.3(b) to read as follows: Administration Authorization Act of 1977 (Pub. L. 95–70). (15 U.S.C. 788) As required by 5 U.S.C. 801, DOE will § 435.3 Materials incorporated by Section 32 provides that where a report to Congress on the promulgation reference. proposed rule authorizes or requires use of this rule prior to its effective date. * * * * * of commercial standards, the NOPR The report will state that it has been (b) ICC. International Code Council, must inform the public of the use and determined that the rule is not a ‘‘major 4051 West Flossmoor Road, Country background of such standards. In rule’’ as defined by 5 U.S.C. 804(2). Club Hills, IL 60478, 1–888–422–7233, addition, section 32(c) requires DOE to VIII. Approval of the Office of the or go to http://www.iccsafe.org/. consult with the Department of Justice Secretary (1) ICC International Energy (DOJ) and the Federal Trade Conservation Code (IECC), 2004 The Secretary of Energy has approved Commission (FTC) concerning the Supplement Edition (‘‘IECC 2004’’), publication of this final rule. impact of the commercial or industry January 2005, IBR approved for standards on competition. List of Subjects in 10 CFR Part 435 §§ 435.2, 435.4, 435.5; Although section 32 specifically refers (2) ICC International Energy Buildings and facilities, Energy Conservation Code (IECC), 2009 Edition to the proposed rule stage, DOE is conservation, Federal buildings and meeting these requirements at the final (‘‘IECC 2009’’), January 2009, IBR facilities, Housing, Incorporation by approved for §§ 435.2, 435.4, 435.5. rule stage because there was no reference. proposed rule for this action. This final (3) ICC International Energy rule incorporates testing methods Issued in Washington, DC, on December Conservation Code (IECC), 2015 Edition contained in the following commercial 28, 2016. (‘‘IECC 2015’’), published May 30, 2014, standard: ICC 2015 IECC, International David J. Friedman, IBR approved for §§ 435.2, 435.4, 435.5. Energy Conservation Code, 2014, Acting Assistant Secretary, Energy Efficiency ■ 4. Section 435.4 is amended by: International Code Council, ISBN 978– and Renewable Energy. ■ a. Revising the introductory text of 1–60983–486–9. For the reasons set forth in the paragraph (a)(2); DOE has evaluated these standards preamble, the Department of Energy ■ b. Adding paragraph (a)(3); and and notes that the IECC Standard is amends part 435 of chapter II of title 10 ■ c. Revising paragraph (b). developed under ICC’s governmental of the Code of Federal Regulations as set The revisions and addition reads as consensus standard procedures, and is forth below: follows: under a three-year maintenance cycle. PART 435—ENERGY EFFICIENCY § 435.4 Energy efficiency performance ICC has established a program for standard. regular publication of errata and STANDARDS FOR THE DESIGN AND CONSTRUCTION OF NEW FEDERAL (a) * * * (2) All Federal agencies shall design 23 See Table A4 of the 2016 Annual Energy LOW-RISE RESIDENTIAL BUILDINGS Outlook at http://www.eia.gov/forecasts/aeo/. new Federal buildings that are low-rise ■ 24 See Environmental Assessment for this rule for 1. The authority citation for part 435 residential buildings, for which design origin of the 4936 homes estimate. continues to read as follows: for construction began on or after

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August 10, 2012, but before January 10, building by using the Simulated Points, and subsequent amendments can 2018 to: Performance Alternative found in be viewed online at http://www.faa.gov/ * * * * * section R405 of the IECC 2015 air_traffic/publications/. For further (3) All Federal agencies shall design (incorporated by reference, see § 435.3). information, you can contact the new Federal buildings that are low-rise [FR Doc. 2017–00025 Filed 1–9–17; 8:45 am] Airspace Policy Group, Federal Aviation residential buildings, for which design BILLING CODE 6450–01–P Administration, 800 Independence for construction began on or after Avenue SW., Washington, DC, 20591; January 10, 2018 to: telephone: 202–267–8783. The Order is (i) Meet the IECC 2015, (incorporated DEPARTMENT OF TRANSPORTATION also available for inspection at the by reference, see § 435.3), including the National Archives and Records mandatory mechanical ventilation Federal Aviation Administration Administration (NARA). For requirements in Section R403.6 of the information on the availability of FAA 2015 IECC; and 14 CFR Part 71 Order 7400.11A at NARA, call 202–741– (ii) If life-cycle cost-effective, achieve 6030, or go to http://www.archives.gov/ [Docket No. FAA–2016–8833; Airspace federal_register/code_of_federal- energy consumption levels, calculated Docket No. 16–ACE–8] consistent with paragraph (b) of this regulations/ibr_locations.html. section, that are at least 30 percent Amendment of Class E Airspace for FAA Order 7400.11, Airspace below the levels of the IECC Baseline the Following Iowa Towns; Algona, IA; Designations and Reporting Points, is Building 2015. Ankeny, IA; Atlantic, IA; Belle Plane, published yearly and effective on (b)(1) For new Federal low-rise IA; Creston, IA; Estherville, IA; September 15. residential buildings whose design for Grinnell, IA; Guthrie Center, IA; and FOR FURTHER INFORMATION CONTACT: construction began before January 10, Oelwein, IA Jeffrey Claypool, Federal Aviation 2018, energy consumption for the Administration, Operations Support purposes of calculating the 30 percent AGENCY: Federal Aviation Group, Central Service Center, 10101 savings shall include space heating, Administration (FAA), DOT. Hillwood Parkway, Fort Worth, TX space cooling, and domestic water ACTION: Final rule. 76177; telephone (817) 222–5711. heating. SUPPLEMENTARY INFORMATION: (2) For new Federal low-rise SUMMARY: This action modifies Class E residential buildings whose design for surface area at Ankeny Regional Airport, Authority for This Rulemaking construction began on or after before Ankeny, IA; and Class E airspace extending upward from 700 feet above The FAA’s authority to issue rules January 10, 2018, energy consumption regarding aviation safety is found in for the purposes of calculating the 30 the surface at Algona Municipal Airport, Algona, IA; Ankeny Regional Airport; Title 49 of the United States Code. percent savings shall include space Subtitle I, Section 106 describes the heating, space cooling, lighting, Atlantic Municipal Airport, Atlantic, IA; Belle Plaine Municipal Airport, Belle authority of the FAA Administrator. mechanical ventilation, and domestic Subtitle VII, Aviation Programs, water heating. Plaine, IA; Creston Municipal Airport, Creston, IA; Estherville Municipal describes in more detail the scope of the * * * * * Airport, Estherville, IA; Grinnell agency’s authority. This rulemaking is ■ 5. Revise § 435.5 to read as follows: Regional Airport, Grinnell, IA; Guthrie promulgated under the authority described in Subtitle VII, Part A, § 435.5 Performance level determination. County Regional Airport, Guthrie Center, IA; and Oelwein Municipal Subpart I, Section 40103. Under that (a) For new Federal buildings for Airport, Oelwein, IA. Decommissioning section, the FAA is charged with which design for construction began on of non-directional radio beacons (NDB), prescribing regulations to assign the use or after January 3, 2007, but before cancellation of NDB approaches, and of airspace necessary to ensure the August 10, 2012, each Federal agency implementation of area navigation safety of aircraft and the efficient use of shall determine energy consumption (RNAV) procedures have made this airspace. This regulation is within the levels for both the IECC Baseline action necessary for the safety and scope of that authority as it amends Building 2004 and proposed building by management of Instrument Flight Rules Class E surface area at Ankeny Regional using the Simulated Performance (IFR) operations at these airports. Airport, Ankeny, IA; and Class E Alternative found in section 404 of the Additionally, the geographic airspace extending upward from 700 IECC 2004 (incorporated by reference, coordinates for Algona Municipal feet above the surface at Algona see § 435.3). Airport, Atlantic Municipal Airport, and Municipal Airport, Algona, IA; Ankeny (b) For new Federal buildings for Grinnell Regional Airport are being Regional Airport; Atlantic Municipal which design for construction began on adjusted to coincide with the FAA’s Airport, Atlantic, IA; Belle Plaine or after August 10, 2012, but before aeronautical database. The name of Municipal Airport, Belle Plaine, IA; January 10, 2018, each Federal agency Belle Plaine, IA, is also being adjusted Creston Municipal Airport, Creston, IA; shall determine energy consumption to correct a misspelling in the legal Estherville Municipal Airport, levels for both the IECC Baseline description. Estherville, IA; Grinnell Regional Building 2009 and proposed building by Airport, Grinnell, IA; Guthrie County using the Simulated Performance DATES: Effective 0901 UTC, April 27, Regional Airport, Guthrie Center, IA; Alternative found in section 405 of the 2017. The Director of the Federal and Oelwein Municipal Airport, IECC 2009 (incorporated by reference, Register approves this incorporation by Oelwein, IA. see § 435.3). reference action under Title 1, Code of (c) For new Federal buildings for Federal Regulations, part 51, subject to History which design for construction began on the annual revision of FAA Order On September 23, 2016, the FAA or after January 10, 2018 each Federal 7400.11 and publication of conforming published in the Federal Register a agency shall determine energy amendments. notice of proposed rulemaking (NPRM), consumption levels for both the IECC ADDRESSES: FAA Order 7400.11A, (81 FR 65583) Docket No. FAA–2016– Baseline Building 2015 and proposed Airspace Designations and Reporting 8833, to amend Class E surface area at

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Ankeny Regional Airport, Ankeny, IA; to coincide with the FAA’s aeronautical Impacts: Policies and Procedures,’’ and Class E airspace extending upward database; paragraph 5–6.5.a. This airspace action from 700 feet above the surface at Within a 6.5-mile radius (reduced is not expected to cause any potentially Algona Municipal Airport, Algona, IA; from the previous 7.5-mile radius) of significant environmental impacts, and Ankeny Regional Airport; Atlantic Belle Plaine Municipal Airport, Belle no extraordinary circumstances exist Municipal Airport, Atlantic, IA; Belle Plaine, IA, and correcting city that warrant preparation of an Plaine Municipal Airport, Belle Plaine, designation from Belle Plane to Belle environmental assessment. IA; Creston Municipal Airport, Creston, Plaine; Lists of Subjects in 14 CFR Part 71 IA; Estherville Municipal Airport, By removing the 11-mile extension Estherville, IA; Grinnell Regional south of Creston Municipal Airport, Airspace, Incorporation by reference, Airport, Grinnell, IA; Guthrie County Creston, IA; Navigation (Air). By removing the 7.4-mile extensions Regional Airport, Guthrie Center, IA; Adoption of the Amendment and Oelwein Municipal Airport, south and northwest of Estherville Oelwein, IA. Interested parties were Municipal Airport, Estherville, IA; In consideration of the foregoing, the invited to participate in this rulemaking Within a 6.5-mile radius (reduced Federal Aviation Administration effort by submitting written comments from the previous 7.6-mile radius) of amends 14 CFR part 71 as follows: on the proposal to the FAA. No Grinnell Regional Airport, Grinnell, IA, PART 71—DESIGNATION OF CLASS A, comments were received. and updating the geographical B, C, D, AND E AIRSPACE AREAS; AIR Class E airspace designations are coordinates of the airport to coincide TRAFFIC SERVICE ROUTES; AND published in paragraph 6002 and 6005, with the FAA’s aeronautical database; REPORTING POINTS respectively, of FAA Order 7400.11A, By adding an extension to the north from the 6.4-mile radius to 9.8 miles of dated August 3, 2016, and effective ■ Guthrie County Regional Airport, 1. The authority citation for part 71 September 15, 2016, which is continues to read as follows: incorporated by reference in 14 CFR Guthrie Center, IA; 71.1. The Class E airspace designations And within a 6.4-mile radius (reduced Authority: 49 U.S.C. 106(f), 106(g); 40103, listed in this document will be from the previous 7.3-mile radius) of 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., p. 389. published subsequently in the Order. Oelwein Municipal Airport, Oelwein, IA. § 71.1 [Amended] Availability and Summary of Airspace reconfiguration is necessary Documents for Incorporation by due to the decommissioning of the ■ 2. The incorporation by reference in Reference Mapleton NDB, cancellation of NDB 14 CFR 71.1 of FAA Order 7400.11A, This document amends FAA Order approaches, and implementation of Airspace Designations and Reporting 7400.11A, Airspace Designations and RNAV procedures at the airport and for Points, dated August 3, 2016, and Reporting Points, dated August 3, 2016, the safety and management of the effective September 15, 2016, is and effective September 15, 2016. FAA standard instrument approach amended as follows: Order 7400.11A is publicly available as procedures for IFR operations at these Paragraph 6002 Class E Airspace listed in the ADDRESSES section of this airports. Designated as Surface Areas. document. FAA Order 7400.11A lists Regulatory Notices and Analyses * * * * * Class A, B, C, D, and E airspace areas, ACE IA E2 Ankeny, IA [Amended] air traffic service routes, and reporting The FAA has determined that this points. regulation only involves an established Ankeny Regional Airport, IA body of technical regulations for which (Lat. 41°41′29″ N., long. 93°33′59″ W.) The Rule frequent and routine amendments are Within a 4.2-mile radius of Ankeny This amendment to Title 14, Code of necessary to keep them operationally Regional Airport, excluding that portion Federal Regulations (14 CFR) part 71 current, is non-controversial and within the Des Moines Class C airspace area. modifies: unlikely to result in adverse or negative * * * * * comments. It, therefore: (1) Is not a Class E surface area airspace within a Paragraph 6005 Class E Airspace Areas 4.2-mile radius (increased from the 4- ‘‘significant regulatory action’’ under Extending Upward From 700 Feet or More mile radius) of Ankeny Regional Executive Order 12866; (2) is not a Above the Surface of the Earth. Airport, Ankeny, IA; ‘‘significant rule’’ under DOT * * * * * Class E airspace extending upward Regulatory Policies and Procedures (44 from 700 feet above the surface: FR 11034; February 26, 1979); and (3) ACE IA E5 Algona, IA [Amended] By removing the 10-mile extension does not warrant preparation of a Algona Municipal Airport, IA northwest of Algona Municipal Airport, Regulatory Evaluation as the anticipated (Lat. 43°04’41″ N., long. 94°16’19″ W.) Algona, IA, and updating the geographic impact is so minimal. Since this is a That airspace extending upward from 700 coordinates of the airport to coincide routine matter that only affects air traffic feet above the surface within a 6.4-mile with the FAA’s aeronautical database; procedures and air navigation, it is radius of Algona Municipal Airport. Within a 6.7-mile radius (reduced certified that this rule, when * * * * * from the previous 7.1-mile radius) of promulgated, does not have a significant ACE IA E5 Ankeny, IA [Amended] Ankeny Regional Airport, Ankeny, IA, economic impact on a substantial and removing the extensions 9.3 miles Ankeny Regional Airport, IA number of small entities under the ° ′ ″ ° ′ ″ northeast and 11.1 miles north of the criteria of the Regulatory Flexibility Act. (Lat.41 41 29 N., long. 93 33 59 W.) airport; That airspace extending upward from 700 Within a 7.2-mile radius (increased Environmental Review feet above the surface within a 6.7-mile from the 6.8-mile radius) of Atlantic The FAA has determined that this radius of Ankeny Regional Airport, excluding that portion within the Des Moines Class C Municipal Airport, Atlantic, IA, with an action qualifies for categorical exclusion airspace area. extension to the northeast from the 7.2- under the National Environmental mile radius to 9.2 miles, and updating Policy Act in accordance with FAA ACE IA E5 Atlantic, IA [Amended] the geographic coordinates of the airport Order 1050.1F, ‘‘Environmental Atlantic Municipal Airport, IA

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(Lat. 41°24′14″ N., long. 95°02′56″ W.) DEPARTMENT OF TRANSPORTATION Authority for This Rulemaking That airspace extending upward from 700 The FAA’s authority to issue rules Federal Aviation Administration feet above the surface within a 7.2-mile regarding aviation safety is found in radius of Atlantic Municipal Airport and Title 49 of the United States Code. within 1.8 miles each side of the 022° bearing 14 CFR Part 71 Subtitle I, Section 106 describes the from the airport extending from the 7.2-mile authority of the FAA Administrator. radius to 9.2 miles northeast of the airport. [Docket No. FAA–2016–3193; Airspace Subtitle VII, Aviation Programs, * * * * * Docket No. 15–AAL–3] describes in more detail the scope of the agency’s authority. This rulemaking is ACE IA E5 Belle Plaine, IA [Amended] RIN 2120–AA66 promulgated under the authority Belle Plaine Municipal Airport, IA described in Subtitle VII, Part A, (Lat. 41°52′44″ N., long. 92°17′04″ W.) Amendment of VOR Federal Airway Subpart I, Section 40103. Under that That airspace extending upward from 700 V–506; Kotzebue, AK section, the FAA is charged with feet above the surface within a 6.5-mile prescribing regulations to assign the use AGENCY: radius of Belle Plaine Municipal Airport, Federal Aviation of the airspace necessary to ensure the excluding that portion which overlies the Administration (FAA), DOT. safety of aircraft and the efficient use of Cedar Rapids, IA, Class E airspace area. ACTION: Final rule. airspace. This regulation is within the * * * * * scope of that authority as it modifies the SUMMARY: This action amends Alaskan air traffic service route structure in ACE IA E5 Creston, IA [Amended] VHF Omnidirectional Range (VOR) Alaska to maintain the efficient flow of Creston Municipal Airport, IA Federal airway V–506 by lowering the air traffic. (Lat. 41°01′17″ N., long. 94°21′48″ W.) floor of class E controlled airspace due History That airspace extending upward from 700 to the establishment of a lower global feet above the surface within a 6.5-mile navigation satellite system (GNSS) On March 7, 2016, the FAA published radius of Creston Municipal Airport. Minimum Enroute Altitude (MEA). This in the Federal Register a notice of action allows for maximum use of the proposed rulemaking (NPRM) (81 FR * * * * * airspace within the National Airspace 11694), Docket No. FAA–2016–3193, to ACE IA E5 Estherville, IA [Amended] System in Alaska. amend VOR Federal airway V–506 by Estherville Municipal Airport, LA DATES: Effective date 0901 UTC, March lowering the floor of Class E controlled (Lat. 43°24′27″ N long. 94°44′47″ W.) 2, 2017. The Director of the Federal airspace due to the establishment of a lower GNSS MEA on a segment of the That airspace extending upward from 700 Register approves this incorporation by reference action under title 1, Code of route. Interested parties were invited to feet above the surface within a 6.5-mile participate in this rulemaking effort by radius of Estherville Municipal Airport. Federal Regulations, part 51, subject to the annual revision of FAA, Order submitting written comments on the * * * * * 7400.11 and publication of conforming proposal. One comment was received. ACE IA E5 Grinnell, IA [Amended] amendments. Discussion of Comment Grinnell Regional Airport, IA ADDRESSES: FAA Order 7400.11A, The comment received generally (Lat. 41°42′36″ N., long. 92°44′10″ W.) Airspace Designations and Reporting asked whether there would be any That airspace extending upward from 700 Points, and subsequent amendments can safety issues by lowering the floor of feet above the surface within a 6.5-mile be viewed online at http://www.faa.gov/ Class E airspace? radius of Grinnell Regional Airport. air_traffic/publications/. For further The FAA finds the proposed information, you can contact the modification is in accordance with the ACE IA E5 Guthrie Center, IA [Amended] Airspace Policy Group, Federal Aviation criteria and guidelines in FAA Order Guthrie County Regional Airport, IA Administration, 800 Independence 7400.2, and it does not introduce new (Lat. 41°41′13″ N., long. 93°26′06″ W.) Avenue SW., Washington, DC 20591; or increased safety risk into the National That airspace extending upward from 700 telephone: (202) 267–8783. The Order is Airspace System, including Visual feet above the surface within a 6.4-mile also available for inspection at the Flight Rules (VFR) operations and radius of the Guthrie County Regional National Archives and Records Instrument Flight Rules (IFR) Airport, and within 2 miles each side of the Administration (NARA). For operations. 360° bearing from the airport extending from information on the availability of FAA For VFR operations, the modified the 6.4-mile radius to 9.8 miles north of the Order 7400.11A at NARA, call (202) Class G (uncontrolled) airspace stratum airport. 741–6030, or go to http:// would extend upward from the surface * * * * * www.archives.gov/federal_register/ to 7,499 feet mean sea level (MSL). The code_of_federal-regulations/ibr_ maximum terrain and obstruction ACE IA E5 Oelwein, IA [Amended] locations.html. elevation in this area is 5,300 feet MSL. Oelwein Municipal Airport, IA FAA Order 7400.11, Airspace The depth of the Glass G airspace ° ′ ″ ° ′ ″ (Lat. 42 40 51 N., long. 91 58 28 W.) Designations and Reporting Points, is stratum will therefore remain at least That airspace extending upward from 700 published yearly and effective on 2,199 feet, which exceeds the minimum feet above the surface within a 6.4-mile September 15. airspace necessary for VFR cruise flight radius of Oelwein Municipal Airport. over non-congested areas in accordance FOR FURTHER INFORMATION CONTACT: with 14 CFR 91.119. It should also be Issued in Fort Worth, Texas, on December Kenneth Ready, Airspace Policy Group, 28, 2016. noted, VFR flight is permitted within Office of Airspace Services, Federal Class E airspace, with the only Thomas L. Lattimer, Aviation Administration, 800 additional or different requirement Acting Manager, Operations Support Group, Independence Avenue SW., (from Class G airspace) being increased ATO Central Service Center. Washington, DC 20591; telephone: (202) cloud clearance and visibility minima. [FR Doc. 2017–00186 Filed 1–9–17; 8:45 am] 267–8783. Additionally, no safety issues or BILLING CODE 4910–13–P SUPPLEMENTARY INFORMATION: increased risk would be introduced for

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IFR operations. The airspace necessary to keep them operationally PART 71—DESIGNATION OF CLASS A, modification would lower the floor of current. It, therefore: (1) Is not a B, C, D, AND E AIRSPACE AREAS; AIR Class E (controlled) airspace along the ‘‘significant regulatory action’’ under TRAFFIC SERVICE ROUTES; AND specific portion of V–506 from 9,500 Executive Order 12866; (2) is not a REPORTING POINTS feet MSL to 7,500 feet MSL. This action ‘‘significant rule’’ under Department of would lower the minimum altitude for Transportation (DOT) Regulatory ■ 1. The authority citation for part 71 is air traffic control services and Policies and Procedures (44 FR 11034; amended to read as follows: accommodate the minimum GNSS February 26, 1979); and (3) does not Authority: 49 U.S.C. 106(f), 106(g), 40103, (MEA) for the airway of 8,000 feet MSL, warrant preparation of a regulatory 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, while maintaining a 500 foot airspace evaluation as the anticipated impact is 1959–1963 Comp., p.389 buffer between IFR aircraft and so minimal. Since this is a routine § 71.1 [Amended] uncontrolled airspace. The airway matter that only affects air traffic would provide a buffer of greater than ■ 2. The incorporation by reference in procedures and air navigation, it is 2,000 feet between IFR aircraft and the 14 CFR 71.1 of FAA Order 7400.11A, certified that this rule, when maximum terrain and obstacle Airspace Designations and Reporting elevation. Lastly it would provide IFR promulgated, does not have a significant Points, dated August 3, 2016 and aircraft experiencing icing conditions economic impact on a substantial effective September 15, 2016, is the ability to fly 2,000 feet lower than number of small entities under the amended as follows: criteria of the Regulatory Flexibility Act. previously allowed, and remain within Paragraph 6010(b) Alaskan VOR Federal controlled airspace. Environmental Review Airways Alaskan VOR Federal Airways are * * * * * published in paragraph 6010(b) of FAA The FAA has determined that this Order 7400.11A dated August 3, 2016, action of amending Alaskan VHF V–506 [Amended] and effective September 15, 2016, which Omnidirectional Range (VOR) Federal From INT Kodiak, AK, 107° radial and the is incorporated by reference in 14 CFR airway V–506 by lowering the floor of Anchorage Oceanic CTA/FIR boundary, 37 71.1. The Alaskan VOR Federal airways class E controlled airspace due to the miles 20 MSL, 24 miles 12 AGL, Kodiak; 50 listed in this document will be establishment of a lower global miles 12 AGL, 50 miles 95 MSL, 51 miles 12 published subsequently in the Order. AGL, King Salmon, AK; 51 miles 12 AGL, 84 navigation satellite system (GNSS) miles 70 MSL, 63 miles 12 AGL, Bethel, AK; Availability and Summary of Minimum Enroute Altitude (MEA) Nome, AK; 35 miles 12 AGL, 71 miles 55 Documents for Incorporation by qualifies for categorical exclusion under MSL, 53 miles 12 AGL, Kotzebue, AK; Reference the National Environmental Policy Act, Hotham, AK, NDB; 69 miles 12 AGL, 124 miles 75 MSL, 98 miles 12 AGL, Barrow, AK. This document amends FAA Order its implementing regulations at 40 CFR 7400.11A, Airspace Designations and part 1500, and in accordance with FAA * * * * * Reporting Points, dated August 3, 2016, Order 1050.1F. Environmental Impacts: Issued in Washington, DC, on January 3, and effective September 15, 2016. FAA Policies and Procedures, Paragraph 5– 2017. Order 7400.11A is publicly available as 6.5a which categorically excludes from Gemechu Gelgelu, listed in the ADDRESSES section of this further environmental review Acting Manager, Airspace Policy Group. document. FAA Order 7400.11A lists Rulemaking actions that designate or [FR Doc. 2017–00077 Filed 1–9–17; 8:45 am] Class A, B, C, D, and E airspace areas, modify classes of airspace areas, BILLING CODE 4910–13–P air traffic service routes, and reporting airways, routes, and reporting points points. (see 14 CFR part 71, Designation of DEPARTMENT OF TRANSPORTATION The Rule Class A, B, C, D, and E Airspace Areas; Air Traffic Service Routes; and The FAA is amending Title 14, Code Reporting Points). This action is not Federal Aviation Administration of Federal Regulations (14 CFR) part 71 expected to cause any potentially to modify VOR Federal airwayV–506 in significant environmental impacts. In 14 CFR Part 71 the vicinity of Kotzebue, AK, due to the accordance with FAA Order 1050.1F, [Docket No. FAA–2015–7488; Airspace establishment of a lower GNSS paragraph 5–2 regarding Extraordinary Docket No. 15–ASW–19] Minimum Enroute Altitude. The route Circumstances, this action has been modifications are outlined below. reviewed for factors and circumstances Amendment of Class D and Class E V–506: V–506 extends from the Airspace and Revocation of Class E in which a normally categorically intersection of Kodiak, AK, VOR/DME Airspace; Roswell, NM 107° radial and the Anchorage Oceanic excluded action may have a significant CTA/FIR boundary to the Barrow, AK, environmental impact requiring further AGENCY: Federal Aviation VOR/DME. A portion of the route analysis, and it is determined that no Administration (FAA), DOT. segment between the Hotham, AK, NDB extraordinary circumstances exist that ACTION: Final rule. and the Barrow, AK, VOR/DME is warrant preparation of an amended to a lower MEA from 95 MSL environmental assessment. SUMMARY: This action modifies Class D to 75 MSL. airspace, Class E surface area airspace, All radials in the regulatory text route Lists of Subjects in 14 CFR Part 71 and Class E airspace extending upward from 700 feet above the surface at descriptions below are stated in True Airspace, Incorporation by reference, Roswell, NM. This action is necessary degrees. Navigation (air). due to advances Global Positioning Regulatory Notices and Analyses Adoption of the Amendment System (GPS) capabilities and The FAA has determined that this implementation of area navigation regulation only involves an established In consideration of the foregoing, the (RNAV) procedures at Roswell body of technical regulations for which Federal Aviation Administration International Air Center, Roswell, NM. frequent and routine amendments are amends 14 CFR part 71 as follows: Additionally, this action removes Class

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E airspace designated as an extension at History side of the Chisum VORTAC 278° radial Roswell International Air Center. This On March 28, 2016, the FAA extending from the 7.4-mile radius to 11 action also updates the name and published in the Federal Register (81 miles vice 23 miles; and the extension geographic coordinates of the airport FR 17116) Docket No. FAA–2015–7488, to the northeast being removed. and the Chisum VHF omnidirectional a notice of proposed rulemaking Additionally, the Class E airspace range collocate tactical air navigation (NPRM) to modify Class D airspace, designated as an extension at the airport (VORTAC) to coincide with the FAA’s Class E surface area airspace, Class E is removed as it is no longer needed. All aeronautical database. airspace extending upward from 700 modifications to the Class E airspace are in accordance with airspace DATES: Effective 0901 UTC, April 27, feet above the surface, and remove Class requirements specified in FAA Joint 2017. The Director of the Federal E airspace designated as an extension at Order 7400.2K. The airport name and Register approves this incorporation by Roswell International Air Center, geographic coordinates are amended in reference action under Title 1, Code of Roswell, NM. Interested parties were the existing Class D and Class E airspace Federal Regulations, part 51, subject to invited to participate in this rulemaking areas to be in concert with the FAA’s the annual revision of FAA Order effort by submitting written comments aeronautical database. The geographic 7400.11 and publication of conforming on the proposal to the FAA. Subsequent coordinates for the Chisum VORTAC amendments. to publication, the FAA found that the geographic coordinates for the Chisum noted in Class E airspace extending ADDRESSES: FAA Order 7400.11A, VORTAC needed to be adjusted to upward from 700 feet above the surface Airspace Designations and Reporting coincide with the FAA’s aeronautical are also adjusted. Points, and subsequent amendments can database. That adjustment has been be viewed online at http://www.faa.gov/ Regulatory Notices and Analyses incorporated in this action. air_traffic/publications/. For further Class D and E airspace designations The FAA has determined that this information, you can contact the are published in paragraph 5000, 6002, regulation only involves an established Airspace Policy Group, Federal Aviation 6004, and 6005, respectively, of FAA body of technical regulations for which Administration, 800 Independence Order 7400.11A, dated August 3, 2016, frequent and routine amendments are Avenue SW., Washington, DC, 20591; and effective September 15, 2016, which necessary to keep them operationally telephone: 202–267–8783. The Order is is incorporated by reference in 14 CFR current, is non-controversial and also available for inspection at the 71.1. The Class D and E airspace unlikely to result in adverse or negative National Archives and Records designations listed in this document comments. It, therefore: (1) Is not a Administration (NARA). For will be published subsequently in the ‘‘significant regulatory action’’ under information on the availability of FAA Order. Executive Order 12866; (2) is not a Order 7400.11A at NARA, call 202–741– ‘‘significant rule’’ under DOT 6030, or go to http://www.archives.gov/ Availability and Summary of Regulatory Policies and Procedures (44 federal_register/code_of_federal- Documents for Incorporation by _ FR 11034; February 26, 1979); and (3) regulations/ibr locations.html. Reference does not warrant preparation of a FAA Order 7400.11, Airspace This document amends FAA Order Regulatory Evaluation as the anticipated Designations and Reporting Points, is 7400.11A, Airspace Designations and impact is so minimal. Since this is a published yearly and effective on Reporting Points, dated August 3, 2016, routine matter that only affects air traffic September 15. and effective September 15, 2016. FAA procedures and air navigation, it is FOR FURTHER INFORMATION CONTACT: Order 7400.11A is publicly available as certified that this rule, when Jeffrey Claypool, Federal Aviation listed in the ADDRESSES section of this promulgated, does not have a significant Administration, Operations Support document. FAA Order 7400.11A lists economic impact on a substantial Group, Central Service Center, 10101 Class A, B, C, D, and E airspace areas, number of small entities under the Hillwood Parkway, Fort Worth, TX, air traffic service routes, and reporting criteria of the Regulatory Flexibility Act. points. 76177; telephone (817) 222–5711. Environmental Review SUPPLEMENTARY INFORMATION: The Rule The FAA has determined that this Authority for This Rulemaking This amendment to Title 14, Code of action qualifies for categorical exclusion Federal Regulations (14 CFR) part 71 under the National Environmental The FAA’s authority to issue rules modifies Class E airspace extending Policy Act in accordance with FAA regarding aviation safety is found in upward from 700 feet above the surface Order 1050.1F, ‘‘Environmental Title 49 of the United States Code. at Roswell International Air Center, Impacts: Policies and Procedures,’’ Subtitle I, Section 106 describes the Roswell, NM. Cancellation of the paragraph 5–6.5.a. This airspace action authority of the FAA Administrator. standard instrument approach is not expected to cause any potentially Subtitle VII, Aviation Programs, procedures (SIAPs), advances in GPS significant environmental impacts, and describes in more detail the scope of the capabilities, and implementation of no extraordinary circumstances exist agency’s authority. This rulemaking is RNAV procedures at Roswell that warrant preparation of an promulgated under the authority International Air Center (formerly environmental assessment. described in Subtitle VII, Part A, Roswell Industrial Air Center), is Subpart I, Section 40103. Under that necessary for the safety and Lists of Subjects in 14 CFR Part 71 section, the FAA is charged with management of IFR operations at the prescribing regulations to assign the use airport. Airspace, Incorporation by reference, of airspace necessary to ensure the The class E airspace area extending Navigation (Air). safety of aircraft and the efficient use of upward from 700 feet above the surface Adoption of the Amendment airspace. This regulation is within the at the airport is reduced from a 12.7- scope of that authority as it amends mile radius to a 7.4-mile radius, with In consideration of the foregoing, the Class D and Class E airspace at Roswell the extension to the northwest being Federal Aviation Administration International Air Center, Roswell, NM. reduced from 4 miles to 1.7 miles each amends 14 CFR part 71 as follows:

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PART 71—DESIGNATION OF CLASS A, Issued in Fort Worth, Texas, on December ADDRESSES: FAA Order 7400.11A, B, C, D, AND E AIRSPACE AREAS; AIR 28, 2016. Airspace Designations and Reporting TRAFFIC SERVICE ROUTES; AND Thomas L. Lattimer, Points, and subsequent amendments can REPORTING POINTS Acting Manager, Operations Support Group, be viewed online at http://www.faa.gov/ ATO Central Service Center. air_traffic/publications/. For further ■ 1. The authority citation for part 71 [FR Doc. 2017–00184 Filed 1–9–17; 8:45 am] information, you can contact the continues to read as follows: BILLING CODE 4910–13–P Airspace Policy Group, Federal Aviation Authority: 49 U.S.C. 106(f), 106(g); 40103, Administration, 800 Independence 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Avenue SW., Washington, DC, 20591; 1959–1963 Comp., p. 389. DEPARTMENT OF TRANSPORTATION telephone: 202–267–8783. The Order is also available for inspection at the § 71.1 [Amended] Federal Aviation Administration National Archives and Records ■ 2. The incorporation by reference in Administration (NARA). For 14 CFR 71.1 of FAA Order 7400.11A, 14 CFR Part 71 information on the availability of FAA Airspace Designations and Reporting Order 7400.11A at NARA, call 202–741– Points, dated August 3, 2016, and [Docket No. FAA–2016–8830; Airspace 6030, or go to http://www.archives.gov/ effective September 15, 2016, is Docket No. 16–AGL–18] federal_register/code_of_federal- _ amended as follows: Amendment of Class E Airspace for regulations/ibr locations.html. FAA Order 7400.11, Airspace Paragraph 5000 Class D Airspace. the Following Wisconsin Towns; Land Designations and Reporting Points, is * * * * * O’ Lakes, WI; Manitowish Waters, WI; Merrill, WI; Oconto, WI; Phillips, WI; published yearly and effective on ASW NM D Roswell, NM [Amended] Platteville, WI; Solon Springs, WI; September 15. Roswell International Air Center, NM Superior, WI; and West Bend, WI FOR FURTHER INFORMATION CONTACT: (Lat. 33°18′06″ N., long. 104°31′50″ W.) Jeffrey Claypool, Federal Aviation That airspace extending upward from the AGENCY: Federal Aviation Administration, Operations Support surface to and including 6,200 feet MSL Administration (FAA), DOT. Group, Central Service Center, 10101 within a 5-mile radius of Roswell ACTION: Final rule. Hillwood Parkway, Fort Worth, TX International Air Center. This Class D 76177; telephone (817) 222–5711. airspace area is effective during the specific SUMMARY: This action modifies Class E SUPPLEMENTARY INFORMATION: dates and times established in advance by a airspace extending upward from 700 Notice to Airmen. The effective date and time feet above the surface at Kings Land O’ Authority for This Rulemaking will thereafter be continuously published in Lakes Airport, Land O’ Lakes, WI; the Airport/Facility Directory. The FAA’s authority to issue rules Manitowish Waters Airport, Manitowish regarding aviation safety is found in Paragraph 6002 Class E Airspace Waters, WI; Merrill Municipal Airport, Title 49 of the United States Code. Designated as Surface Areas. Merrill, WI; Oconto-J. Douglas Bake Subtitle I, Section 106 describes the * * * * * Municipal Airport, Oconto, WI; Price authority of the FAA Administrator. ASW NM E2 Roswell, NM [Amended] County Airport, Phillips, WI; Platteville Subtitle VII, Aviation Programs, Municipal Airport, Platteville, WI; describes in more detail the scope of the Roswell International Air Center, NM Solon Springs Municipal Airport, Solon (Lat. 33°18′06″ N., long. 104°31′50″ W.) agency’s authority. This rulemaking is Springs, WI; Richard I. Bong Airport, promulgated under the authority Within a 5-mile radius of Roswell Superior, WI; and West Bend Municipal International Air Center. This Class E described in Subtitle VII, Part A, airspace area is effective during the specific Airport, West Bend, WI. Subpart I, Section 40103. Under that dates and times established in advance by a Decommissioning of non-directional section, the FAA is charged with Notice to Airmen. The effective date and time radio beacons (NDBs), cancellation of prescribing regulations to assign the use will thereafter be continuously published in NDB approaches, and implementation of airspace necessary to ensure the the Airport/Facility Directory. of area navigation (RNAV) procedures safety of aircraft and the efficient use of Paragraph 6004 Class E Airspace Areas have made this action necessary for the airspace. This regulation is within the Designated as an Extension to a Class D or safety and management of Instrument scope of that authority as it amends Class E Surface Area. Flight Rules (IFR) operations at these Class E airspace extending upward from * * * * * airports. This action also updates the 700 feet above the surface at Kings Land geographic coordinates for Kings Land O’ Lakes Airport, Land O’ Lakes, WI; ASW NM E4 Roswell, NM [Removed] O’ Lakes Airport; Manitowish Waters Manitowish Waters Airport, Manitowish Paragraph 6005 Class E Airspace Areas Airport; Oconto-J. Douglas Bake Waters, WI; Merrill Municipal Airport, Extending Upward From 700 feet or More Municipal Airport; and Solon Springs Merrill, WI; Oconto-J. Douglas Bake Above the Surface of the Earth. Municipal Airport to coincide with the Municipal Airport, Oconto, WI; Price * * * * * FAA’s aeronautical database. The name County Airport, Phillips, WI; Platteville of Oconto-J. Douglas Bake Municipal ASW NM E5 Roswell, NM [Amended] Municipal Airport, Platteville, WI; Airport (formerly Oconto Municipal Solon Springs Municipal Airport, Solon Roswell International Air Center, NM Airport) is also adjusted to coincide (Lat. 33°18′06″ N., long. 104°31′50″ W.) Springs, WI; Richard I. Bong Airport, with the FAA’s aeronautical database. Superior, WI; and West Bend Municipal Chisum VORTAC DATES: Effective 0901 UTC, April 27, (Lat. 33°20′15″ N., long. 104°37′16″ W.) Airport, West Bend, WI. 2017. The Director of the Federal That airspace extending upward from 700 Register approves this incorporation by History feet above the surface within a 7.4-mile radius of Roswell International Air Center, reference action under Title 1, Code of On September 8, 2016, the FAA and within 1.7 miles each side of the Chisum Federal Regulations, part 51, subject to published in the Federal Register a VORTAC 278° radial extending from the 7.4- the annual revision of FAA Order notice of proposed rulemaking (NPRM), mile radius of the airport to 11 miles 7400.11 and publication of conforming (81 FR 62044) Docket No. FAA–2016– northwest of the airport. amendments. 8830, to modify Class E airspace

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extending upward from 700 feet above By removing the 7-mile segments under the National Environmental the surface at Kings Land O’ Lakes extending from the 6.6-mile radius Policy Act in accordance with FAA Airport, Land O’ Lakes, WI; Manitowish southwest and northeast of Price County Order 1050.1F, ‘‘Environmental Waters Airport, Manitowish Waters, WI; Airport, Phillips, WI; Impacts: Policies and Procedures,’’ Merrill Municipal Airport, Merrill, WI; Within a 6.4-mile radius (reduced paragraph 5–6.5.a. This airspace action Oconto-J. Douglas Bake Municipal from the 7.4-mile radius) of Platteville is not expected to cause any potentially Airport, Oconto, WI; Price County Municipal Airport, Platteville, WI, with significant environmental impacts, and Airport, Phillips, WI; Platteville an extension southeast of the airport no extraordinary circumstances exist Municipal Airport, Platteville, WI; from the 6.4-mile radius to 10.2 miles; that warrant preparation of an Solon Springs Municipal Airport, Solon Within a 6.3-mile radius (reduced environmental assessment. Springs, WI; Richard I. Bong Airport, from the 6.6-mile radius) of Solon Lists of Subjects in 14 CFR Part 71 Superior, WI; and West Bend Municipal Springs Municipal Airport, Solon Airport, West Bend, WI. Interested Springs, WI, and removing the 7.4-mile Airspace, Incorporation by reference, parties were invited to participate in segment north of the airport, and Navigation (air). this rulemaking effort by submitting updating the geographic coordinates of Adoption of the Amendment written comments on the proposal to the the airport to coincide with the FAA’s FAA. No comments were received. aeronautical database; In consideration of the foregoing, the Class E airspace designations are Within an 8.5-mile radius (increased Federal Aviation Administration published in paragraph 6005 of FAA from a 6.7-mile radius) of Richard I. amends 14 CFR part 71 as follows: Order 7400.11A, dated August 3, 2016, Bong Airport, Superior, WI, and removing the 12.2-mile segment PART 71—DESIGNATION OF CLASS A, and effective September 15, 2016, which B, C, D, AND E AIRSPACE AREAS; AIR is incorporated by reference in 14 CFR southeast of the airport; And within a 6.8-mile radius (reduced TRAFFIC SERVICE ROUTES; AND 71.1. The Class E airspace designation REPORTING POINTS listed in this document will be from the 7.4-mile radius) of the West published subsequently in the Order. Bend Municipal Airport, West Bend, ■ 1. The authority citation for part 71 WI, reducing existing segment continues to read as follows: Availability and Summary of extending from the 6.8-mile radius to Documents for Incorporation by 11.4 miles southwest, and adding Authority: 49 U.S.C. 106(f), 106(g); 40103, Reference segments extending from the 6.8-mile 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., p. 389. This document amends FAA Order radius to 7 miles northeast and 10 miles 7400.11A, Airspace Designations and northwest of the airport. § 71.1 [Amended] Reporting Points, dated August 3, 2016, Airspace reconfiguration is necessary ■ 2. The incorporation by reference in and effective September 15, 2016. FAA due to the decommissioning of NDBs, 14 CFR 71.1 of FAA Order 7400.11A, Order 7400.11A is publicly available as cancellation of NDB approaches, or Airspace Designations and Reporting listed in the ADDRESSES section of this implementation of RNAV standard Points, dated August 3, 2016, and document. FAA Order 7400.11A lists instrument procedures at these airports. effective September 15, 2016, is Class A, B, C, D, and E airspace areas, Controlled airspace is necessary for the amended as follows: air traffic service routes, and reporting safety and management of the standard points. instrument approach procedures for IFR Paragraph 6005 Class E Airspace Areas operations at these airports. Extending Upward From 700 Feet or More The Rule Above the Surface of the Earth. This amendment to Title 14, Code of Regulatory Notices and Analyses * * * * * Federal Regulations (14 CFR) part 71 The FAA has determined that this AGL WI E5 Land O’ Lakes, WI [Amended] modifies Class E airspace extending regulation only involves an established body of technical regulations for which Kings Land O’ Lakes Airport, WI upward from 700 feet above the surface (Lat. 46°09′15″ N., long. 89°12′43″ W.) frequent and routine amendments are at the following airports: That airspace extending upward from 700 Within a 6.4-mile radius (reduced necessary to keep them operationally feet above the surface within a 6.4-mile from the 7-mile radius) of Kings Land O’ current, is non-controversial and radius of Kings Land O’Lakes Airport. unlikely to result in adverse or negative Lakes Airport, Land O’ Lakes, WI, and * * * * * updating the geographic coordinates of comments. It, therefore: (1) is not a the airport to coincide with the FAA’s ‘‘significant regulatory action’’ under AGL WI E5 Manitowish Waters, WI aeronautical database; Executive Order 12866; (2) is not a [Amended] Within a 6.3-mile radius (reduced ‘‘significant rule’’ under DOT Manitowish Waters Airport, WI from the 7-mile radius) of Manitowish Regulatory Policies and Procedures (44 (Lat. 46°07′13″ N., long. 89°52′56″ W.) Waters Airport, Manitowish, WI, and FR 11034; February 26, 1979); and (3) That airspace extending upward from 700 removing the 9-mile segment southeast does not warrant preparation of a feet above the surface within a 6.3-mile of the airport, and updating the Regulatory Evaluation as the anticipated radius of Manitowish Waters Airport. geographic coordinates of the airport to impact is so minimal. Since this is a * * * * * coincide with the FAA’s database; routine matter that only affects air traffic AGL WI E5 Merrill, WI [Amended] Within a 6.6-mile radius (reduced procedures and air navigation, it is Merrill Municipal Airport, WI from the 7-mile radius) of Merrill certified that this rule, when (Lat. 45°11′56″ N., long. 89°42′46″ W.) Municipal Airport, Merrill, WI; promulgated, does not have a significant By removing the 7-mile segment That airspace extending upward from 700 economic impact on a substantial feet above the surface within a 6.6-mile extending from the 6.3-mile radius number of small entities under the radius of Merrill Municipal Airport. southeast of Oconto-J. Douglas Bake criteria of the Regulatory Flexibility Act. * * * * * Municipal Airport, Oconto, WI, and updating the name and geographic Environmental Review AGL WI E5 Oconto, WI [Amended] coordinates of the airport to coincide The FAA has determined that this Oconto-J. Douglas Bake Municipal Airport, with the FAA’s aeronautical database; action qualifies for categorical exclusion WI

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(Lat. 44°52′27″ N., long. 87°54′35″ W.) DEPARTMENT OF COMMERCE USML. Both May 13 rules and the That airspace extending upward from 700 subsequent related rules are part of the feet above the surface within a 6.3-mile Bureau of Industry and Security President’s Export Control Reform radius of Oconto-J. Douglas Bake Municipal Initiative. This rule is also part of Airport. 15 CFR Parts 740, 742, 750, and 774 Commerce’s retrospective regulatory * * * * * [Docket No. 150325297–6180–02] review plan under Executive Order (EO) 13563 (see the SUPPLEMENTARY AGL WI E5 Phillips, WI [Amended] RIN 0694–AG59 INFORMATION section of this rule for Price County Airport, WI information on the availability of the (Lat. 45°42′32″ N., long. 90°24′09″ W.) Revisions to the Export Administration plan). Regulations (EAR): Control of That airspace extending upward from 700 Spacecraft Systems and Related Items DATES: This rule is effective on January feet above the surface within a 6.6-mile the President Determines No Longer 15, 2017. radius of Price County Airport. Warrant Control Under the United FOR FURTHER INFORMATION CONTACT: For AGL WI E5 Platteville, WI [Amended] States Munitions List (USML) questions about the ECCNs included in this rule, contact Dennis Krepp, Office Platteville Municipal Airport, WI AGENCY: Bureau of Industry and ° ′ ″ ° ′ ″ of National Security and Technology (Lat. 42 41 22 N., long. 90 26 40 W.) Security, Department of Commerce. Transfer Controls, Bureau of Industry That airspace extending upward from 700 ACTION: Final rule. and Security, U.S. Department of feet above the surface within a 6.4-mile Commerce, Telephone: 202–482–1309, radius of Platteville Municipal Airport, and SUMMARY: This final rule addresses email: [email protected]. For ° within 4 miles each side of the 145 bearing issues raised in, and public comments general questions about the regulatory from the airport extending from the 6.4-mile on, the interim final rule that was changes pertaining to satellites, radius to 10.2 miles southeast of the airport. published on May 13, 2014, as well as spacecraft, and related items, contact * * * * * additional clarifications and corrections. the Regulatory Policy Division, Office of The May 13 rule added controls to the AGL WI E5 Solon Springs, WI [Amended] Exporter Services, Bureau of Industry Export Administration Regulations and Security, at 202–482–2440 or email: Solon Springs Municipal Airport, WI (EAR) for spacecraft and related items [email protected]. (Lat. 46°18′53″ N., long. 91°48′59″ W.) that the President has determined no SUPPLEMENTARY INFORMATION: That airspace extending upward from 700 longer warrant control under United feet above the surface within a 6.3-mile States Munitions List (USML) Category Background radius of Solon Springs Municipal Airport. XV—spacecraft and related items. This final rule addresses issues raised * * * * * This is the third final rule BIS has in, and public comments on, the interim published related to the May 13 rule final rule, Revisions to the Export AGL WI E5 Superior, WI [Amended] and completes the regulatory action for Administration Regulations (EAR): Richard I. Bong Airport, WI. the interim final rule. These changes Control of Spacecraft Systems and (Lat. 46°41′23″ N., long. 92°05′41″ W.) were also informed by comments Related Items the President Determines That airspace extending upward from 700 received in response to the May 13 rule No Longer Warrant Control Under the feet above the surface within an 8.5-mile that included a request for comments, as United States Munitions List (USML), radius of Richard I. Bong Airport. well as interagency discussions on how that was published on May 13, 2014 (79 * * * * * best to address the comments. The FR 27417) (May 13 rule), and makes changes made in this final rule are corrections and clarifications. The May AGL WI E5 West Bend, WI [Amended] grouped into four types of changes: 13 rule added controls to the Export West Bend Municipal Airport, WI Changes to address the movement of Administration Regulations (EAR) for (Lat. 43°25′20″ N., long. 88°07′41″ W.) additional spacecraft and related items spacecraft and related items that the West Bend VOR from the USML to the Commerce President has determined no longer (Lat. 43°25′19″ N., long. 88°07′31″ W.) Control List (CCL), as a result of changes warrant control under United States in aperture size for spacecraft that That airspace extending upward from 700 Munitions List (USML) Category XV— warrant ITAR control, in response to feet above the surface within a 6.8-mile spacecraft and related items. The vast public comments and further U.S. radius of West Bend Municipal Airport, and majority of the changes included in the within 2 miles each side of the 239° bearing Government review; changes to address May 13 rule have been implemented as from the airport extending from the 6.8-mile the movement of the James Webb Space published in the interim final rule and radius to 11.4 miles southwest of the airport, Telescope (JWST) from the USML to the are not republished in this final rule. A and within 1.2 miles each side of the West CCL; other corrections and clarifications full description of those changes can be Bend VOR 052° radial extending from the to the spacecraft interim final rule; and found in the Background section and 6.8-mile radius to 7 miles northeast of the addition of .y items to Export Control the regulatory text of the May 13 rule. airport, and within 1.3 miles each side of the Classification Number 9A515. BIS also published corrections and West Bend VOR 303° radial extending from This final rule is being published in clarifications to the May 13 rule in a the 6.8-mile radius to 10 miles northwest of conjunction with the publication of a final rule published on November 12, the airport, excluding that airspace within Department of State, Directorate of 2014 (79 FR 67055) and in a final rule the Hartford, WI, Class E airspace area. Defense Trade Controls (DDTC) final published on July 13, 2015 (80 FR rule, which makes changes, including 39950). Issued in Fort Worth, Texas, on December corrections and clarifications, to the This final rule is being published in 28, 2016. provisions adopted in the State conjunction with the publication of a Thomas L. Lattimer, Department’s own May 13, 2014 rule. Department of State, Directorate of Acting Manager, Operations Support Group, The State May 13 rule revised USML Defense Trade Controls (DDTC) final ATO Central Service Center. Category XV (22 CFR 121.1) to control rule, which makes changes, including [FR Doc. 2017–00191 Filed 1–9–17; 8:45 am] those articles the President has corrections and clarifications, to the BILLING CODE 4910–13–P determined warrant control on the provisions adopted in the May 13 State

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rule (79 FR 27180). The State May 13 remote sensing satellites are warranted, and final rule adds ECCN 9E515.b, .d, .e, or rule revised USML Category XV (22 CFR seeks additional public comment on this .f as eligible for § 740.20(g) License 121.1) to control those articles the matter. Exception STA eligibility requests. President has determined warrant For a discussion of the changes made Because the scope of revised paragraph control on the USML. Both May 13 rules to the ITAR in response to the related (g) includes items other than end items, and the subsequent related rules are part public comments, see the corresponding this final rule also revises the heading of the President’s Export Control Reform Department of State rule published of paragraph (g) to remove the term Initiative. today. ‘‘end items’’ and add in its place the The changes included in this The changes described below are the term ‘‘items.’’ However, the items Commerce final rule complete the EAR changes needed to address the eligible to be submitted under the regulatory action begun by the May 13 movement of these additional spacecraft § 740.20(g) process are still limited to rule and are also informed by comments (under ECCNs 9A515.a.1 to .a.4 and those specific ECCNs and ‘‘items’’ received in response to that rule. The 9A004.u) and related items (under paragraphs identified in paragraph (g). changes made in this Commerce final 9A515.g) from the USML to the CCL. The spacecraft transferred to the CCL rule are grouped into four types of Adopting a more permissive aperture in this final rule are subject to special changes: (1) Changes to address the size (meaning more spacecraft items regional stability license requirements. movement of additional spacecraft and would no longer warrant ITAR control) Therefore, in § 742.6 (Regional stability), related items from the USML to the was strongly advocated by commenters this final rule makes revisions to five CCL, as a result of changes in aperture in response to the Commerce interim paragraphs. The final rule revises size for spacecraft that warrant ITAR final rule. The public believed paragraph (a)(1), adds a new paragraph control, in response to public comments additional changes were needed to (a)(8), revises paragraph (b)(1)(i), and and further U.S. Government review; (2) appropriately control spacecraft and adds paragraphs (b)(5) and (b)(6). These changes to address the movement of the related items that warranted ITAR changes are described below. James Webb Space Telescope (JWST) control, with respect to aperture size, In § 742.6, paragraph (a)(1) (RS from the USML to the CCL; (3) other while moving those that did not warrant Column 1 license requirements in corrections and clarifications to the ITAR control to the CCL, consistent general), this final rule adds a reference spacecraft interim final rule; and (4) with the stated objectives in the May 13 to new paragraph (a)(8). New paragraph addition of .y items to Export Control final rules. State and the other agencies (a)(8) (Special RS Column 1 license Classification Number (ECCN) 9A515. reviewing the comments agreed that requirement applicable to certain Note that certain ECCNs may be some additional spacecraft and related spacecraft and related items) is an RS referenced in more than one of the (1) items did not warrant ITAR control. Column 1 license requirement, which is through (4) sections, but for ease of This Commerce rule makes conforming specific to certain spacecraft and related reference the description of those changes to the EAR to ensure that items. This paragraph specifies that a changes to those ECCNs, such as ECCN appropriate controls are in place for license is required for all destinations, 9E515, are grouped with the related such additional spacecraft and related including Canada, for spacecraft and changes under sections (1) through (4), items that did not warrant ITAR control, related items classified under ECCN as applicable. based on the review of the public 9A515.a.1, .a.2., .a.3., .a.4., .g, and ECCN comments and additional U.S. 9E515.f. Although the license (1) Changes To Address the Movement Government review. BIS anticipates an requirement for these specified ECCN of Additional Spacecraft and Related increase of approximately 10 to 20 9x515 items is more restrictive than for Items From the USML to the CCL, as a license applications per year as a result those 9x515 items on the CCL prior to Result of Changes in Aperture Size for of these changes to the EAR. publication of this rule, the license Spacecraft That Warrant ITAR Control, Because of the more sensitive nature review policy is the same as those for in Response to Public Comments and of these additional spacecraft and other 9x515 items. As a conforming Further U.S. Government Review related items that are being moved to change, this final rule revises the fourth This final rule makes several changes the CCL, additional changes are needed sentence of paragraph (b)(1)(i) to add a to the EAR to address the movement of to the EAR to effectively control these reference to paragraph (a)(8), because additional spacecraft and related items items. In certain cases, this means that sentence references the ECCN from the USML to the CCL, as a result imposing more restrictive requirements 9x515 license requirements, which now of the Department of State’s responding compared to other 9x515 items. These include those special RS license to comments on its interim final rule, additional requirements are described requirements in paragraph (a)(8). which specifically asked for additional below, including a description of the This final rule adds two new public comments on this issue. The parameters for the items moved to the paragraphs, paragraph (b)(5) (Spacecraft Department of State in its May 13 CCL. for launch) and paragraph (b)(6) interim final rule noted: In § 740.20, paragraph (g) (License (Remote sensing spacecraft) to specify Exception STA eligibility requests for the requirements that apply for license Commenting parties recommended the 9x515 and ‘‘600 series’’ end items), this applications involving spacecraft and aperture threshold for civil and commercial remote sensing satellites in paragraph (a)(7)(i) final rule revises paragraph (g)(1) as a remote sensing spacecraft. Consistent be increased from 0.35 meters to a threshold conforming change to the changes made with the requirements in paragraph (y) more appropriate for current world to ECCN 9A515.a, described below. To in Supplement No. 2 to part 748 Unique capabilities and market conditions. The maintain the same scope of paragraph Application and Submission Department [of State] did not accept this (g)(1), this final rule removes the text Requirements, this final rule adds recommendation at this time. However, it, that referred to ECCN 9A515.a and adds paragraphs (b)(5)(i) and (b)(5)(ii) to along with other agencies, understands that in its place text referencing ‘‘spacecraft’’ specify when applications to export or the technology and civil and commercial in 9A515.a.1, .a.2, .a.3, or .a.4, or items reexport a ‘‘spacecraft’’ controlled under applications in this area are evolving. Thus, the Department has committed to reviewing in 9A515.g. The spacecraft in ECCN ECCN 9A515.a for launch in or by a during the six months after the publication 9A515.a.5 are eligible for License country will or may require a of this rule whether further amendments to Exception STA without a § 740.20(g) technology transfer control plan (TCP) the USML controls on civil and commercial request. As a conforming change, this approved by the Department of Defense

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(DoD), an encryption technology control the status quo. Therefore, although this rule redesignates paragraph (2) as plan approved by the National Security paragraph adds three new requirements paragraph (3) and adds a new paragraph Agency (NSA), and DoD monitoring of to the EAR for license applications for (2). This final rule adds new paragraph all launch activities. Paragraph (b)(5)(i) spacecraft for launch, the requirements (2) in the Special Conditions for STA specifies that this is a requirement for are the same as when these spacecraft section to exclude the use of License all such applications for countries that were formerly under the ITAR, so there Exception if the ‘‘spacecraft’’ controlled are not a member of the North Atlantic will be no increased burden on in ECCN 9A515.a.1, .a.2, .a.3, or .a.4 Treaty Organization (NATO) or a major exporters, reexporters or transferors. contains a separable or removable non-NATO ally of the United States. In § 750.4, this final rule adds a new propulsion system enumerated in USML This final rule adds a similar paragraph (d)(2)(iv) (Remote Sensing Category IV(d)(2) or USML Category requirement under paragraph (b)(5)(ii), Interagency Working Group (RSIWG)) to XV(e)(12) and designated MT. This but with the key distinction that it may make applicants aware that the RSIWG, exclusion is being added because the be required for countries that are a chaired by the State Department, will MTCR Category I components identified member of NATO or a major non-NATO review license applications involving in this paragraph are separable or ally of the United States. remote sensing spacecraft. These will be removable and therefore for consistency Also in § 742.6, this final rule adds a any items described in ECCN 9A515.a.1, with the intent to exclude MT items new paragraph (b)(6) (Remote sensing .a.2, .a.3, or .a.4, sensitive remote from License Exception STA eligibility, spacecraft) to make applicants aware sensing components described in this final rule adds this as an additional that any application for ‘‘spacecraft’’ 9A515.g, or ‘‘technology’’ described in restriction on the use of License described in ECCN 9A515.a.1,.a.2, a.3, 9E515.f. Exception STA. or .a.4, for sensitive remote sensing ECCN 9A515. This final rule adds a In ECCN 9A515.a, this final rule components described in 9A515.g, or for new License Requirement Note, revises revises ‘‘items’’ paragraph (a) to add ‘‘technology’’ described in ECCN the Special Conditions for STA section, control parameters for the additional 9E515.f, may require a government-to- revises ‘‘items’’ paragraph (a), and adds spacecraft being moved from the USML government agreement at the discretion paragraph (g) in the List of ‘‘items’’ to the CCL. Spacecraft moved from the of the U.S. Government. A government- controlled section of ECCN 9E515. USML to the CCL and classified under to-government agreement may be These changes are described in the next ECCN 9A515.a prior to publication of required for any destination at the sole five paragraphs. this rule are being moved to new discretion of the U.S. Government. Addition of License Requirement In § 750.4 (Procedures for processing Note to 9A515. As a conforming change ‘‘items’’ paragraph (a)(5). This final rule license applications), as conforming to the addition of § 742.6(a)(8), adds ‘‘items’’ paragraphs (a)(1), (a)(2), changes to the changes described above described above, this final rule adds a (a)(3) and (a)(4) to ECCN 9A515 to to § 742.6, this final rule makes the License Requirement Note to the end of control the additional spacecraft items following two changes: adds a new the License Requirements section of being moved to the CCL. The paragraph (b)(8), and adds a new ECCN 9A515 to specify that the identification of these more sensitive paragraph (d)(2)(iv). These changes are Commerce Country Chart is not used for spacecraft items in their own ‘‘items’’ described in the next two paragraphs. determining license requirements for level paragraph in ECCN 9A515 In § 750.4, consistent with the commodities classified as 9A515.a.1, (9A515.a.1, .a.2, .a.3., .a.4) will allow for requirements in paragraph (y) in .a.2., .a.3., .a.4, and .g. The new License the imposition of more restrictive Supplement No. 2 to part 748 Unique Requirement also includes a cross controls that are needed, while not Application and Submission reference to § 742.6(a)(8) and alerts impacting other spacecraft and related Requirements, this final rule adds a new exporters and reexporters that these items that do not warrant the more paragraph (b)(8) (Satellites for launch) to commodities are subject to a worldwide restrictive controls (e.g., 9A515.a.5). include a requirement for license license requirement. These more restrictively controlled applications involving a satellite for In ECCN 9A515, Special Conditions items consist of the following: launch. Applicants must obtain for STA section, this final rule revises ‘‘spacecraft,’’ including satellites, and approval by the DoD of a technology paragraph (1). This final rule adds space vehicles, whether designated transfer control plan and the approval of references to the new ‘‘items’’ developmental, experimental, research the NSA of an encryption technology paragraphs of ECCN 9A515.a or scientific, not enumerated in USML control plan. In addition, the applicant (9A515.a.1, .a.2, .a.3 and .a.4) and Category XV or described in ECCN will also be required to make 9A515.g, which would not be eligible 9A004 that have electro-optical remote arrangements with the DoD for for License Exception STA, unless sensing capabilities and having a clear monitoring of all launch activities. determined by BIS to be eligible for aperture greater than 0.35 meters, but These existing DoD and NSA License Exception STA in accordance less than or equal to 0.50 meters (under requirements in regards to satellites for with § 740.20(g) (License Exception STA ECCN 9A515.a.1). It includes those launch are in addition to the EAR eligibility requests for certain 9x515 and having remote sensing capabilities licensing requirements, but any license ‘‘600 series’’ end items). Because these beyond NIR (under ECCN 9A515.a.2), authorized under the EAR for satellites items are commodities that are more those having radar remote sensing for launch must also be done in sensitive, additional U.S. Government capabilities (e.g., AESA, SAR, or ISAR) accordance with those DoD and NSA review of the specific commodity is having a center frequency equal to or requirements to be authorized under an warranted prior to allowing exporters, greater than 1.0 GHz, but less than 10.0 EAR license. Therefore, this final rule reexporters or transferors to use License GHz and having a bandwidth equal to adds this requirement to § 750.4(b)(8), Exception STA. The imposition of this or greater than 100 MHz, but less than which will eliminate the need to add requirement is consistent with the use 300 MHz (under 9A515.a.3). These more this requirement as a license condition of the paragraph (g) process for other sensitive items being moved from the for any license for satellites for launch. sensitive items in the 9x515 ECCNs and USML to the CCL also include those These DoD and NSA TCP approval the ‘‘600 series’’ that have been moved providing space-based logistics, requirements existed under the ITAR to the CCL. Also in the Special assembly, or servicing of another and are added to the EAR to preserve Conditions for STA section, this final ‘‘spacecraft’’ (under ECCN 9A515.a.4).

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In ECCN 9A515.g, this final rule also described below of ‘‘technology’’ under U.S. Government agencies involved in adds ‘‘items’’ paragraph (g) to 9A515, as ECCN 9E515.f for the additional the export control system and that deal related to the changes described above spacecraft and related components with space related issues) that this to 9A515.a. Paragraph (g) is added to added to 9A515.a and .g described specific telescope was within the scope control remote sensing components that above. In addition, this final rule also of spacecraft and related items that did are ‘‘specially designed’’ for specifies that the ‘‘technology’’ not warrant being subject to the ITAR. ‘‘spacecraft’’ described in ECCN controlled under ECCN 9E515.b, .d and Therefore, consistent with the stated 9A515.a.1 though 9A515.a.4, which .e are not eligible for License Exception purpose of the May 13 rule, as well as were described above. Similar to the STA, unless the specific ‘‘technology’’ section 38(f) of the Arms Export Control reason for identifying the items in ECCN has been approved under the § 740.20(g) Act (AECA), the Department of State has 9A515.a.1 through .a.4., specifying that process by the U.S. Government. Prior moved this telescope, the James Webb these remote sensing components are to publication of this final rule, ECCN Space Telescope (JWST), which is being the ‘‘items’’ paragraphs (g)(1) through 9E515.b, .d and .e ‘‘technology’’ was developed, launched, and operated (g)(3) will allow the imposition of more excluded from License Exception STA under the supervision of the U.S. restrictive controls on these in all cases, which based on public National Aeronautics and Space components, without needing to impose comments and interagency discussions Administration (NASA), to the CCL. The the same level of restrictions on was a more restrictive policy than was ‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ 9A515.x items, which is the paragraph needed to protect U.S. national security and ‘‘attachments’’ that are ‘‘specially under which these components would and foreign policy interests for this designed’’ for use in or with the JWST have been controlled if this new ‘‘technology’’ classified under ECCN are also being moved from the ITAR and 9A515.g paragraph were not being 9E515. Therefore, this final rule makes will be subject to the EAR, as of the added. Paragraph (g) controls remote the other ‘‘technology’’ (9E515.b, .d and effective date of the State and sensing components for space-qualified .e) also eligible for the requests under Commerce final rules. optics with the largest lateral clear § 740.20(g), as described above in the To control the JWST and the aperture dimension equal to or less than changes this final rule makes to ‘‘specially designed’’ ‘‘parts,’’ 0.35 meters; or with the largest clear paragraph (g) of License Exception STA. ‘‘components,’’ ‘‘accessories,’’ and aperture dimension greater than 0.35 In ECCN 9E515.a, this final rule ‘‘attachments’’ for the JWST, this final meters but less than or equal to 0.50 revises ‘‘items’’ paragraph (a) to exclude rule adds two new ‘‘items’’ paragraph to meters (under ECCN 9A515.g.1). In the ‘‘technology’’ for the new ECCN 9A004. First, this final rule adds addition, paragraph (g) controls optical commodities added to 9A515.a (.a.1 a new ‘‘items’’ paragraph (u) to 9A004 bench assemblies ‘‘specially designed’’ through .a.4) and .g. ‘‘Required’’ to control the JWST (the specific for the spacecraft added to ECCN ‘‘technology’’ for these new telescope) that is being moved to the 9A515.a.1 through .a.4 (under ECCN commodities added to ECCN 9A515.a CCL from the USML. Second, this final 9A515.g.2), and primary, secondary, or and .g will be controlled under ECCN rule adds a new ‘‘items’’ paragraph (v) hosted payloads that perform a function 9E515, but in order to impose more to control the ‘‘specially designed’’ of spacecraft added to 9A515.a.1. restrictive controls on those ‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ through .a.4. (under 9A515.g.3). ‘‘technologies’’ without impacting other or ‘‘attachments’’ for use in or with the ECCN 9E515. This final rule adds a 9E515 ‘‘technology,’’ this final rule adds JWST. The commodities this final rule new License Requirement Note, revises this ‘‘technology’’ being moved to the adds to ECCN 9A004.v include the the Special Conditions for STA section CCL to a new ‘‘items’’ paragraph (f) to primary and secondary payloads of the and ‘‘items’’ paragraph (a), and adds 9E515, as described below. JWST. ‘‘items’’ paragraph (f) in the List of In ECCN 9E515.f, this final rule adds This final rule also specifies in the ‘‘items’’ controlled section of ECCN a new ‘‘items’’ paragraph (f) in the List control parameters in the new paragraph 9E515. These changes are described in of Items Controlled section to control (v)(1) to (v)(4) that the ‘‘parts,’’ the next five paragraphs: ‘‘technology’’ ‘‘required’’ for the ‘‘components,’’ ‘‘accessories,’’ and Addition of License Requirement ‘‘development,’’ ‘‘production,’’ ‘‘attachments’’ specified in paragraph Note to 9E515. As a conforming change installation, repair, overhaul, or (v) do not include items that are to the addition of § 742.6(a)(8), refurbishing of commodities that this ‘‘subject to the ITAR,’’ microelectronic described above, this final rule adds a final rule adds to ECCN 9A515 under circuits, items in ECCNs 7A004 and License Requirement Note to the end of ‘‘items’’ paragraphs .a.1 through .a.4, or 7A104, or in any ECCN containing the License Requirements section of .g. As described above, this final rule is ‘‘space qualified’’ as a control criterion ECCN 9E515 to specify that the identifying these ‘‘technologies’’ in their (See ECCN 9A515.x.4). As a conforming Commerce Country Chart is not used for own ‘‘items’’ paragraph in order to change, this final rule revises the phrase determining license requirements for allow more restrictive controls to be ‘‘ECCN 9A004.x’’ in paragraph (y) to ‘‘technology’’ classified 9E515.f. The placed on these items without add a reference to the ‘‘parts,’’ new License Requirement also includes impacting other ECCN 9E515 ‘‘components,’’ ‘‘accessories,’’ and a cross reference to § 742.6(a)(8) and ‘‘technology.’’ ‘‘attachments’’ in paragraph (v) that this alerts exporters and reexporters that this final rule adds. This final rule revises ‘‘technology’’ is subject to a worldwide (2) Changes To Address the Movement the phrase, so it now specifies ‘‘ECCN license requirement. of the James Webb Space Telescope 9A004.v or .x,’’ which is being done to In ECCN 9E515, Special Conditions (JWST) From the USML to the CCL account for the fact that paragraphs (v) for STA section, this final rule revises ECCN 9A004. This final rule revises and (x) will contain certain ‘‘specially paragraph (1) to add a reference to ECCN 9A004 to add a specific telescope, designed’’ ‘‘parts,’’ ‘‘components,’’ 9E515.f. This final rule specifies that which was ‘‘subject to the ITAR’’ prior ‘‘accessories,’’ and ‘‘attachments’’ for such technology is not eligible for STA, to the effective date of this final rule. A items enumerated in ECCN 9A004 and unless the specific technology has been determination was made based on the that the new items being added to approved under the § 740.20(g) process public comments received by the paragraph (v) and (x) could be by the U.S. Government. This change is Department of State and the space reclassified under 9A004.y, if made to conform to the addition interagency working group (a group of subsequently the specific item is

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identified in an interagency-cleared addition to the other commodities change made to ECCN 9E515 described commodity classification (CCATS) enumerated in the Note to ECCN in the next paragraph. pursuant to § 748.3(e) as warranting 9A515.a. ECCN 9E515. This final rule, as a control in 9A004.y. BIS anticipates an ECCN 9E515. This final rule also conforming change to the change to increase of approximately 20 license revises the third sentence in the ECCN 9B515, revises the MT Control applications per year as a result of these ‘‘Related Controls’’ paragraph in the List paragraph in the License Requirements changes to the EAR. of Items Controlled section in ECCN section on ECCN 9E515. This final rule In addition to the change to ECCN 9E515 to add a reference to the JWST. revises the MT Control paragraph in 9A004, this final rule makes changes to This sentence will alert persons ECCN 9E515 to add technology for items three 9x515 ECCNs to reflect that the classifying technology for the JWST to in 9B515.a that are controlled for MT JWST and the ‘‘specially designed’’ see ECCNs 9E001 and 9E002. reasons. This change is made to conform ‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ to the MTCR Annex and the (3) Other Corrections and Clarifications and ‘‘attachments’’ for the JWST are corresponding MT controls in USML to Interim Spacecraft Final Rule being added to 9A004. This final rule Category XV (MTCR Annex, Category I: makes these conforming changes to ECCN 9A515. This final rule adds two Item 2.E.1.). ECCNs 9A515, 9B515 and 9E515. These sentences at the end of the introductory (4) Addition of .y Items to ECCN 9A515 are not substantive changes. These text in the ‘‘items’’ paragraph in the List changes are described in the next three of Items Controlled section of ECCN This final rule adds five .y paragraphs paragraphs. 9A515, consistent with the notes to (ECCN 9A515.y.2, .y.3., .y.4, .y.5, and ECCN 9A515. This final rule revises USML Category XV. The introductory .y.6) as additional commodities the third sentence of the Related paragraph clarifies when ‘‘spacecraft’’ specified under paragraph (y) in this Controls paragraph in the List of Items and other items described in ECCN ECCN. As noted in the introductory text Controlled section of ECCN 9A515 to 9A515 remain subject to the EAR even of paragraph (y), the U.S. Government add a reference to the JWST. This final if exported, reexported, or transferred through the § 748.3(e) process will rule also revises the Note to ECCN (in-country) with defense articles identify the items that warrant being 9A515.a to specify items in ECCN ‘‘subject to the ITAR’’ integrated into classified under 9x515.y, such as the 9A004 are not within the scope of and included therein as integral parts of commodities being specified under 9A515.a. A reference to ECCN 9A004 the item. This introductory paragraph ECCN 9A515.y.2 to .y.6 in this final needs to be added because the includes some application examples rule. Specifically, the following space description of this Note to ECCN and some qualifiers for when the ITAR grade or for spacecraft applications 9A515.a would otherwise include the jurisdiction would reapply to such commodities: thermistors (ECCN JWST. This final rule revises ‘‘items’’ defense articles. This final rule adds two 9A515.y.2); RF microwave bandpass paragraph (b) in ECCN 9A515, to add a new sentences to clarify two additional ceramic filters (dielectric resonator reference to ECCN 9A004.u for the instances where the jurisdiction of the bandpass filters) (9A515.y.3); space JWST. This conforming change is ITAR would be applicable in such grade or for spacecraft applications hall needed to specify that ground control scenarios. The first new sentence is effect sensors (9A515.y.4); subminiature systems and training simulators being added to clarify that the removal (SMA and SMP) plugs and connectors, ‘‘specially designed’’ for telemetry, of a defense article subject to the ITAR TNC plugs and cable and connector tracking and control of the JWST are from the spacecraft is a retransfer under assemblies with SMA plugs and also within the scope of ECCN 9A515.b. the ITAR—meaning the removal of a connectors (9A515.y.5); and flight cable For similar reasons, this final rule defense article would require an ITAR assemblies (9A515.y.6) have been revises ‘‘items’’ paragraph (e) to add a authorization. The ITAR authorization identified in interagency-cleared reference to ECCN 9A004.u. This requirement would apply regardless of commodity classifications (CCATS) conforming change is made to specify which CCL authorization the spacecraft pursuant to § 748.3(e) as warranting that the microelectronic circuits and is exported under the EAR. The second control in 9A515.y.2 to .y.6. The discrete electronic components sentence clarifies that transfer of additions described above for ECCN described in ECCN 9A515.e include technical data regarding the defense 9A515.y.2 to y.6 are the second set of those ‘‘specially designed’’ for the article subject to the ITAR integrated approved populations of .y controls JWST. This final rule also makes some into the spacecraft would require an being added to 9A515. As stated in the changes to the .y paragraph in ECCN ITAR authorization. May 13 rule, as well as the July 13 rule 9A515, which are discussed further ECCN 9B515. This final rule revises (which added ECCN 9A515.y.1), BIS below. the License Requirements section of (along with State and Defense) will ECCN 9B515. This final rule revises ECCN 9B515 to add a missile continue to populate the 9A515.y with ‘‘items’’ paragraph (a) in the List of technology (MT) control. The MT additional entries as additional Items Controlled section to add a control is being added to impose a classification determinations are made reference to ECCN 9A004.u. This license requirement on equipment in in response to requests from the public conforming change is needed to specify ECCN 9B515.a that is for the under § 748.3(e). that the test, inspection, and production ‘‘development’’ or ‘‘production’’ of As required by Executive Order (EO) ‘‘equipment’’ ‘‘specially designed’’ for commodities in USML Category 13563, BIS intends to review this rule’s the ‘‘production’’ or ‘‘development’’ of XV(e)(12) and XV(e)(19) that are MT impact on the licensing burden on the JWST are also classified under controlled. This change is made to exporters. Commerce’s full plan is ECCN 9B515.a. For similar reasons, this conform to the Missile Technology available at: http://open.commerce.gov/ final rule revises the Note to ECCN Control Regime (MTCR) Annex and the news/2011/08/23/plan-retrospective- 9B515.a to add a reference to ECCN corresponding MT controls in USML analysis-existing-rules. Data are 9A004.u. This conforming change is Category XV (MTCR Annex, Category I: routinely collected on an ongoing basis, intended to specify that ECCN 9B515.a Item 2.B.2.). BIS anticipates an increase including through the comments to be includes equipment, cells, and stands of approximately 10 license applications submitted and as a result of new ‘‘specially designed’’ for the analysis or per year as a result of this change to the information and results from AES data. isolation of faults in the JWST, in EAR, along with the conforming MT These results and data have been, and

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will continue to form, the basis for information displays a currently valid process. For purposes of the APA, there ongoing reviews of the rule and OMB control number. This regulation is good cause, and it is in the public assessments of various aspects of the involves collections previously interest to incorporate this change so the rule. As part of its plan for retrospective approved by OMB under control public can benefit from understanding analysis under EO 13563, BIS intends to number 0694–0088, Simplified Network the classification of the items. These conduct periodic reviews of this rule Application Processing System, which revisions are important to implement as and to modify, or repeal, aspects of this includes, among other things, license soon as possible so the public will be rule, as appropriate, and after public applications and carries a burden aware of the correct text and meaning of notice and comment. Some of the estimate of 43.8 minutes for a manual or current EAR provisions. changes described above are limited to electronic submission. Total burden BIS finds good cause to waive the 30- corrections or clarifications of what was hours associated with the PRA and day delay in effectiveness under 5 included in the May 13 rule. BIS OMB control number 0694–0088 are U.S.C. 553(d)(3). As mentioned estimates that the substantive changes expected to increase slightly as a result previously, the revisions made by this described above will result in an of this rule. The expected increase in rule are non-substantive or are limited increase of 30–40 license applications total burden hours is expected to be to ensure consistency with the intent of per year, which is within the previous minimal and to not exceed the existing the May 13, 2014 interim final rule and estimate made for the number of license estimates for burden hours associated are important to implement as soon as applications that BIS anticipated with the PRA and OMB control number possible so the public will be aware of receiving as a result of the movement of 0694–0088. You may send comments the correct text and meaning of current these spacecraft and related items to the regarding the collection of information EAR provisions. CCL under the May 13 rule. associated with this rule, including Because a notice of proposed suggestions for reducing the burden, to Export Administration Act rulemaking and an opportunity for Jasmeet K. Seehra, Office of public comment are not required to be Although the Export Administration Management and Budget (OMB), by given for these amendments by 5 U.S.C. Act expired on August 20, 2001, the email to Jasmeet_K._Seehra@ 553, or by any other law, the analytical President, through Executive Order omb.eop.gov, or by fax to (202) 395– requirements of the Regulatory 13222 of August 17, 2001, 3 CFR, 2001 7285. Flexibility Act, 5 U.S.C. 601 et seq., are Comp., p. 783 (2002), as amended by 3. This rule does not contain policies not applicable. Executive Order 13637 of March 8, with Federalism implications as that 2013, 78 FR 16129 (March 13, 2013) and term is defined under E.O. 13132. List of Subjects as extended by the Notice of August 4, 4. The Department finds that there is 15 CFR Parts 740 and 750 2016, 81 FR 52587 (August 8, 2016), has good cause under 5 U.S.C. 553(b)(B) to continued the Export Administration waive the provisions of the Administrative practice and Regulations in effect under the Administrative Procedure Act (APA) procedure, Exports, Reporting and International Emergency Economic requiring prior notice and the recordkeeping requirements. Powers Act. BIS continues to carry out opportunity for public comment 15 CFR Part 742 the provisions of the Export because they are either unnecessary or Exports, Terrorism. Administration Act, as appropriate and contrary to the public interest. The to the extent permitted by law, pursuant following revisions are non-substantive 15 CFR Part 774 to Executive Order 13222 as amended or are limited to ensure consistency Exports, Reporting and recordkeeping by Executive Order 13637. with the intent of the May 13, 2014 requirements. interim final rule, and thus prior notice Rulemaking Requirements Accordingly, the Export and the opportunity for public comment Administration Regulations (15 CFR 1. Executive Orders 13563 and 12866 is unnecessary. ECCNs 9A004, 9A515, parts 730–774) are amended as follows: direct agencies to assess all costs and 9B515, and 9E515 are revised to make benefits of available regulatory clarifications to the EAR to ensure PART 740—[AMENDED] alternatives and, if regulation is consistency with the intent of the May necessary, to select regulatory 13, 2014 interim final rule for purposes ■ 1. The authority citation for 15 CFR approaches that maximize net benefits of what spacecraft and related items part 740 continues to read as follows: (including potential economic, warranted ITAR control and what Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. environmental, public health and safety spacecraft items were intended to be 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. effects, distribute impacts, and equity). moved to the EAR, as well as for 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. Executive Order 13563 emphasizes the consistency with the MTCR Annex for 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 importance of quantifying both costs certain changes made to ECCNs 9B515 Comp., p. 783; Notice of August 4, 2016, 81 and benefits, of reducing costs, of and 9E515. This includes the changes FR 52587 (August 8, 2016). harmonizing rules, and of promoting made to §§ 740.20(g), 742.6(a)(1), (a)(8), ■ 2. Section 740.20 is amended by flexibility. This final rule has been (b)(1)(i), (b)(5) and (b)(6), and revising the heading of paragraph (g) designated a ‘‘significant regulatory 750.4(b)(4), (b)(8) and (d)(2)(iv) to and paragraph (g)(1) to read as follows: action,’’ although not economically ensure appropriate controls are in place significant, under section 3(f) of under the EAR for the additional § 740.20 License exception strategic trade Executive Order 12866. spacecraft and related items that are authorization (STA). 2. Notwithstanding any other moved to the CCL in this final rule in * * * * * provision of law, no person is required response to public comments and (g) License Exception STA eligibility to respond to, nor is subject to a penalty additional U.S. Government review of requests for 9x515 and ‘‘600 series’’ for failure to comply with, a collection those comments. Finally, as items—(1) Applicability. Any person of information, subject to the contemplated in the May 13 rule, BIS may request License Exception STA requirements of the Paperwork has added five entries to the .y eligibility for end items described in Reduction Act of 1995 (44 U.S.C. 3501 paragraph of ECCN 9A515, which were ECCN 0A606.a, ECCN 8A609.a, ECCN et seq.) (PRA), unless that collection of added as a result of the § 748.3(e) 8A620.a or .b, ‘‘spacecraft’’ in ECCN

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9A515.a.1, .a.2, .a.3, .a.4, or .g, that D:5 in Supplement No. 1 to part 740 of control plan and the National Security provide space-based logistics, assembly the EAR. * * * Agency of an encryption technology or servicing of any spacecraft (e.g., * * * * * transfer control plan and must make refueling), ECCN 9A610.a, or ECCN (5) Spacecraft for launch. (i) arrangements with the Department of 9E515.b, .d, .e, or .f. Applications to export or reexport a Defense for monitoring of all launch * * * * * ‘‘spacecraft’’ controlled under ECCN activities. 9A515.a for launch in or by a country * * * * * PART 742—[AMENDED] that is not a member of the North (d) * * * ■ Atlantic Treaty Organization (NATO) or (2) * * * 3. The authority citation for 15 CFR a major non-NATO ally of the United part 742 continues to read as follows: (iv) Remote Sensing Interagency States (as defined in 22 CFR 120.31 and Working Group (RSIWG). The RSIWG, Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 120.32), will require a technology chaired by the State Department, 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. transfer control plan approved by the reviews license applications involving 2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; Department of Defense, an encryption remote sensing spacecraft described in Sec. 1503, Pub. L. 108–11, 117 Stat. 559; E.O. technology control plan approved by the 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. ECCN 9A515.a.1, .a.2, .a.3, or .a.4, 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 National Security Agency, and sensitive remote sensing components Comp., p. 608; E.O. 12938, 59 FR 59099, 3 Department of Defense monitoring of all described in 9A515.g, or ‘‘technology’’ CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR launch activities. described in ECCN 9E515.f. (ii) Applications to export or reexport 58767, 3 CFR, 1996 Comp., p. 228; E.O. * * * * * 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. a ‘‘spacecraft’’ controlled under ECCN 783; Presidential Determination 2003–23, 68 9A515.a for launch in or by a country PART 774—[AMENDED] FR 26459, 3 CFR, 2004 Comp., p. 320; Notice that is a member of the North Atlantic of November 12, 2015, 80 FR 70667 Treaty Organization (NATO) or a major ■ 7. The authority citation for 15 CFR (November 13, 2015); Notice of August 4, non-NATO ally of the United States (as 2016, 81 FR 52587 (August 8, 2016). part 774 continues to read as follows: defined in 22 CFR 120.31 and 120.32), ■ 4. Section 742.6 is amended: Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. may require a technology transfer 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. ■ a. By revising paragraph (a)(1); control plan approved by the ■ 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et b. By adding paragraph (a)(8); Department of Defense, an encryption ■ c. By revising the fourth sentence of seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15 technology control plan approved by the U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201 paragraph (b)(1)(i); and National Security Agency, or et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR ■ d. By adding paragraphs (b)(5) and (6), Department of Defense monitoring of 58767, 3 CFR, 1996 Comp., p. 228; E.O. to read as follows: launch activities. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 4, 2016, 81 FR 52587 § 742.6 Regional stability. (6) Remote sensing spacecraft. (August 8, 2016). (a) * * * Applications to export or reexport a (1) RS Column 1 license requirements ‘‘spacecraft’’ described in ECCN ■ 8. In Supplement No. 1 to Part 774, in general. A license is required for 9A515.a.1,.a.2, a.3, or .a.4, sensitive Category 9—Aerospace and Propulsion, exports and reexports to all remote sensing components described ECCN 9A004 is amended: destinations, except Canada, for all in 9A515.g, or ‘‘technology’’ described ■ a. By revising the License items in ECCNs on the CCL that include in ECCN 9E515.f may require a Requirements table; RS Column 1 in the Country Chart government-to-government agreement at ■ b. By adding ‘‘items’’ paragraph u. and column of the ‘‘License Requirements’’ the discretion of the U.S. Government. v. to the List of Items Controlled section; section. Transactions described in * * * * * and paragraphs (a)(2), (a)(3), or (a)(8) of this ■ c. By revising ‘‘items’’ paragraph y. in section are subject to the RS Column 1 PART 750—[AMENDED] the List of Items Controlled section to read as follows: license requirements set forth in those ■ paragraphs rather than the license 5. The authority citation for 15 CFR Supplement No. 1 to Part 774—The requirements set forth in this paragraph part 750 continues to read as follows: Commerce Control List (a)(1). Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. * * * * * 1701 et seq.; Sec. 1503, Pub. L. 108–11, 117 * * * * * (8) Special RS Column 1 license Stat. 559; E.O. 13026, 61 FR 58767, 3 CFR, 9A004 Space launch vehicles and 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, requirement applicable to certain ‘‘spacecraft,’’ ‘‘spacecraft buses,’’ 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 ‘‘spacecraft payloads,’’ ‘‘spacecraft’’ on- spacecraft and related items. A license FR 16129, 3 CFR, 2013 Comp., p. 223; board systems or equipment, and is required for all destinations, Presidential Determination 2003–23, 68 FR terrestrial equipment, as follows (see including Canada, for spacecraft and 26459, 3 CFR, 2004 Comp., p. 320; Notice of List of Items Controlled). related items classified under ECCN August 4, 2016, 81 FR 52587 (August 8, 9A515.a.1, .a.2., .a.3., .a.4., .g, and ECCN 2016). License Requirements 9E515.f. ■ 6. Section 750.4 is amended: Reason for Control: NS and AT (b) * * * ■ a. By adding paragraph (b)(8); and (1) * * * Country chart ■ b. By adding paragraph (d)(2)(iv) to Control(s) (see Supp. No. 1 to (i) *** Applications for export or read as follows: part 738) reexport of items classified under any 9x515 or ‘‘600 series’’ ECCN requiring a § 750.4 Procedures for processing license NS applies to NS Column 1 license in accordance with paragraph applications. 9A004.u, .v, .w and (a)(1) or (a)(8) of this section will also * * * * * .x. be reviewed consistent with United (b) * * * AT applies to AT Column 1 States arms embargo policies in § 126.1 (8) Satellites for launch. Applicant 9A004.u, .v, .w, .x of the ITAR (22 CFR 126.1) if destined must obtain approval by the Department and .y. to a country set forth in Country Group of Defense of a technology transfer * * * * *

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List of Items Controlled eligible for License Exception STA in a.1. Have electro-optical remote sensing * * * * * accordance with § 740.20(g) (License capabilities and having a clear aperture u. The James Webb Space Telescope Exception STA eligibility requests for greater than 0.35 meters, but less than or (JWST) being developed, launched, and certain 9x515 and ‘‘600 series’’ items). (2) equal to 0.50 meters; operated under the supervision of the U.S. License Exception STA may not be used if a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR, MWIR, or LWIR); National Aeronautics and Space the ‘‘spacecraft’’ controlled in ECCN a.3. Have radar remote sensing capabilities Administration (NASA). 9A515.a.1, .a.2, .a.3, or .a.4 contains a (e.g., AESA, SAR, or ISAR) having a center v. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ separable or removable propulsion system frequency equal to or greater than 1.0 GHz, and ‘‘attachments’’ that are ‘‘specially enumerated in USML Category IV(d)(2) or but less than 10.0 GHz and having a designed’’ for the James Webb Space USML Category XV(e)(12) and designated MT. (3) Paragraph (c)(2) of License bandwidth equal to or greater than 100 MHz, Telescope and that are not: Exception STA (§ 740.20(c)(2) of the EAR) but less than 300 MHz; v.1. Enumerated or controlled in the may not be used for any item in 9A515. a.4. Provide space-based logistics, USML; assembly, or servicing of another v.2. Microelectronic circuits; List of Items Controlled ‘‘spacecraft’’; or v.3. Described in ECCNs 7A004 or 7A104; Related Controls: Spacecraft, launch vehicles a.5. Are not described in ECCN 9A515.a.1, or and related articles that are enumerated in .a.2, .a.3 or .a.4. v.4. Described in an ECCN containing the USML, and technical data (including Note: ECCN 9A515.a includes commercial ‘‘space-qualified’’ as a control criterion (See ‘‘software’’) directly related thereto, and all communications satellites, remote sensing ECCN 9A515.x.4). services (including training) directly satellites, planetary rovers, planetary and * * * * * related to the integration of any satellite or interplanetary probes, and in-space habitats, y. Items that would otherwise be within spacecraft to a launch vehicle, including not identified in ECCN 9A004 or USML the scope of ECCN 9A004.v or .x but that both planning and onsite support, or Category XV(a). have been identified in an interagency- furnishing any assistance (including b. Ground control systems and training cleared commodity classification (CCATS) training) in the launch failure analysis or simulators ‘‘specially designed’’ for pursuant to § 748.3(e) as warranting control investigation for items in ECCN 9A515.a, telemetry, tracking, and control of the in 9A004.y. are ‘‘subject to the ITAR.’’ All other ‘‘spacecraft’’ controlled in paragraphs ‘‘spacecraft,’’ as enumerated below and ■ 9A004.u or 9A515.a. 9. In Supplement No. 1 to Part 774, defined in § 772.1, are subject to the Category 9—Aerospace and Propulsion, controls of this ECCN. See also ECCNs * * * * * ECCN 9A515 is amended: 3A001, 3A002, 3A991, 3A992, 6A002, d. Microelectronic circuits (e.g., integrated ■ a. By adding a License Requirement 6A004, 6A008, and 6A998 for specific circuits, microcircuits, or MOSFETs) and Note at the end of the License ‘‘space-qualified’’ items, 7A004 and 7A104 discrete electronic components rated, for star trackers, and 9A004 for the certified, or otherwise specified or described Requirements section; as meeting or exceeding all the following ■ International Space Station (ISS), James b. By revising the Special Conditions characteristics and that are ‘‘specially for STA section; Webb Space Telescope (JWST), and ‘‘specially designed’’ ‘‘parts’’ and designed’’ for defense articles, ‘‘600 series’’ ■ c. By revising the Related Controls ‘‘components’’ therefor. See USML items, or items controlled by ECCNs 9A004.v paragraph in the List of Items Controlled Category XI(c) for controls on microwave or 9A515: section; monolithic integrated circuits (MMICs) that * * * * * ■ d. By revising the introductory text to are ‘‘specially designed’’ for defense e. Microelectronic circuits (e.g., integrated the ‘‘items’’ paragraph in the List of articles. See ECCN 9A610.g for pressure circuits, microcircuits, or MOSFETs) and items Controlled section; suits used for high altitude aircraft. discrete electronic components that are rated, ■ e. By revising ‘‘items’’ paragraphs a. * * * * * certified, or otherwise specified or described and b. in the List of Items Controlled Items: ‘‘Spacecraft’’ and other items as meeting or exceeding the characteristics in described in ECCN 9A515 remain subject either paragraph e.1 or e.2, AND ‘‘specially section; designed’’ for defense articles controlled by ■ to the EAR even if exported, reexported, or f. By revising the introductory text of USML Category XV or items controlled by paragraphs d. and e. in the List of Items transferred (in-country) with defense articles ‘‘subject to the ITAR’’ integrated ECCNs 9A004.u or 9A515: Controlled section; into and included therein as integral parts * * * * * ■ g. By adding ‘‘items’’ paragraph g. in of the item. In all other cases, such defense g. Remote sensing components ‘‘specially the list of Items Controlled section; and articles are subject to the ITAR. For designed’’ for ‘‘spacecraft’’ described in ■ h. By adding ‘‘items’’ paragraphs y.2., example, a 9A515.a ‘‘spacecraft’’ remains ECCNs 9A515.a.1 through 9A515.a.4 as y.3., y.4., y.5. and y.6. to read as follows: ‘‘subject to the EAR’’ even when it is follows: exported, reexported, or transferred (in- g.1. Space-qualified optics (i.e., lens, 9A515 ‘‘Spacecraft’’ and related country) with a ‘‘hosted payload’’ mirror, membrane having active properties commodities, as follows (see List of described in USML Category XV(e)(17) (e.g., adaptive, deformable)) with the largest Items Controlled). incorporated therein. In all other cases, a lateral clear aperture dimension equal to or License Requirements ‘‘hosted payload’’ performing a function less than 0.35 meters; or with the largest clear described in USML Category XV(a) always * * * * * aperture dimension greater than 0.35 meters remains a USML item. The removal of the but less than or equal to 0.50 meters; License Requirement Note: The Commerce defense article subject to the ITAR from the g.2. Optical bench assemblies ‘‘specially Country Chart is not used for determining spacecraft is a retransfer under the ITAR designed’’ for ECCN 9A515.a.1, 9A515.a.2, license requirements for commodities and would require an ITAR authorization, 9A515.a.3, or 9A515.a.4 ‘‘spacecraft;’’ or classified in ECCN 9A515.a.1, .a.2., .a.3., .a.4, regardless of the CCL authorization the g.3. Primary, secondary, or hosted payloads and .g. See § 742.6(a)(8), which specifies that spacecraft is exported under. Additionally, that perform a function of ECCN 9A515.a.1, such commodities are subject to a worldwide transfer of technical data regarding the 9A515.a.2, 9A515.a.3, or 9A515.a.4 license requirement. defense article subject to the ITAR ‘‘spacecraft.’’ * * * * * integrated into the spacecraft would * * * * * require an ITAR authorization. y. * * * Special Conditions for STA * * * * * y.2. Space grade or for spacecraft STA: (1) Paragraph (c)(1) of License a. ‘‘Spacecraft,’’ including satellites, and applications thermistors; Exception STA (§ 740.20(c)(1) of the EAR) space vehicles, whether designated y.3. Space grade or for spacecraft may not be used for ‘‘spacecraft’’ in ECCN developmental, experimental, research or applications RF microwave bandpass ceramic 9A515.a.1, .a.2, .a.3, or .a.4, or items in scientific, not enumerated in USML Category filters (Dielectric Resonator Bandpass 9A515.g, unless determined by BIS to be XV or described in ECCN 9A004, that: Filters);

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y.4. Space grade or for spacecraft ■ f. By adding ‘‘items’’ paragraph f. in ECCN 9B515, or ‘‘software’’ controlled by applications hall effect sensors; the list of Items Controlled section to ECCN 9D515.a. y.5. Space grade or for spacecraft read as follows: * * * * * applications subminiature (SMA and SMP) f. ‘‘Technology’’ ‘‘required’’ for the 9E515 ‘‘Technology’’ ‘‘required’’ for the plugs and connectors, TNC plugs and cable ‘‘development,’’ ‘‘production,’’ installation, ‘‘development,’’ ‘‘production,’’ and connector assemblies with SMA plugs repair (including on-orbit anomaly resolution operation, installation, repair, overhaul, and connectors; and and analysis beyond established procedures), or refurbishing of ‘‘spacecraft’’ and y.6. Space grade or for spacecraft overhaul, or refurbishing of commodities related commodities, as follows (see List applications flight cable assemblies. controlled by ECCN 9A515.a.1, .a.2, .a.3, .a.4, of Items Controlled). ■ 10. In Supplement No. 1 to Part 774, or .g. Category 9—Aerospace and Propulsion, License Requirements * * * * * ECCN 9B515 is amended: * * * * * Dated: December 27, 2016. ■ a. By revising the License Kevin J. Wolf, Requirements section; and Country chart ■ Control(s) (see Supp. No. 1 to Assistant Secretary of Commerce for Export b. By revising ‘‘items’’ paragraph a. in part 738) Administration. the List of Items Controlled section to [FR Doc. 2016–31755 Filed 1–9–17; 8:45 am] read as follows: NS applies to entire NS Column 1 BILLING CODE P 9B515 Test, inspection, and production entry except ‘‘equipment’’ ‘‘specially designed’’ for 9E515.y. MT applies to tech- MT Column 1 ‘‘spacecraft’’ and related commodities, DEPARTMENT OF COMMERCE as follows (see List of Items Controlled). nology for items in 9A515.d, License Requirements 9A515.e.2 and Bureau of Industry and Security Reason for Control: NS, MT, RS, AT 9B515.a controlled for MT reasons. 15 CFR Part 744 Country chart RS applies to entire RS Column 1 [Docket No. 161221999–6999–01] Control(s) (see Supp. No. 1 to entry except part 738) 9E515.y. RIN 0694—AH23 AT applies to entire AT Column 1 NS applies to entire NS Column 1 entry. Addition of Certain Persons and entry. Revisions to Entries on the Entity List; MT applies to equip- MT Column 1 LICENSE REQUIREMENT NOTE: The Commerce Country Chart is not used for determining and Removal of a Person From the ment in 9B515.a Entity List for the ‘‘develop- license requirements for ‘‘technology’’ classified ECCN 9E515.f. See § 742.6(a)(8), ment’’ or ‘‘produc- AGENCY: Bureau of Industry and which specifies that such ‘‘technology’’ is tion’’ of commod- subject to a worldwide license requirement. Security, Commerce. ities in USML Cat- ACTION: Final rule. egory XV(e)(12) * * * * * and XV(e)(19) that Special Conditions for STA SUMMARY: This rule amends the Export are MT controlled. Administration Regulations (EAR) by RS applies to entire RS Column 1 STA: (1) Paragraph (c)(1) of License adding five persons to the Entity List. Exception STA (§ 740.20(c)(1) of the EAR) entry. The five persons who are added to the AT applies to entire AT Column 1 may not be used for ECCN 9E515.b, .d, .e, entry. or .f unless determined by BIS to be Entity List have been determined by the eligible for License Exception STA in U.S. Government to be acting contrary * * * * * accordance with § 740.20(g) (License to the national security or foreign policy Items: Exception STA eligibility requests for interests of the United States. These five a. Test, inspection, and production certain 9x515 and ‘‘600 series’’ items). persons will be listed on the Entity List ‘‘equipment’’ ‘‘specially designed’’ for the *** ‘‘production’’ or ‘‘development’’ of under the destination of Turkey. This commodities enumerated in ECCNs 9A004.u, List of Items Controlled final rule also removes one entity from 9A515.a, or USML Category XV(a) or XV(e). Related Controls: Technical data directly the Entity List under the destination of NOTE: ECCN 9B515.a includes equipment, related to articles enumerated in USML India as the result of a request for cells, and stands ‘‘specially designed’’ for the Category XV are subject to the control of removal received by BIS and a review of analysis or isolation of faults in commodities USML paragraph XV(f). See also ECCNs information provided in the removal enumerated in ECCNs 9A004.u or 9A515.a, 3E001, 3E003, 6E001, and 6E002 for request in accordance with the or USML Category XV(a) or XV(e). specific ‘‘space-qualified’’ items. See procedure for requesting removal or ECCNs 9E001 and 9E002 for technology for * * * * * modification of an Entity List entity. the International Space Station, the James Finally, this rule is also revising five ■ 11. In Supplement No. 1 to Part 774, Webb Space Telescope (JWST) and ‘‘parts,’’ existing entries in the Entity List, under Category 9—Aerospace and Propulsion, ‘‘components,’’ ‘‘accessories,’’ and the destinations of Armenia, Greece, ECCN 9E515 is amended: ‘‘attachments’’ ‘‘specially designed’’ ■ a. By revising the License therefor. See USML category XV(f) for Pakistan, Russia and the United Requirements table; controls on technical data and defense Kingdom (U.K.). Four of these entries ■ b. By adding a License Requirement services related to launch vehicle are modified to reflect the removal from integration. Note at the end of the License the Entity List of the entity located in Requirements section; * * * * * India. The license requirement for the ■ c. By revising paragraph (1) in the Items: entry under the destination of Russia is a. ‘‘Technology’’ ‘‘required’’ for the being revised to conform with a general Special Conditions for STA section; ‘‘development,’’ ‘‘production,’’ installation, ■ d. By revising the Related Controls license issued by the Department of the repair (including on-orbit anomaly resolution Treasury’s Office of Foreign Assets paragraph in the List of Items Controlled and analysis beyond established procedures), section; overhaul, or refurbishing of commodities Control on December 20, 2016. ■ e. By revising ‘‘items’’ paragraph a. in controlled by ECCN 9A515 (except DATES: This rule is effective January 10, the List of Items Controlled section; and 9A515.a.1, .a.2, .a.3, .a.4, .b, .d, .e, or .g), 2017.

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FOR FURTHER INFORMATION CONTACT: becoming involved in, activities that are —Macide Fulya Kalafatoglu. Chair, End-User Review Committee, contrary to the national security or Barajyolu Cd Yenisehir Mh Sinpas Office of the Assistant Secretary, Export foreign policy interests of the United Koruk Konutlari No 40 Sogut Blok D1 Administration, Bureau of Industry and States and those acting on behalf of such Istanbul, Turkey; Security, Department of Commerce, persons may be added to the Entity List. (3) Murat Taskiran, Phone: (202) 482–5991, Email: ERC@ Paragraphs (b)(1) through (b)(5) of Kuyumcukent 2, Plaza Kat 5, No 9, bis.doc.gov. § 744.11 include an illustrative list of Yenibosna, Istanbul, Turkey; SUPPLEMENTARY INFORMATION: activities that could be contrary to the (4) Ramor Group, a.k.a., the following national security or foreign policy four aliases: Background interests of the United States. —Ramor Construction Food and The Entity List (Supplement No. 4 to Specifically, two entities, AR Furniture Incorporation; Part 744) identifies entities and other Kompozit Kimya and Murat Taskiran, —Ramor Ins; persons reasonably believed to be are being added to the Entity List as —Ramor Company; and involved, or to pose a significant risk of these entities exported high grade U.S.- —Ramor Ltd. Co. being or becoming involved, in origin carbon fiber to Iran in violation Unit 42, Gardenya Plaza 7⁄1, 12th activities contrary to the national of U.S. law (i.e., 50 U.S.C. 1701 thru Floor, No: 77, Atasehir, Istanbul, Turkey security or foreign policy interests of the 1706 and 30 CFR 560.203 & 560.204). 34758; and 1st.End.ve.Tic.Serbest United States. The EAR imposes The additional three entities located in Bol.Sub. Kopuzlar Cad.No.8 Solingen additional license requirements on, and Turkey, Fulya Kalfatoglu Oguzturk, Zemin Kat Tuzla/Istanbul, Turkey; and limits the availability of most license Ramor Group and Resit Tavan, are being (5) Resit Tavan, exceptions for, exports, reexports, and added to the Entity List on the basis of Turgotozl CD Agaoglu MySkyTowers, transfers (in-country) to those listed. their involvement in the procurement A Blok D 12, Istanbul, Turkey 34758. The ‘‘license review policy’’ for each and/or retransfer of U.S.-origin items to listed entity or other person is identified Iran for use by the Iranian military. Removal From the Entity List in the License Review Policy column on Pursuant to § 744.11(b) of the EAR, This rule implements a decision of the Entity List and the impact on the the ERC determined that the conduct of the ERC to remove the following entry availability of license exceptions is these five entities raises sufficient from the Entity List on the basis of on described in the Federal Register notice concern that prior review of exports, a removal request received by the BIS: adding entities or other persons to the reexports or transfers (in-country) of all Veteran Avia LLC, located in India. The Entity List. BIS places entities and other items subject to the EAR involving these ERC decided to remove Veteran Avia persons on the Entity List pursuant to persons, and the possible imposition of LLC (India) based on information sections of part 744 (Control Policy: license conditions or license denials on received by BIS regarding activities at End-User and End-Use Based) and part shipments to the persons, will enhance the listed location in India and further 746 (Embargoes and Other Special BIS’s ability to prevent violations of the review conducted by the ERC. Controls) of the EAR. EAR. This final rule implements the The ERC, composed of representatives For the five persons added to the decision to remove the following entity of the Departments of Commerce Entity List, BIS imposes a license located in India from the Entity List: (Chair), State, Defense, Energy and, requirement for all items subject to the India where appropriate, the Treasury, makes EAR and a license review policy of all decisions regarding additions to, presumption of denial. The license (1) Veteran Avia LLC, a.k.a., the removals from, or other modifications to requirements apply to any transaction in following one alias: the Entity List. The ERC makes all which items are to be exported, —Veteran Airline. decisions to add an entry to the Entity reexported, or transferred (in-country) to A–107, Lajpat Nagar—I, New Delhi List by majority vote and all decisions any of the persons or in which such 110024, India and Room No. 34 Import to remove or modify an entry by persons act as purchaser, intermediate Cargo, IGI Airport Terminal—II, New unanimous vote. consignee, ultimate consignee, or end- Delhi 110037, India; and 25B, Camac user. In addition, no license exceptions ERC Entity List Decisions Street 3E, Camac Court Kolkatta, are available for exports, reexports, or 700016, India; and Ali’s Chamber #202, Additions to the Entity List transfers (in-country) to the persons 2nd Floor Sahar Cargo Complex This rule implements the decision of being added to the Entity List in this Andheri East Mumbai, 400099, India. the ERC to add five persons to the Entity rule. The acronym ‘‘a.k.a.’’ (also known (See also addresses under Armenia, List. These five persons are being added as) is used in entries on the Entity List Greece, Pakistan, and U.K). on the basis of § 744.11 (License to help exporters, reexporters and The removal of the person referenced requirements that apply to entities transferors to better identify listed above, which was approved by the ERC, acting contrary to the national security persons on the Entity List. eliminates the existing license or foreign policy interests of the United This final rule adds the following five requirements in Supplement No. 4 to States) of the EAR. The five entries persons to the Entity List: part 744 for exports, reexports and added to the Entity List are located in Turkey transfers (in-country) to this entity. Turkey. However, the removal of this person The ERC reviewed § 744.11(b) (1) AR Kompozit Kimya, a.k.a., the from the Entity List does not relieve (Criteria for revising the Entity List) in following two aliases: persons of other obligations under part making the determination to add these —AR Composites Company Ltd; and 744 of the EAR or under other parts of five persons to the Entity List. Under —AR Kompozit Kimya Muhendislik the EAR. Neither the removal of an that paragraph, persons for whom there Taah Dis Tic Ltd. entity from the Entity List nor the is reasonable cause to believe, based on Kuyumcukent 2, Plaza Kat 5, No 9, removal of Entity List-based license specific and articulable facts, that they Yenibosna, Istanbul, Turkey; requirements relieves persons of their have been involved, are involved, or (2) Fulya Kalafatoglu Oguzturk, a.k.a., obligations under General Prohibition 5 pose a significant risk of being or the following one alias: in § 736.2(b)(5) of the EAR which

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provides that, ‘‘you may not, without a of E.O. 13685. FAU ‘Glavgosekspertiza Russia license, knowingly export or reexport Rossii’ continues to be listed under both (1) FAU ‘Glavgosekspertiza Rossii’, any item subject to the EAR to an end- Russia and the Crimea region of Ukraine a.k.a., the following three aliases: user or end-use that is prohibited by on the Entity List. This final rule —Federal Autonomous Institution part 744 of the EAR.’’ Additionally, this amends only the entry under Russia; it ‘Main Directorate of State removal does not relieve persons of does not make any change to the entry Examination’; their obligation to apply for export, listed under the Crimea region of —General Board of State Expert Review; reexport or in-country transfer licenses Ukraine. The license requirement for and required by other provisions of the EAR. FAU ‘Glavgosekspertiza Rossii’ listed —Glavgosekspertiza. BIS strongly urges the use of under the destination of the Crimea Furkasovskiy Lane, building 6, Supplement No. 3 to part 732 of the region of Ukraine continues to apply to Moscow 101000, Russia (See alternate EAR, ‘‘BIS’s ‘Know Your Customer’ all items subject to the EAR. address under Crimea region of Guidance and Red Flags,’’ when persons Conforming Changes for an Approved Ukraine). are involved in transactions that are Removal From the Entity List NOTE: As described above, the changes this subject to the EAR. final rule makes to this Russian entity are This final rule revises four entries in Revisions to Entries on the Entity List limited to the License requirement column the Entity List for the entity Veteran for this entry. Modification to License Requirements Avia LLC, a.k.a., Veteran Airline, under for an Entry on the Entity List the destinations of Armenia, Greece, United Kingdom On December 20, 2016, the Pakistan and the United Kingdom. As (1) Veteran Avia LLC, a.k.a., the Department of the Treasury’s Office of described above, the ERC approved the following one alias: removal of Veteran Avia LLC (India). Foreign Assets Control (OFAC) issued —Veteran Airline. General License No. 11, Authorizing Therefore, this final rule makes 1 Beckett Place, South Hamptonshire, Certain Transactions With FAU conforming changes to the remaining London, U.K. (See also addresses under Glavgosekspertiza Rossii, an entity in four entries for the entity to remove the Armenia, Greece, and Pakistan). the Russian Federation. This general cross references to India. This final rule license authorizes transactions does not make any other changes to Savings Clause these four entries, except for revising otherwise prohibited by Executive Shipments of items removed from the Federal Register citation column to Order 13685 (E.O.) of December 19, eligibility for a License Exception or reflect this conforming change being 2014 that are ordinarily incident and export or reexport without a license made to these four entities. The license necessary to requesting, contracting for, (NLR) as a result of this regulatory requirement for the four entries remains paying for, receiving, or utilizing a action that were en route aboard a all items subject to the EAR, and the project design review or permit from carrier to a port of export or reexport, on license application review policy FAU Glavgosekspertiza Rossii’s office(s) January 10, 2017, pursuant to actual remains a presumption of denial. in the Russian Federation, provided that orders for export or reexport to a foreign the underlying project is located wholly This final rule makes the following destination, may proceed to that within the Russian Federation, and revisions to five entries on the Entity destination under the previous none of the transactions otherwise List: eligibility for a License Exception or violate Executive Order (E.O.) 13685 of Armenia export or reexport without a license December 19, 2014. Any questions (NLR). regarding to the scope of this general (1) Veteran Avia LLC, a.k.a., the license should be directed to OFAC. following one alias: Export Administration Act of 1979 In light of OFAC’s General License —Veteran Airline. Although the Export Administration No. 11, BIS makes a conforming change Act of 1979 expired on August 20, 2001, 64, Baghramyam Avenue, Apt 16, by modifying the listing for FAU the President, through Executive Order Yerevan 0033, Armenia; and 1 Eervand ‘Glavgosekspertiza Rossii’ on the Entity 13222 of August 17, 2001, 3 CFR, 2001 Kochari Street Room 1, 375070 Yerevan, List under the destination of Russia (the Comp., p. 783 (2002), as amended by Armenia (See also addresses under term used in the EAR for the Russian Executive Order 13637 of March 8, Greece, Pakistan, and U.K.). Federation). This final rule modifies the 2013, 78 FR 16129 (March 13, 2013) and license requirement column for this Greece as extended by the Notice of August 4, entity to specify that the Entity List’s 2016, 81 FR 52587 (August 8, 2016), has (1) Veteran Avia LLC, a.k.a., the license requirements do not apply to continued the Export Administration following one alias: items subject to the EAR that are related Regulations in effect under the to transactions authorized by OFAC —Veteran Airline. International Emergency Economic pursuant to new General License No. 11 24, A. Koumbi Street, Markopoulo Powers Act. BIS continues to carry out (transactions that are ordinarily incident 190 03, Attika, Greece (See also the provisions of the Export and necessary to requesting, contracting addresses under Armenia, Pakistan, and Administration Act of 1979, as for, paying for, receiving or utilizing a U.K.). appropriate and to the extent permitted project design review or permit from by law, pursuant to Executive Order this listed entity’s office(s) in Russia, so Pakistan 13222, as amended by Executive Order long as the underlying project occurs (1) Veteran Avia LLC, a.k.a., the 13637. wholly within Russia and no following one alias: transactions otherwise violate E.O. Rulemaking Requirements 13685). The listing for Ukraine on the —Veteran Airline. 1. Executive Orders 13563 and 12866 Commerce Country Chart, Supp. No. 1 Room No. 1, ALC Building, PIA Cargo direct agencies to assess all costs and to part 738 of the EAR, includes a Complex Jiap, Karachi, Pakistan (See benefits of available regulatory footnote that defines the ‘‘Crimea region also addresses under Armenia, Greece, alternatives and, if regulation is of Ukraine’’ consistent with section 8(d) and U.K.). necessary, to select regulatory

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approaches that maximize net benefits United States. In addition, publishing a receive U.S. exports immediately since (including potential economic, proposed rule would give these parties the applicant already has received environmental, public health and safety notice of the U.S. Government’s approval by the ERC pursuant to 15 CFR effects, distributive impacts, and intention to place them on the Entity part 744, Supplement No. 5, as noted in equity). Executive Order 13563 List and would create an incentive for 15 CFR 744.16(b). emphasizes the importance of these persons to either accelerate Removals from the Entity List granted quantifying both costs and benefits, of receiving items subject to the EAR to by the ERC involve interagency reducing costs, of harmonizing rules, conduct activities that are contrary to deliberation and result from review of and of promoting flexibility. This rule the national security or foreign policy public and non-public sources, has been determined to be not interests of the United States, and/or to including sensitive law enforcement significant for purposes of Executive take steps to set up additional aliases, information and classified information, Order 12866. change addresses, and other measures to and the measurement of such 2. Notwithstanding any other try to limit the impact of the listing on information against the Entity List provision of law, no person is required the Entity List once a final rule was removal criteria. This information is to respond to nor be subject to a penalty published. Further, no other law extensively reviewed according to the for failure to comply with a collection requires that a notice of proposed criteria for evaluating removal requests of information, subject to the rulemaking and an opportunity for from the Entity List, as set out in 15 CFR requirements of the Paperwork public comment be given for this rule. part 744, Supplement No. 5 and 15 CFR Reduction Act of 1995 (44 U.S.C. 3501 Because a notice of proposed 744.16(b). For reasons of national et seq.) (PRA), unless that collection of rulemaking and an opportunity for security, BIS is not at liberty to provide information displays a currently valid public comment are not required to be to the public detailed information on Office of Management and Budget given for this rule by 5 U.S.C. 553, or which the ERC relied to make the (OMB) Control Number. This regulation by any other law, the analytical decisions to remove this entity. In involves collections previously requirements of the Regulatory addition, the information included in approved by OMB under control Flexibility Act, 5 U.S.C. 601 et seq., are the removal request is information number 0694–0088, Simplified Network not applicable. Accordingly, no exchanged between the applicant and Application Processing System, which regulatory flexibility analysis is required the ERC, which by law (section 12(c) of includes, among other things, license and none has been prepared. the Export Administration Act of 1979), applications and carries a burden 5. For the one entry removed from the BIS is restricted from sharing with the estimate of 43.8 minutes for a manual or Entity List in this final rule, pursuant to public. Moreover, removal requests from electronic submission. Total burden the Administrative Procedure Act the Entity List contain confidential hours associated with the PRA and (APA), 5 U.S.C. 553(b)(B), BIS finds business information, which is OMB control number 0694–0088 are not good cause to waive requirements that necessary for the extensive review expected to increase as a result of this this rule be subject to notice and the conducted by the U.S. Government in rule. You may send comments regarding opportunity for public comment assessing such removal requests. the collection of information associated because it would be contrary to the Section 553(d) of the APA generally with this rule, including suggestions for public interest. provides that rules may not take effect reducing the burden, to Jasmeet K. In determining whether to grant a earlier than thirty (30) days after they Seehra, Office of Management and request for removal from the Entity List, are published in the Federal Register. Budget (OMB), by email to Jasmeet_K._ a committee of U.S. Government BIS finds good cause to waive the 30- [email protected], or by fax to (202) agencies (the End-User Review day delay in effectiveness under 5 395–7285. Committee (ERC)) evaluates information U.S.C. 553(d)(1) because this rule is a 3. This rule does not contain policies about and commitments made by listed substantive rule which relieves a with Federalism implications as that persons requesting removal from the restriction. This rule’s removal of one term is defined in Executive Order Entity List, the nature and terms of person from the Entity List removes a 13132. which are set forth in 15 CFR part 744, requirement (the Entity-List-based 4. For the five persons added to the Supplement No. 5, as noted in 15 CFR license requirement and limitation on Entity List in this final rule, the 744.16(b). The information, use of license exceptions) on this person provisions of the Administrative commitments, and criteria for this being removed from the Entity List. The Procedure Act (5 U.S.C. 553) requiring extensive review were all established rule does not impose a requirement on notice of proposed rulemaking, the through the notice of proposed any other person for the removal from opportunity for public comment and a rulemaking and public comment the Entity List. delay in effective date are inapplicable process (72 FR 31005 (June 5, 2007) In addition, the Department finds that because this regulation involves a (proposed rule), and 73 FR 49311 there is good cause under 5 U.S.C. military or foreign affairs function of the (August 21, 2008) (final rule)). This one 553(b)(B) to waive the provisions of the United States. (See 5 U.S.C. 553(a)(1)). removal has been made within the Administrative Procedure Act (APA) BIS implements this rule to protect U.S. established regulatory framework of the requiring prior notice and the national security or foreign policy Entity List. If the rule were to be opportunity for public comment for the interests by preventing items from being delayed to allow for public comment, five conforming changes included in exported, reexported, or transferred (in- U.S. exporters may face unnecessary this rule because they are either country) to the persons being added to economic losses as they turn away unnecessary or contrary to the public the Entity List. If this rule were delayed potential sales to the entity removed by interest. These five conforming changes to allow for notice and comment and a this rule because the customer remained are limited to ensure consistency with a delay in effective date, the entities being a listed person on the Entity List even removal included in this rulemaking or added to the Entity List by this action after the ERC approved the removal consistency with OFAC’s General would continue to be able to receive pursuant to the rule published at 73 FR License No. 11, and thus prior notice items without a license and to conduct 49311 on August 21, 2008. By and the opportunity for public comment activities contrary to the national publishing without prior notice and are unnecessary. The conforming security or foreign policy interests of the comment, BIS allows the applicant to change to the listing for FAU

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‘Glavgosekspertiza Rossii’ is intended to CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 700016, India; and Ali’s Chamber #202, ensure consistent treatment of this 5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026, 2nd Floor Sahar Cargo Complex entity under both the EAR and OFAC’s 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. Andheri East Mumbai, 400099, India sanctions regime. The other four 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. (See also addresses under Armenia, conforming changes are limited to 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3 Greece, Pakistan, and U.K.).’’ ; reflecting the removal of Veteran Avia CFR, 2001 Comp., p. 786; Notice of ■ d. By revising, under Pakistan, one LLC (India). These four changes are November 12, 2015, 80 FR 70667 (November Pakistani entity, ‘‘Veteran Avia LLC, needed to correct the cross-referencing 13, 2015); Notice of January 20, 2016, 81 FR a.k.a., the following one alias:—Veteran parenthetical phrase included in each of 3937 (January 22, 2016); Notice of August 4, Airline. Room No. 1, ALC Building, PIA these four entries. 2016, 81 FR 52587 (August 8, 2016); Notice Cargo Complex Jiap, Karachi, Pakistan No other law requires that a notice of of September 15, 2016, 81 FR 64343 (See also addresses under Armenia, (September 19, 2016); Notice of November 8, proposed rulemaking and an Greece, India, U.A.E., and U.K.)’’; opportunity for public comment be 2016, 81 FR 79379 (November 10, 2016). ■ e. By revising, under Russia, one given for this final rule. Because a ■ 2. Supplement No. 4 to part 744 is notice of proposed rulemaking and an Russian entity ‘‘FAU ‘Glavgosekspertiza amended: Rossii’, a.k.a., the following three opportunity for public comment are not ■ a. By revising, under Armenia, one aliases:—Federal Autonomous required under the APA or by any other Armenian entity ‘‘Veteran Avia LLC, Institution ‘Main Directorate of State law, the analytical requirements of the a.k.a., the following one alias:—Veteran Examination’;—General Board of State Regulatory Flexibility Act (5 U.S.C. 601 Airline. 64, Baghramyam Avenue, Apt Expert Review; and—Glavgosekspertiza. et seq.) are not applicable. As a result, 16, Yerevan 0033, Armenia; and 1 Furkasovskiy Lane, building 6, Moscow no final regulatory flexibility analysis is Eervand Kochari Street Room 1, 375070 101000, Russia (See alternate address required and none has been prepared. Yerevan, Armenia (See also addresses under Crimea region of Ukraine).’’; under Greece, India, Pakistan, and List of Subjects in 15 CFR Part 744 ■ U.K.)’’ ; f. By adding, under Turkey, in Exports, Reporting and recordkeeping ■ b. By revising, under Greece, one alphabetical order, five Turkish entities; requirements, Terrorism. Greek entity ‘‘Veteran Avia LLC, a.k.a., and Accordingly, part 744 of the Export the following one alias:—Veteran ■ g. By revising, under the United Administration Regulations (15 CFR Airline. 24, A. Koumbi Street, Kingdom, one British entity ‘‘Veteran parts 730–774) is amended as follows: Markopoulo 190 03, Attika, Greece (See Avia LLC, a.k.a., the following one also addresses under Armenia, India, alias:—Veteran Airline. 1 Beckett Place, PART 744—[AMENDED] Pakistan, and U.K.)’’ ; South Hamptonshire, London, U.K. (See ■ 1. The authority citation for 15 CFR ■ c. By removing, under India, one also addresses under Armenia, Greece, part 744 continues to read as follows: Indian entity, ‘‘Veteran Avia LLC, a.k.a., India, and Pakistan).’’ the following one alias:—Veteran The additions and revisions read as Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. Airline. A–107, Lajpat Nagar—I, New 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. follows: 2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; Delhi 110024, India; and Room No. 34 Import Cargo, IGI Airport Terminal—II, Supplement No. 4 to Part 744—Entity E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., List p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 New Delhi 110037, India; and 25B, Comp., p. 608; E.O. 12938, 59 FR 59099, 3 Camac Street 3E, Camac Court Kolkatta, * * * * *

License Country Entity License requirement review policy Federal Register citation

******* ARMENIA ...... ****** Veteran Avia LLC a.k.a., the following For all items subject to Presumption of denial ...... 79 FR 44683, 8/1/14. 81 alias: the EAR. (See § 744.11 FR 8829, 2/23/16. 82 —Veteran Airline. of the EAR). FR [INSERT FR PAGE 64, Baghramyam Avenue, Apt 16, NUMBER] 1/10/17. Yerevan 0033, Armenia; and 1 Eervand Kochari Street Room 1, 375070 Yerevan, Armenia (See also addresses under Greece, Pakistan, and U.K.).

*******

GREECE ...... ****** Veteran Avia LLC a.k.a., the following For all items subject to Presumption of denial ...... 79 FR 56003, 9/18/14. 81 alias: the EAR. (See § 744.11 FR 8829, 2/23/16. 82 —Veteran Airline. of the EAR). FR [INSERT FR PAGE 24, A. Koumbi Street, Markopoulo 190 NUMBER] 1/10/17. 03, Attika, Greece (See also ad- dresses under Armenia, Pakistan, and U.K.).

*******

PAKISTAN ...... ******

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License Country Entity License requirement review policy Federal Register citation

Veteran Avia LLC, a.k.a., the following For all items subject to Presumption of denial ...... 79 FR 56003, 9/18/14. 81 one alias: the EAR. (See § 744.11 FR 8829, 2/23/16. 82 —Veteran Airline. of the EAR). FR [INSERT FR PAGE Room No. 1, ALC Building, PIA Cargo NUMBER] 1/10/17. Complex Jiap, Karachi, Pakistan (See also addresses under Armenia, Greece, and U.K.).

*******

RUSSIA ...... ****** FAU ‘Glavgosekspertiza Rossii’, a.k.a., For all items subject to Presumption of denial ...... 81 FR 61601, 9/7/16. 82 the following three aliases: the EAR (see § 744.11 FR [INSERT FR PAGE —Federal Autonomous Institution ‘Main of the EAR), apart from NUMBER] 1/10/17. Directorate of State Examination’; items that are related to —General Board of State Expert Re- transactions that are view; and authorized by the De- —Glavgosekspertiza. partment of the Treas- Furkasovskiy Lane, building 6, Moscow ury’s Office of Foreign 101000, Russia (See alternate ad- Assets Control pursuant dress under Crimea region of to General License No. Ukraine). 11 of December 20, 2016. Russia does not include the ‘‘Crimea re- gion of Ukraine,’’ as that term is defined in section 8(d) of E.O. 13685.

*******

TURKEY ...... ****** AR Kompozit Kimya, a.k.a., the fol- For all items subject to Presumption of denial ...... 82 FR [INSERT FR PAGE lowing two aliases: the EAR. (See § 744.11 NUMBER] 1/10/17. —AR Composites Company Ltd; and of the EAR). —AR Kompozit Kimya Muhendislik Taah Dis Tic Ltd. Kuyumcukent 2, Plaza Kat 5, No 9, Yenibosna, Istanbul, Turkey. ****** Fulya Kalafatoglu Oguzturk, a.k.a., the For all items subject to Presumption of denial ...... 82 FR [INSERT FR PAGE following one alias: the EAR. (See § 744.11 NUMBER] 1/10/17. —Macide Fulya Kalafatoglu. of the EAR). Barajyolu Cd Yenisehir Mh Sinpas Koruk Konutlari No 40 Sogut Blok D1 Istanbul, Turkey. ****** Murat Taskiran, Kuyumcukent 2, Plaza For all items subject to Presumption of denial ...... 82 FR [INSERT FR PAGE Kat 5, No 9, Yenibosna, Istanbul, the EAR. (See § 744.11 NUMBER] 1/10/17. Turkey. of the EAR). ****** Ramor Group, a.k.a., the following four For all items subject to Presumption of denial ...... 82 FR [INSERT FR PAGE aliases: the EAR. (See § 744.11 NUMBER] 1/10/17. —Ramor Construction Food and Fur- of the EAR). niture Incorporation; —Ramor Ins; —Ramor Company; and —Ramor Ltd. Co. Unit 42, Gardenya Plaza 7⁄1, 12th Floor, No: 77, Atasehir, Istanbul, Tur- key 34758; and 1st.End. ve.Tic.Serbest Bol.Sub. Kopuzlar Cad.No.8 Solingen Zemin Kat Tuzla/ Istanbul, Turkey. Resit Tavan, Turgotozl CD Agaoglu For all items subject to Presumption of denial ...... 82 FR [INSERT FR PAGE MySkyTowers, A Blok D 12, Istanbul, the EAR. (See § 744.11 NUMBER] 1/10/17. Turkey 34758. of the EAR).

*******

UNITED KING- ****** DOM.

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License Country Entity License requirement review policy Federal Register citation

Veteran Avia LLC a.k.a., the following For all items subject to Presumption of denial ...... 79 FR 56003, 9/18/14. 81 alias: the EAR. (See § 744.11 FR 8829, 2/23/16. 82 —Veteran Airline. of the EAR). FR [INSERT FR PAGE 1 Beckett Place, South Hamptonshire, NUMBER] 1/10/17. London, U.K. (See also addresses under Armenia, Greece, and Paki- stan). ******

Dated: December 28, 2016. are subject to the jurisdiction of the systems, cryocoolers and vibration Alexander K. Lopes, Jr., Export Administration Regulations suppression systems. Paragraphs Acting Assistant Secretary for Export (‘‘EAR,’’ 15 CFR parts 730–774, which (a)(7)(i) and (e)(2) are amended to clarify Administration. includes the Commerce Control List the size of the respective aperture [FR Doc. 2016–31833 Filed 1–9–17; 8:45 am] (CCL) in Supplement No. 1 to part 774), dimension of specific electro-optical BILLING CODE 3510–33–P administered by the Bureau of Industry remote sensing capabilities and space and Security (BIS), U.S. Department of qualified optics. Commerce. Both the ITAR and the EAR Three commenters stated that the DEPARTMENT OF STATE impose license requirements on exports aperture dimensions in paragraph and reexports. Items not subject to the (a)(7)(i) (electro-optical satellite 22 CFR Part 121 ITAR or to the exclusive licensing systems) should be raised from 0.35m to jurisdiction of any other set of [Public Notice: 9688] at or below 1.1m to reflect the regulations are subject to the EAR. commercial market for satellite imagery RIN 1400–AD33 All references to the USML in this and account for technical advances in rule are to the list of defense articles International Traffic in Arms apertures and ground resolution controlled for the purpose of export or capabilities. The Department Regulations: Revision of U.S. temporary import pursuant to the ITAR, Munitions List Category XV acknowledges this comment and that and not to the defense articles on the aperture technology is evolving, and has AGENCY: Department of State. USML that are controlled by the Bureau revised (a)(7)(i) to 0.50m to reflect the of Alcohol, Tobacco, Firearms and ACTION: Final rule. current status of technology that Explosives (ATF) for the purpose of provides the United States with a SUMMARY: As part of the President’s permanent import under its regulations. critical military or intelligence Export Control Reform (ECR) initiative, See 27 CFR part 447. Pursuant to section advantage and warrants control on the the Department published an interim 38(a)(1) of the Arms Export Control Act USML. (AECA), all defense articles controlled final rule on May 13, 2014 that revised Two commenters stated that (a)(12) Category XV (Spacecraft and Related for export or import are part of the USML under the AECA. For the sake of should be revised to include a definition Articles) of the U.S. Munitions List of ‘‘spaceflight,’’ or an inclusion of the (USML). After reviewing comments to clarity, the list of defense articles controlled by ATF for the purpose of word ‘‘human’’ in front of ‘‘spaceflight,’’ the interim final rule, the Department of as well as to clarify that the provision State is amending the International permanent import is the U.S. Munitions Import List (USMIL). The transfer of does not control satellites subject to the Traffic in Arms Regulations (ITAR) to jurisdiction of the Department of further revise Category XV of the USML defense articles from the ITAR’s USML to the EAR’s CCL for the purpose of Commerce. The Department disagrees to describe more precisely the articles with this comment because the word warranting control in that category. export control does not affect the list of defense articles controlled on the ‘‘spaceflight’’ was removed from DATES: This final rule is effective on USMIL under the AECA for the purpose paragraph (a) in a November 10, 2014 January 15, 2017. of permanent import. clean-up rule (79 FR 66608). In FOR FURTHER INFORMATION CONTACT: Mr. The Department published an interim addition, the revisions to paragraph C. Edward Peartree, Director, Office of final rule revising USML Category XV (a)(12) herein clarify that the rule does Defense Trade Controls Policy, on May 13, 2014 (79 FR 27180) and not control satellites subject to the Department of State, telephone: (202) received 11 public comments on the jurisdiction of the Department of 663–2792; email: DDTCResponseTeam@ proposed changes to the ITAR. The Commerce. state.gov. ATTN: Regulatory Change, interim final rule became effective Two commenters suggested that (c)(4) USML Category XV. November 10, 2014, and this final rule be amended to better reflect the controls SUPPLEMENTARY INFORMATION: The is making changes in response to the imposed by both the EAR and Missile Directorate of Defense Trade Controls previously received comments received Technology Control Regime, and to (DDTC), U.S. Department of State, on the interim final rule. avoid any regulatory confusion caused administers the International Traffic in by the fact that drones and UAVs are Arms Regulations (ITAR) (22 CFR parts Changes in This Rule already controlled under Category VIII 120–130). The items subject to the Paragraphs (a)(2), (a)(10), (a)(11), of the ITAR. The Department jurisdiction of the ITAR, i.e., ‘‘defense (a)(12), (e)(4), (e)(5), (e)(11)(iv), (e)(12), acknowledges the comments, and articles’’ and ‘‘defense services,’’ are (e)(20), and Note 3 to paragraph (a) and proposed removal of paragraph (c) to identified on the ITAR’s U.S. Munitions Note 3 to paragraph (f) are amended to Category XII (Fire Control, Range List (USML) (22 CFR 121.1). With few better reflect the intended scope of Finder, Optical and Guidance and exceptions, items not subject to the control with regard to autonomous Control Equipment) (see 81 FR 8438, export control jurisdiction of the ITAR tracking systems, logistics, propulsion Feb. 18, 2016). All public comments

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pertaining to (c) will be addressed in corresponding national security (e) remain on the USML, except as that final rule. consideration, and the provisions described in Note 2 to paragraph (e). One commenter stated that the should be amended to reflect that the This final rule amends paragraphs aperture dimensions in paragraph (e)(2) additional scrutiny imposed would only (e)(4) and (e)(5) to clarify the type of should be raised from 0.35m to 1.1m to be used in limited and particular systems controlled. Specifically, the reflect the commercial market for circumstances. In addition, the word ‘‘systems’’ is added to both satellite imagery. The Department commenters stated that the Departments provisions to make it clear that the acknowledges this comment and that of State and Commerce should jointly provisions are designed to control ‘‘cold aperture technology is evolving, and has revise the regulatory requirements to finger systems’’ in (e)(4) and ‘‘vibration revised the dimension in (e)(2)(ii) to remove the de facto pre-licensing suppression systems’’ and ‘‘active 0.50m to reflect the current status of requirement for satellite exports subject dampening systems’’ in (e)(5). technology that provides the United to the EAR intended for launch in This final rule amends paragraphs States with a critical military or NATO and major non-NATO allied (e)(11)(iv) and (e)(12) to clarify the type intelligence advantage and warrants countries. The Department does not of propulsions systems controlled. control on the USML. accept these comments as § 124.15 only Paragraph (e)(11)(iv) is revised to One commenter noted that paragraph applies to satellites and related items control electric propulsion systems, (e)(4), which concerns space qualified controlled by Category XV of the USML. such as plasma and ion based systems, mechanical cryocoolers, uses the term These controls do not apply to the EAR, that provide greater than 300 milli- ‘‘specially designed’’ to describe the which has its own analogous form of Newtons of thrust and a specific electronics captured in that provision, controls. impulse greater than 1,500 sec; or that but that the words ‘‘specially designed’’ Additional Changes operate at an input power of more than are omitted from (e)(5), resulting in 15kW. Paragraph (e)(12) is revised to certain commercial control electronics The Department also makes a number control bi-propellants or mono- being inadvertently caught under the of other revisions to Category XV to propellant rocket engines with which ITAR. The Department agrees with this limit the controls to those items that provide greater than 150 lbf (i.e., 667.23 comment, and has added the words provide a critical military or intelligence N) vacuum thrust. ‘‘specially designed’’ to (e)(5). advantage to the United States and One commenter expressed concern warrant controls on the USML, which Regulatory Analysis and Notices with possible unintended consequences are detailed below. Administrative Procedure Act of the interim final rule on space This final rule amends paragraph qualified laser radar, or light detection (a)(2) to clarify that the control applies The import and export of defense and ranging (LIDAR). Specifically, while to spacecraft that perform real-time articles and services is a foreign affairs the interim final rule clarified that (e)(7) autonomous detection and tracking of function of the United States does not control space qualified LIDAR, moving objects, other than celestial government and that rules the commenter expressed concern that it bodies. The control does not include implementing this function are exempt could still be caught by paragraph (e)(3). systems that can track fixed points to from §§ 553 (rulemaking) and 554 The Department clarifies that paragraph determine their own movement based (adjudications) of the Administrative (e)(3) could not inadvertently catch on the relative position of the fixed Procedure Act (APA). Although this rule space qualified LIDAR, because note 2 points over time. is exempt from the rulemaking to paragraph (e) makes clear that when This final rule amends paragraphs provisions of the APA and without the articles described in Category XV(e) (a)(10) and (11) to clarify the nature of prejudice to the Department’s are ‘‘integrated into and included as an the technology and defense articles determination that controlling the integral part’’ of an item subject to the controlled. Paragraph (a)(10) is revised import and export of defense services is EAR, they are subject to the EAR. A to control spacecraft that autonomously a foreign affairs function, the space qualified focal plane array by perform collision avoidance. Paragraph Department allowed a 45-day public itself would be caught by (e)(3), but (a)(11) is revised to control sub-orbital comment period for the interim final once integrated and integral to an item craft that incorporate a propulsion rule. The Department has made subject to the EAR, such as an EAR- system described in either paragraph (e) additional refinements to what was controlled space qualified LIDAR, the or Category IV(d)(1)–(6), and are proposed based on the public comments space qualified focal plane array would specially designed for atmospheric entry received, which helps to further the be subject to the EAR. or re-entry. The Department also makes objectives described in the interim final One commenter stated that Note 3 to a corresponding change to paragraph rule that is published as a final rule paragraph (f) should be amended to (e)(20) to reflect the forms of propulsion today. This final rule will be effective clarify that ‘‘housekeeping’’ data from controlled in paragraph (a)(11). The on January 15, 2017. spacecraft are not subject to the ITAR or Department also removes the Note 3 EAR, and that the ITAR should be paragraph (a) regarding attitude control. Regulatory Flexibility Act updated to reflect the language of Note A new Note 3 to paragraph (a) is added Since this final rule is exempt from 2 to Product Group E, Category 9 of the to remove the James Webb Space the provisions of 5 U.S.C. 553, there is Commerce Control List (CCL). The Telescope from the jurisdiction of the no requirement for an analysis under Department accepts this comment and USML and transfer its control to the the Regulatory Flexibility Act. aligns note 3 to paragraph (f) with the EAR. A new sentence is also to Note 2 Unfunded Mandates Reform Act of 1995 corresponding Note 2 published in to paragraph (e)(17) removing the Product Group E, Category 9 of the CCL primary and secondary payloads of the This rulemaking does not involve a for the purpose of consistency between James Webb Space Telescope from the mandate that will result in the the USML and CCL. jurisdiction of the USML and expenditure by State, local, and tribal Two commenters asserted that ITAR transferring their control to the EAR. governments, in the aggregate, or by the § 124.15 imposes ‘‘special export Any parts and components of the James private sector, of $100 million or more controls’’ over and above the standard Webb Space Telescope that are in any year and it will not significantly licensing controls without a controlled in other entries of paragraph or uniquely affect small governments.

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Therefore, no actions were deemed Paperwork Reduction Act Note to paragraph (a)(12): This paragraph does not control spacecraft that dock necessary under the provisions of the This rule does not impose any new Unfunded Mandates Reform Act of exclusively via the NASA Docking System reporting or recordkeeping requirements (NDS), which are controlled by ECCN 1995. subject the Paperwork Reduction Act 44 9A515.a.4. Small Business Regulatory Enforcement U.S.C. Chapter 35. * * * * * Fairness Act of 1996 List of Subjects in 22 CFR Part 121 Note 3 to paragraph (a): This paragraph This rulemaking is not a major rule as Arms and munitions, Classified does not control the James Webb Space defined in 5 U.S.C. 804. information, Exports,Technical Telescope, which is subject to the EAR. assistance. Executive Orders 12372 and 13132 * * * * * Accordingly, for the reasons set forth (e) * * * This rulemaking will not have above, title 22, chapter I, subchapter M, (2) Space-qualified optics (i.e., lens, substantial direct effects on the States, part 121 is amended as follows: mirror or membrane) having one of the on the relationship between the national following: government and the States, or on the PART 121—THE UNITED STATES (i) Active properties (e.g., adaptive, distribution of power and MUNITIONS LIST deformable) with a largest lateral clear responsibilities among the various ■ 1. The authority citation for part 121 aperture dimension greater than 0.35m; levels of government. Therefore, in continues to read as follows: or accordance with Executive Order 13132, (ii) A largest lateral clear aperture it is determined that this rulemaking Authority: Secs. 2, 38, and 71, Pub. L. 90– dimension greater than 0.50m; does not have sufficient federalism 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, * * * * * 2797); 22 U.S.C. 2651a; Pub. L. 105–261, 112 implications to require consultations or Stat. 1920; Section 1261, Pub. L. 112–239; (4) Space-qualified mechanical (i.e., warrant the preparation of a federalism E.O. 13637, 78 FR 16129. active) cryocooler or active cold finger systems, and associated control summary impact statement. The ■ regulations implementing Executive 2. In § 121.1, under Category XV: electronics specially designed therefor; ■ a. Revise paragraphs (a)(2), (a)(7)(i), Order 12372 regarding (5) Space-qualified active vibration and (a)(10) through (12). suppression systems, including active intergovernmental consultation on ■ b. Add Note to paragraph (a)(12). isolation and active dampening systems, Federal programs and activities do not ■ c. Revise Note 3 to paragraph (a). and associated control electronics apply to this rulemaking. ■ d. Revise paragraphs (e)(2), (4), and specially designed therefor; Executive Orders 12866 and 13563 (5), (e)(11)(iv), and (e)(12). ■ e. Revise Note 2 to paragraph (e)(17). * * * * * Executive Orders 12866 and 13563 ■ f. Revise paragraph (e)(20). (11) * * * direct agencies to assess costs and ■ g. Revise Note 3 to paragraph (f). (iv) Electric (Plasma/Ion) propulsion benefits of available regulatory The revisions and addition read as systems that provide a thrust greater alternatives and, if regulation is follows: than 300 milli-Newtons and a specific impulse greater than 1,500 sec; or that necessary, to select regulatory § 121.1 The United States Munitions List. approaches that maximize net benefits operate at an input power of more than (including potential economic, * * * * * 15kW; (12) Thrusters (e.g., spacecraft or environmental, public health and safety Category XV—Spacecraft and Related rocket engines) using bi-propellants or effects, distributed impacts, and equity). Articles mono-propellant that provide greater These executive orders stress the (a) * * * than 150 lbf (i.e., 667.23 N) vacuum importance of quantifying both costs * (2) Autonomously detect and track thrust (MT for rocket motors or engines and benefits, of reducing costs, of moving ground, airborne, missile, or having a total impulse capacity equal to harmonizing rules, and of promoting space objects other than celestial bodies, or greater than 8.41 × 10∧5 newton flexibility. This rulemaking has been in real-time using imaging, infrared, seconds); designated a ‘‘significant regulatory radar, or laser systems; action,’’ under Executive Order 12866. * * * * * * * * * * Accordingly, this rule has been Note 2 to paragraph (e)(17): An ECCN (7) * * * reviewed by the Office of Management 9A004 or ECCN 9A515.a spacecraft remains (i) Electro-optical visible and near and Budget (OMB). a spacecraft subject to the EAR even when infrared (VNIR) (i.e., 400nm to 1,000nm) incorporating a hosted payload performing a Executive Order 12988 or infrared (i.e., greater than 1,000nm to function described in paragraph (a) of this 30,000nm) with less than 40 spectral category. All spacecraft that incorporate The Department of State reviewed this bands and having a clear aperture primary or secondary payloads that perform rulemaking in light of Executive Order greater than 0.50m; a function described in paragraph (a) of this 12988 to eliminate ambiguity, minimize category are controlled by that paragraph. * * * * * This paragraph does not control primary or litigation, establish clear legal (10) Autonomously perform collision standards, and reduce burden. secondary payloads of the James Webb Space avoidance; Telescope, which are subject to the EAR. Executive Order 13175 (11) Are sub-orbital, incorporate propulsion systems described in * * * * * The Department of State determined paragraph (e) of this category or (20) Equipment modules, stages, or that this rulemaking will not have tribal Category IV(d)(1)–(6) of this section, and compartments that incorporate implications, will not impose are specially designed for atmospheric propulsion systems described in substantial direct compliance costs on entry or re-entry; paragraph (e) of this category or Indian tribal governments, and will not (12) Are specially designed to provide Category IV(d)(1)–(6) of this section, and preempt tribal law. Accordingly, the inspection or surveillance of another can be separated or jettisoned from requirements of Executive Order 13175 spacecraft, or service another spacecraft another spacecraft; or do not apply to this rulemaking. via grappling or docking; or * * * * *

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Note 3 to paragraph (f): Paragraph (f) and ACTION: Notification of civil monetary 114–74, section 701, 129 Stat. 584, ECCNs 9E001, 9E002 and 9E515 do not penalty adjustment. enacted on November 2, 2015. The control the data transmitted to or from a Improvements Act of 2015 changed the satellite or spacecraft, whether real or SUMMARY: This document informs the method agencies use to calculate simulated, when limited to information about public that the maximum penalty for the health, operational status, or inflation adjustments to civil monetary violations of the Alcoholic Beverage penalties, as well as the method and measurements or function of, or raw sensor Labeling Act (ABLA) is being adjusted output from, the spacecraft, spacecraft frequency of future adjustments. The payload(s), or its associated subsystems or in accordance with the Federal Civil Improvements Act of 2015 also components. Such information is not within Penalties Inflation Adjustment Act of instructed agencies to apply its method the scope of information captured within the 1990, as amended. Prior to the of calculating the inflation adjustment definition of technology in the EAR for publication of this document, any to the original statutory penalty, rather purposes of Category 9 Product Group E. person who violated the provisions of than to penalties as they were adjusted Examples of such information, which are the ABLA was subject to a civil penalty under the Improvement Act of 1996. To commonly referred to as ‘‘housekeeping of not more than $19,787, with each day data,’’ include (i) system, hardware, account for inflation that took place constituting a separate offense. This between the enactment of the original component configuration, and operation document announces that this status information pertaining to penalties and the enactment of the temperatures, pressures, power, currents, maximum penalty is being increased to Improvements Act of 2015, agencies voltages, and battery charges; (ii) spacecraft $20,111. must make a ‘‘catch-up’’ first adjustment or payload orientation or position DATES: The new maximum civil penalty through an interim final rulemaking that information, such as state vector or for violations of the ABLA takes effect is published no later than July 1, 2016, ephemeris information; (iii) payload raw on January 10, 2017 and applies to and takes effect no later than August 1, mission or science output, such as images, penalties that are assessed after that 2016. Agencies shall adjust civil spectra, particle measurements, or field date. measurements; (iv) command responses; (v) monetary penalties by the inflation accurate timing information; and (vi) link FOR FURTHER INFORMATION CONTACT: adjustment described in section 5 of the budget data. The act of processing such Andrew L. Malone, Public Guidance Inflation Adjustment Act no later than telemetry data—i.e., converting raw data into Program Manager, Regulations and January 15 of every year thereafter. The engineering units or readable products—or Rulings Division, Alcohol and Tobacco Improvements Act of 2015 also provides encrypting it does not, in and of itself, cause Tax and Trade Bureau, 1310 G Street that any increase in a civil monetary the telemetry data to become subject to the NW., Box 12, Washington, DC 20005; penalty shall apply only to civil ITAR or to ECCN 9E515 for purposes of monetary penalties, including those 9A515, or to ECCNs 9E001 or 9E002 for (202) 453–1039, ext. 188. purposes of 9A004. All classified technical SUPPLEMENTARY INFORMATION: whose associated violation predated data directly related to items controlled in such an increase, which are assessed USML Category XV or ECCNs 9A515, and Background after the date the increase takes effect. defense services using the classified Statutory Authority for Federal Civil As amended, the Inflation Adjustment Act provides that the inflation technical data, remains subject to the ITAR. Monetary Penalty Inflation Adjustments This note does not affect controls in USML adjustment does not apply to civil XV(f), ECCN 9D515, or ECCN 9E515 on The Federal Civil Penalties Inflation monetary penalties under the Internal software source code or commands that Adjustment Act of 1990 (the Inflation Revenue Code of 1986 or the Tariff Act control a spacecraft, payload, or associated Adjustment Act), Public Law 101–410, of 1930. subsystems for purposes of 9A515. This note 104 Stat. 890, 28 U.S.C. 2461 note, also does not affect controls in ECCNs 9D001, requires the regular adjustment and Alcoholic Beverage Labeling Act 9D002, 9E001, or 9E002 on software source code or commands that control a spacecraft, evaluation of civil monetary penalties to The Alcohol and Tobacco Tax and payload, or associated subsystems for maintain their deterrent effect and helps Trade Bureau (TTB) administers the purposes of 9A004. to ensure that penalty amounts imposed Federal Alcohol Administration Act by the Federal Government are properly (FAA Act) pursuant to section 1111(d) * * * * * accounted for and collected. A ‘‘civil of the Homeland Security Act of 2002, Dated: December 22, 2016. monetary penalty’’ is defined in the codified at 6 U.S.C. 531(d). The Tom Countryman, Inflation Adjustment Act as any penalty, Secretary has delegated various Acting Under Secretary, Arms Control and fine, or other such sanction that is: (1) authorities through Treasury International Security, Department of State. For a specific monetary amount as Department Order 120–01, dated [FR Doc. 2016–31751 Filed 1–9–17; 8:45 am] provided by Federal law, or has a December 10, 2013, (superseding Treasury Department Order 120–01, BILLING CODE 4710–25–P maximum amount provided for by Federal law; (2) assessed or enforced by dated January 24, 2003), to the TTB an agency pursuant to Federal law; and Administrator to perform the functions and duties in the administration and DEPARTMENT OF THE TREASURY (3) assessed or enforced pursuant to an administrative proceeding or a civil enforcement of this law. Alcohol and Tobacco Tax and Trade action in the Federal courts. The FAA Act contains the Alcoholic Bureau The Debt Collection Improvement Act Beverage Labeling Act (ABLA) of 1988, of 1996 (the Improvement Act of 1996), Public Law 100–690, 27 U.S.C. 213– 27 CFR Part 16 Public Law 104–134, section 31001(s), 219a, which was enacted on November 110 Stat. 1321, enacted on April 26, 18, 1988. Section 204 of the ABLA, [Docket No. TTB–2017–0001; Notice No. 1996, amended the Inflation Adjustment codified in 27 U.S.C. 215, requires that 170] Act by requiring civil monetary a health warning statement appear on Civil Monetary Penalty Inflation penalties to be adjusted for inflation. the labels of all containers of alcoholic Adjustment—Alcoholic Beverage The Inflation Adjustment Act was beverages manufactured, imported, or Labeling Act further amended by the Federal Civil bottled for sale or distribution in the Penalties Inflation Adjustment Act United States, as well as on containers AGENCY: Alcohol and Tobacco Tax and Improvements Act of 2015 (the of alcoholic beverages that are Trade Bureau, Treasury. Improvements Act of 2015), Public Law manufactured, imported, bottled, or

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labeled for sale, distribution, or adjustments to the civil penalty for DEPARTMENT OF HOMELAND shipment to members or units of the violations of this part. SECURITY U.S. Armed Forces, including those In this document, TTB is publishing Coast Guard located outside the United States. its yearly adjustment to the maximum The health warning statement ABLA penalty, as required by the 33 CFR Part 110 requirement applies to containers of Inflation Adjustment Act, as amended. alcoholic beverages manufactured, imported, or bottled for sale or TTB made the initial adjustment to [Docket Number USCG–2014–0142] distribution in the United States on or the ABLA penalty required by the after November 18, 1989. The statement Inflation Adjustment Act, as amended, RIN 1625–AA01 reads as follows: in an interim final rule that was Anchorage Regulations: Special GOVERNMENT WARNING: (1) According published and effective on July 1, 2016 to the Surgeon General, women should not (T.D. TTB–138, 81 FR 43062). Anchorage Areas; Marina del Rey drink alcoholic beverages during pregnancy Subsequent to the initial adjustment, the Harbor, Marina del Rey, CA because of the risk of birth defects. (2) Improvements Act of 2015 provides AGENCY: Coast Guard, DHS. Consumption of alcoholic beverages impairs that, not later than January 15 of each ACTION: Final rule. your ability to drive a car or operate year after the initial adjustment, the machinery, and may cause health problems. head of each agency shall adjust each SUMMARY: The Coast Guard is amending Section 204 of the ABLA also civil monetary penalty subject to the the shape and reducing the size of the specifies that the Secretary of the Inflation Adjustment Act, as amended, special anchorage area in Marina del Treasury shall have the power to ensure by the inflation adjustment described in Rey Harbor, Marina del Rey, California. the enforcement of the provisions of the section 5 of the Act. Additionally, the Coast Guard is ABLA and issue regulations to carry out As mentioned earlier, the ABLA clarifying the language in the note them out. In addition, section 207 of the contains a maximum civil monetary section of the existing regulation. This ABLA, codified in 27 U.S.C. 218, penalty, rather than a range of minimum action is necessary as it will create provides that any person who violates sufficient navigable water around the the provisions of the ABLA is subject to and maximum civil monetary penalties. For such penalties, Section 5 indicates anchorage allowing vessels to traffic the a civil penalty of not more than $10,000, Marina del Rey channel without undue that the inflation adjustment shall be with each day constituting a separate maritime safety concerns. offense. determined by increasing the maximum penalty by the cost-of-living adjustment. DATES: This rule is effective February 9, Most of the civil monetary penalties 2017. administered by TTB are imposed by The cost-of-living adjustment means the ADDRESSES: the Internal Revenue Code of 1986, and percentage (if any) by which the Documents mentioned in thus are not subject to the inflation Consumer Price Index for all-urban this preamble are part of docket USCG– adjustment mandated by the Inflation consumers (CPI–U) for the month of 2014–0142. To view documents Adjustment Act. The only civil October preceding the date of the mentioned in this preamble as being monetary penalty enforced by TTB that adjustment exceeds the CPI–U for the available in the docket, go to http:// is subject to the inflation adjustment is month of October 1 year before the www.regulations.gov, type the docket number in the ‘‘SEARCH’’ box and click the penalty imposed by the ABLA at 27 month of October preceding the date of ‘‘SEARCH.’’ Click on the Open Docket U.S.C. 218. the adjustment. Folder on the line associated with this TTB Regulations The CPI–U in October 2015 was rulemaking. You may also visit the 237.838, and the CPI–U in October 2016 The TTB regulations implementing Docket Management Facility in Room the ABLA are found in 27 CFR part 16, was 241.729. The rate of inflation w12–140 on the ground floor of the and the regulations implementing the between October 2015 and October 2016 Department of Transportation, West Inflation Adjustment Act with respect to is therefore 1.636 percent. When Building, 1200 New Jersey Avenue SE., the ABLA penalty are found in 27 CFR applied to the current ABLA penalty of Washington, DC 20590, between 9 a.m. 16.33. This section indicates that the $19,787, this rate of inflation yields a and 5 p.m. Monday through Friday, ABLA provides that any person who raw (unrounded) inflation adjustment of with the exception of federal holidays. violates the provisions of this part shall $323.72. Rounded to the nearest dollar, FOR FURTHER INFORMATION CONTACT: If be subject to a civil penalty of not more the inflation adjustment is $324, you have questions on this rule, call or than $10,000, but also states that, meaning that the new maximum civil email Lieutenant Junior Grade Amber pursuant to the provisions of the penalty for violations of the ABLA will Napralla, Waterways Management Federal Civil Penalties Inflation be $20,111. Division, U.S. Coast Guard District 11, telephone (510) 437–2978, email Adjustment Act of 1990, as amended, The new maximum civil penalty will [email protected]. this civil penalty is subject to periodic apply to all penalties that are assessed cost-of-living adjustment. Accordingly, after January 10, 2017. TTB has also SUPPLEMENTARY INFORMATION: any person who violates the provisions updated its Web page at https:// I. Table of Abbreviations of 27 CFR part 16 shall be subject to a www.ttb.gov/regulation_guidance/ civil penalty of not more than the CFR Code of Federal Regulations ablapenalty.html to reflect the adjusted amount listed at https://www.ttb.gov/ DHS Department of Homeland Security penalty. regulation_guidance/ablapenalty.html. FR Federal Register Each day shall constitute a separate Signed: January 3, 2017. NOAA National Oceanic and Atmospheric offense. Administration John J. Manfreda, NPRM Notice of proposed rulemaking To adjust the penalty, § 16.33(b) Administrator. SNPRM Supplemental Notice of Proposed indicates that TTB will provide notice [FR Doc. 2017–00082 Filed 1–9–17; 8:45 am] Rulemaking in the Federal Register and at the Web § Section BILLING CODE 4810–31–P site mentioned above of cost-of-living U.S.C. United States Code

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II. Background Information and period four written comments were understood the concerns of the Regulatory History submitted via the Federal eRulemaking comment submitters regarding the need In 1967, the Coast Guard placed the Portal and three comments were sent for a safe refuge for recreational vessels regulation for a special anchorage area directly to the Coast Guard via email. during storms or other dangerous in the main channel of Marina del Rey III. Legal Authority and Need for Rule conditions and thus proposed a smaller in 33 CFR after anchorage regulations anchorage at the same site as an option The legal basis for the final rule is: 33 for mariners in the SNPRM. The Coast were transferred from the Army Corps of U.S.C. 471, 1221 through 1236, and Engineers to the Coast Guard (32 FR Guard received seven comments in 2071; 33 CFR 1.05–1; and Department of support of removing the anchorage. 17726, 17737, December 12, 1967.) The Homeland Security Delegation No. specific regulations and boundaries for Some comments indicated that vessels 0170.1. These authorities collectively anchoring in the existing anchorage site this special anchorage area are defined authorize the Coast Guard to define by coordinates found in 33 CFR in the main channel create an unsafe anchorage areas. A special anchorage situation. Other comments indicated 110.111. area is a designated water area within On May 28, 2014, the Coast Guard that mariners rarely use the anchorage which vessels less than 65 feet (20 and that there is little knowledge of its published a notice of proposed meters) in length are not required to rulemaking (NPRM) entitled existence. The special anchorage area in sound signals required by Rule 35 of the question is clearly marked on the chart ‘‘Anchorage Regulations; Special Inland Navigation Rules (33 CFR 83.35) Anchorage Area, Marina del Rey, with reference to the applicable or exhibit the white anchor lights or regulation. A copy of the National California’’ in the Federal Register (79 shapes required by Rule 30 of the Inland FR 30509, May 28, 2014) to disestablish Oceanic and Atmospheric Navigation Rules (33 CFR 83.30.) By Administration (NOAA) Office of Coast the anchorage. The stated purpose of the regulation, special anchorage areas NPRM was to align the regulations with Survey chart number 18744 has been should be well removed from the posted to the docket for reference. In the main channel and docking facilities fairways and be located where general in Marina del Rey harbor. Existing addition, Coast Pilot 7 contains navigation will not endanger or be information regarding the special docks located in the northern section of endangered by unlighted vessels (33 the harbor were built into the pre- anchorage area in Marina Del Rey. Some CFR 109.10.) The purpose of this rule is comments expressed concern regarding existing anchorage area at some point to improve navigation safety by clearly with no record of Coast Guard comment the administration of the special delineating between the designated anchorage area by the Marina del Rey on the construction or its impact on anchorage and the navigation channel, Harbormaster, indicating that the Harbor anchorage. and by accommodating vessel traffic on Master does not allow vessels to anchor On November 4, 2014, the Coast all sides of the anchorage. Guard published notice for a public in the area for other than emergency meeting (79 FR 65361, November 4, IV. Discussion of Comments, Changes, reasons. Local regulations administered 2014) to hear concerns regarding the and the Rule by the Harbor Master are outside the proposed rulemaking. The meeting was The Coast Guard received a total of 51 scope of Coast Guard authority, and are held in Marina del Rey, CA on written comments and recorded six not addressed in this rulemaking. At the November 20, 2014. The Coast Guard speakers at a public meeting since the public meeting, the Coast Guard heard from six speakers. To ensure inception of this rulemaking from received two comments and questions maximum public input was considered, November, 2014. The public docket for concerning proposed projects located in comments to the public docket were this rulemaking includes all written other areas within the harbor. The Coast kept open and considered through submissions made through the Federal Guard responded to these comments January 5, 2015. In addition to the six eRulemaking Portal, the recorded and questions by indicating that these speakers at the public meeting, 44 transcripts of the public meetings and comments addressed areas outside the written submissions were made to the all other documents pertaining to this anchorage area being discussed. The docket. The speakers input and written topic. This correspondence can be Coast Guard indicated to the attendees submissions were reviewed and taken found where indicated under that projects in other areas within the into consideration. ADDRESSES. harbor would not impact the existing On February 29, 2016, based on the The original NPRM (USCG–2014– anchorage and were beyond the scope of comments received, the Coast Guard 0142) was placed on May 28, 2014 and the proposed rulemaking. published a Supplemental Notice of the Coast Guard received a total of 32 The Coast Guard determined that the Proposed Rulemaking (SNPRM) (81 FR written submissions to the docket existing configuration of the special 10156, February 29, 2016) that proposed following this publication. Of the 32 anchorage area in Marina del Rey poses to maintain the special anchorage area, submissions, 12 comments requested a a safety concern because it occupies the but amend the boundaries and reduce public hearing and additional time for entire channel width at the north end of the size of the anchorage. public comment. As a result, the Coast the harbor. The SNPRM published on On April 12, 2016, a public meeting Guard held a public meeting in Marina February 29, 2016 proposed a smaller was held in Marina del Rey, CA and del Rey on November 20, 2014 and special anchorage area that allows comments were open and considered on extended the online comment period to vessel traffic to pass safely on all sides the docket until April 30, 2016. There January 5, 2015. The Coast Guard heard of the designated anchorage and also was no public representation at the from six speakers at the public meeting amends the note to update authority to meeting and no comments were on November 20, 2014 and received 12 the Marina del Rey Harbor Master for submitted to the docket regarding the additional written comments to the prescribing local regulation for mooring SNPRM. docket, resulting in 44 total written and boating activities in the area. A On July 14, 2016, the docket was comments to the docket. Of the 44 public meeting regarding the revised reopened for comment (81 FR 45428, submissions, 32 comments requested to proposal in the SNPRM was held on July 14, 2016) for 30 days to provide keep the anchorage as is or to establish April 12, 2016. No members of the additional opportunity for public an alternate anchorage at another public attended this meeting. The feedback on the SNPRM. During this location in the harbor. The Coast Guard Federal Register announcement for the

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meeting was delayed due to distance from the closest shore-side C. Collection of Information administrative errors and was not dock to the anchorage boundary will be This rule will not call for a new available for review until after the approximately 243 feet. The anchorage collection of information under the meeting. However, the meeting was boundaries are described, using precise Paperwork Reduction Act of 1995 (44 advertised locally and through direct coordinates, in the final regulatory text U.S.C. 3501–3520.) outreach. The online comments for the at the end of this document. docket were open until April 30, 2016; D. Federalism and Indian Tribal V. Regulatory Analyses no comments were made to the docket Governments during this time period. In light of the We developed this rule after A rule has implications for federalism delayed announcement by the Federal considering numerous statutes and under Executive Order 13132, Register, the Coast Guard reopened the Executive Orders (E.O.s) related to Federalism, if it has a substantial direct docket for comments on July 15, 2016 to rulemaking. Below we summarize our effect on the States, on the relationship allow for an extended period of public analyses based on these statutes and between the national government and comment. Seven comments were Executive Orders. the States, or on the distribution of received during this time; four via the power and responsibilities among the A. Regulatory Planning and Review online docket and three via email various levels of government. We have bringing the total number to 51 written This rule is not a significant analyzed this rule under that Order and submissions to the docket. Two regulatory action under section 3(f) of have determined that it is consistent comments were identical and appear to Executive Order 12866, Regulatory with the fundamental federalism have been incorrectly filed in the Planning and Review, as supplemented principles and preemption requirements docket, as they addressed concerns with by Executive Order 13563, Improving described in Executive Order 13132. a proposed anchorage on the east coast Regulation and Regulatory Review, and This rule has no tribal implications and were unrelated to the anchorage in does not require an assessment of under Executive Order 13175, Marina del Rey. One comment potential costs and benefits under Consultation and Coordination with supported the proposal, citing safety section 6(a)(3) of Executive Order 12866 Indian Tribal Governments, because it concerns due to the increasing number or under section 1 of Executive Order does not have a substantial direct effect of waterway users. One comment to the 13563. The Office of Management and on one or more Indian tribes, on the docket and three email comments Budget has not reviewed it under those relationship between the Federal opposed disestablishment of the Marina Orders. Government and Indian tribes, or on the del Rey anchorage due to there not The Coast Guard expects the distribution of power and being an alternate anchorage site for safe economic impact of this proposed rule responsibilities between the Federal harbor in the area and the comments will not be significant to the maritime Government and Indian tribes. If you also expressed concern regarding future and local community. The existing believe this rule has implications for development. These comments appear anchorage is currently used only in federalism or Indian tribes, please to reference the original NPRM, emergency circumstances and this final contact the person listed in the FOR proposing removal of the anchorage, not rule will not significantly reduce the FURTHER INFORMATION CONTACT section. the most recent SNPRM, proposing number of vessels using the anchorage. E. Unfunded Mandates Reform Act retention of the anchorage area with an The Unfunded Mandates Reform Act amended size and shape of the B. Impact on Small Entities of 1995 (2 U.S.C. 1531–1538) requires anchorage. The Coast Guard is retaining The Regulatory Flexibility Act of 1980 Federal agencies to assess the effects of the anchorage but is changing the shape (RFA), 5 U.S.C. 601–612, as amended, their discretionary regulatory actions. In and size of the anchorage area to allow requires federal agencies to consider the particular, the Act addresses actions for safer transit around the anchorage potential impact of regulations on small that may result in the expenditure by a for recreational traffic. The entities during rulemaking. The term State, local, or tribal government, in the reconfiguration of the anchorage area ‘‘small entities’’ comprises small aggregate, or by the private sector of does not accommodate further businesses, not-for-profit organizations $100,000,000 (adjusted for inflation) or development as it more clearly that are independently owned and more in any one year. Though this rule delineates the navigation channel on operated and are not dominant in their will not result in such expenditure, we either side of the anchorage. Nothing in fields, and governmental jurisdictions do discuss the effects of this rule this regulation prevents vessels from with populations of less than 50,000. elsewhere in this preamble. anchoring due to emergency situations. The Coast Guard certifies under 5 This final rule will decrease the size U.S.C. 605(b) that this rule will not have F. Environment of the current anchorage in Marina del a significant economic impact on a We have analyzed this rule under Rey Harbor. The anchorage is currently substantial number of small entities. Department of Homeland Security a trapezoid-shaped anchorage of This final rule may affect the following Management Directive 023–01 and approximately 0.48 square nautical entities, some of which might be small Commandant Instruction M16475.lD, miles. The Coast Guard is changing the entities: Owners or operators of which guide the Coast Guard in shape of the anchorage from a trapezoid recreational vessels that have a need to complying with the National to a rectangular shape and reducing the anchor in Marina del Rey special Environmental Policy Act (NEPA) of size from 0.48 to 0.11 square nautical anchorage area. 1969.42 U.S.C. 4321–4370f, and have miles. The revised anchorage will be This final rule will not have a concluded that this action is one of the moved to the middle of the channel significant impact on a substantial category of actions that do not across from Burton Chace Park with its number of small entities. Although this individually or cumulatively have a northern boundary line extending from rule will decrease the size of the special significant effect on the human approximately the midpoint of Basin G anchorage area, the dimensions provide environment. This rule involves the south to the midpoint of Basin H. The sufficient room for vessels to anchor amendment of a currently-existing anchorage dimensions will be 1,154 feet without presenting a hazard to vessels anchorage area. Normally such actions in length by 365 feet in width. The transiting in the channel. are categorically excluded from further

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review under paragraph 34(f) of Figure POSTAL SERVICE ‘‘simple press release commenting on 2–1 of the Commandant Instruction records’’ would satisfy this criterion? 39 CFR Part 265 M16475.1D. A final environmental Answer: Such a change would be analysis checklist and a Categorical Production or Disclosure of Material or inconsistent with 5 U.S.C. 552(a)(4)(a), Exclusion Determination are available Information and the Department of Justice, Office of in the docket where indicated under Information Policy’s template ADDRESSES. We seek any comments or AGENCY: Postal Service. regulations for agencies. In addition, information that may lead to the ACTION: Final rule. eliminating the ‘‘editorial skills’’ discovery of a significant environmental requirement would extend the SUMMARY: The United States Postal impact from this rule. ® definition from representatives of the Service (Postal Service) is responding news media with a minimal degree of G. Protest Activities to public comments regarding the professionalism to almost anyone. amendment of its regulations The Coast Guard respects the First concerning compliance with the Question 3: Why did the Postal Amendment rights of protesters. Freedom of Information Act (FOIA) to Service fail to indicate that its list of Protesters are asked to contact the implement the changes to the examples of news media entities is non- person listed in the FOR FURTHER procedures for the disclosure of records exhaustive in contemplation of INFORMATION CONTACT section to and for engaging in dispute resolution alternative media and evolving news coordinate protest activities so that your required by the FOIA Improvement Act media formats that may include posting message can be received without of 2016. Upon review and evaluation of content to a Web site? jeopardizing the safety or security of such comments, the Postal Service has Answer: Such a change would be people, places, or vessels. found that one change to the regulations inconsistent with the Department of is necessary. Justice, Office of Information Policy’s List of Subjects in 33 CFR Part 110 DATES: Effective date: January 10, 2017. template regulations for agencies. Please Anchorage grounds. FOR FURTHER INFORMATION CONTACT: note that the Postal Service accounted for ‘‘news organizations that For the reasons discussed in the Natalie A. Bonanno, Chief Counsel, Federal Compliance, disseminate solely on the Internet’’ in preamble, the Coast Guard amends 33 [email protected], (202) 268– contemplation of evolving news media CFR part 110 as follows: 2944. formats in 39 CFR 265.9(b)(8). PART 110—ANCHORAGE SUPPLEMENTARY INFORMATION: On List of Subjects in 39 CFR Part 265 REGULATIONS November 30, 2016 (81 FR 86270), the Postal Service published notice of Administrative practice and procedure, Courts, Freedom of ■ amendments to 39 CFR part 265 to 1. The authority citation for part 110 information, Government employees. continues to read as follows: implement changes required by the FOIA Improvement Act of 2016 For the reasons stated in the Authority: 33 U.S.C. 471, 1221 through (FOIAIA), Public Law 114–185 (June 30, preamble, the Postal Service amends 39 1236, 2071; 33 CFR 1.05–1; Department of 2016). These changes were effective on CFR part 265 as follows: Homeland Security Delegation No. 0170.01. December 27, 2016. In response to this notice, we received ■ 2. Revise § 110.111 to read as follows: PART 265—PRODUCTION OR comments that generally supported the DISCLOSURE OF MATERIAL OR § 110.111 Marina del Rey Harbor, Calif. amendments to the regulations, but INFORMATION questioned the definition of a An area in the main channel ‘‘representative of the news media’’ in ■ 1. The authority citation for 39 CFR encompassed within the following the regulations. The Postal Service has part 265 continues to read as follows: described boundaries: Beginning at the reviewed these comments, and has northeasterly corner in position latitude concluded that one change should be Authority: 5 U.S.C. 552; 5 U.S.C. App. 3; 33°58′41.6″ N., longitude 118°26′50.8″ made to the definition in question. 39 U.S.C. 401, 403, 410, 1001, 2601; Pub. L. 114–185. W.; thence southerly to latitude Our responses to the comments ° ′ ″ ° ′ ″ 33 58 30.2 N., longitude 118 26 50.8 received, as grouped and categorized for ■ 2. Revise the first sentence of W.; thence westerly to latitude convenience, are as follows. § 265.9(b)(8) to read as follows: 33°58′30.2″ N., longitude 118°26′55.1″ Question 1: Why did the Postal W.; thence northerly to latitude Service fail to eliminate the ‘‘organized § 265.9 Fees. 33°58′41.6″ N., longitude 118°26′55.1″ and operated’’ standard from the * * * * * definition of a representative of the W.; thence easterly to the point of (b) * * * origin. All coordinates referenced North news media in 39 CFR part 265.9(b)(8) American Datum 1983. in accordance with 5 U.S.C. part (8) Representative of the news media 552(a)(4)(a), recent case law, and the is any person or entity that gathers Note to 110.111: The Marina del Rey Open Government Act of 2007? information of potential interest to a Harbor Master, Los Angeles County, Answer: Thank you for bringing this segment of the public, uses its editorial prescribes local regulations for mooring and our attention. We will eliminate the skills to turn the raw materials into a boating activities in this area. ‘‘organized and operated’’ standard from distinct work, and distributes that work to an audience. * * * Dated: December 2, 2016 the definition of a representative of the news media in 39 CFR 265.9(b)(8). * * * * * T.A. Sokalzuk Question 2: Why did the Postal Rear Admiral, U.S. Coast Guard, Commander, Service fail to eliminate the requirement Stanley F. Mires, Eleventh Coast Guard District. that a news media requester use Attorney, Federal Compliance. [FR Doc. 2016–31996 Filed 1–9–17; 8:45 am] ‘‘editorial skills’’ to turn ‘‘raw [FR Doc. 2017–00106 Filed 1–9–17; 8:45 am] BILLING CODE 9110–04–P materials’’ into a ‘‘distinct work’’ as a BILLING CODE 7710–12–P

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ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: • Federal eRulemaking Portal: http:// AGENCY www.regulations.gov. Follow the online I. General Information instructions for submitting comments. 40 CFR Part 180 A. Does this action apply to me? Do not submit electronically any [EPA–HQ–OPP–2016–0487; FRL–9954–53] You may be potentially affected by information you consider to be CBI or other information whose disclosure is this action if you are an agricultural restricted by statute. Butanedioic Acid, 2-Methylene-, producer, food manufacturer, or Telomer With Sodium Phosphinate • Mail: OPP Docket, Environmental pesticide manufacturer. The following Protection Agency Docket Center (EPA/ (1:1), Acidified, Potassium Salts; list of North American Industrial Tolerance Exemption DC), (28221T), 1200 Pennsylvania Ave. Classification System (NAICS) codes is NW., Washington, DC 20460–0001. AGENCY: Environmental Protection not intended to be exhaustive, but rather • Hand Delivery: To make special Agency (EPA). provides a guide to help readers arrangements for hand delivery or ACTION: Final rule. determine whether this document delivery of boxed information, please applies to them. Potentially affected follow the instructions at http:// SUMMARY: This regulation establishes an entities may include: www.epa.gov/dockets/contacts.html. exemption from the requirement of a • Crop production (NAICS code 111). Additional instructions on commenting tolerance for residues of butanedioic • Animal production (NAICS code or visiting the docket, along with more acid, 2-methylene-, telomer with 112). information about dockets generally, is sodium phosphinate (1:1), acidified, • Food manufacturing (NAICS code available at http://www.epa.gov/ potassium salts when used as an inert 311). dockets. ingredient in a pesticide chemical • Pesticide manufacturing (NAICS formulation. Itaconix submitted a code 32532). II. Background and Statutory Findings petition to EPA under the Federal Food, In the Federal Register of October 18, Drug, and Cosmetic Act (FFDCA), B. How can I get electronic access to other related information? 2016 (Vol. 81, 71668) (FRL–9952–19), requesting an exemption from the EPA issued a document pursuant to requirement of a tolerance. This You may access a frequently updated FFDCA section 408, 21 U.S.C. 346a, regulation eliminates the need to electronic version of 40 CFR part 180 announcing the receipt of a pesticide establish a maximum permissible level through the Government Printing petition (PP 10922) filed by Itaconix, 2 for residues of butanedioic acid, 2- Office’s e-CFR site at http:// Marin Way, Stratham, NH 03885. The methylene-, telomer with sodium www.ecfr.gov/cgi-bin/text- petition requested that 40 CFR 180.960 phosphinate (1:1), acidified, potassium idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ be amended by establishing an salts on food or feed commodities. 40tab_02.tpl. exemption from the requirement of a DATES: This regulation is effective C. Can I file an objection or hearing tolerance for residues of butanedioic January 10, 2017. Objections and request? acid, 2-methylene-, telomer with requests for hearings must be received sodium phosphinate (1:1), acidified, on or before March 13, 2017, and must Under FFDCA section 408(g), 21 potassium salts; CAS Reg. No. 1663489– be filed in accordance with the U.S.C. 346a, any person may file an 14–2. That document included a instructions provided in 40 CFR part objection to any aspect of this regulation summary of the petition prepared by the 178 (see also Unit I.C. of the and may also request a hearing on those petitioner and solicited comments on SUPPLEMENTARY INFORMATION). objections. You must file your objection the petitioner’s request. There were no ADDRESSES: The docket for this action, or request a hearing on this regulation comments received in response to the identified by docket identification (ID) in accordance with the instructions notice of filing. Section 408(c)(2)(A)(i) of number EPA–HQ–OPP–2016–0487, is provided in 40 CFR part 178. To ensure FFDCA allows EPA to establish an available at http://www.regulations.gov proper receipt by EPA, you must exemption from the requirement for a or at the Office of Pesticide Programs identify docket ID number EPA–HQ– tolerance (the legal limit for a pesticide Regulatory Public Docket (OPP Docket) OPP–2016–0487 in the subject line on chemical residue in or on a food) only in the Environmental Protection Agency the first page of your submission. All if EPA determines that the exemption is Docket Center (EPA/DC), West William objections and requests for a hearing ‘‘safe.’’ Section 408(c)(2)(A)(ii) of Jefferson Clinton Bldg., Rm. 3334, 1301 must be in writing, and must be FFDCA defines ‘‘safe’’ to mean that Constitution Ave. NW., Washington, DC received by the Hearing Clerk on or ‘‘there is a reasonable certainty that no 20460–0001. The Public Reading Room before March 13, 2017. Addresses for harm will result from aggregate is open from 8:30 a.m. to 4:30 p.m., mail and hand delivery of objections exposure to the pesticide chemical Monday through Friday, excluding legal and hearing requests are provided in 40 residue, including all anticipated holidays. The telephone number for the CFR 178.25(b). dietary exposures and all other Public Reading Room is (202) 566–1744, In addition to filing an objection or exposures for which there is reliable and the telephone number for the OPP hearing request with the Hearing Clerk information.’’ This includes exposure Docket is (703) 305–5805. Please review as described in 40 CFR part 178, please through drinking water and use in the visitor instructions and additional submit a copy of the filing (excluding residential settings, but does not include information about the docket available any Confidential Business Information occupational exposure. Section at http://www.epa.gov/dockets. (CBI)) for inclusion in the public docket. 408(b)(2)(C) of FFDCA requires EPA to FOR FURTHER INFORMATION CONTACT: Information not marked confidential give special consideration to exposure Michael Goodis, Registration Division pursuant to 40 CFR part 2 may be of infants and children to the pesticide (7505P), Office of Pesticide Programs, disclosed publicly by EPA without prior chemical residue in establishing an Environmental Protection Agency, 1200 notice. Submit the non-CBI copy of your exemption from the requirement of a Pennsylvania Ave. NW., Washington, objection or hearing request, identified tolerance and to ‘‘ensure that there is a DC 20460–0001; main telephone by docket ID number EPA–HQ–OPP– reasonable certainty that no harm will number: (703) 305–7090; email address: 2016–0487, by one of the following result to infants and children from [email protected]. methods. aggregate exposure to the pesticide

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chemical residue . . .’’ and specifies 4. The polymer is neither designed V. Cumulative Effects From Substances factors EPA is to consider in nor can it be reasonably anticipated to With a Common Mechanism of Toxicity establishing an exemption. substantially degrade, decompose, or depolymerize. Section 408(b)(2)(D)(v) of FFDCA III. Risk Assessment and Statutory requires that, when considering whether 5. The polymer is manufactured or Findings to establish, modify, or revoke a imported from monomers and/or tolerance, the Agency consider EPA establishes exemptions from the reactants that are already included on requirement of a tolerance only in those ‘‘available information’’ concerning the the TSCA Chemical Substance cases where it can be shown that the Inventory or manufactured under an cumulative effects of a particular risks from aggregate exposure to applicable TSCA section 5 exemption. pesticide’s residues and ‘‘other pesticide chemical residues under substances that have a common reasonably foreseeable circumstances 6. The polymer is not a water mechanism of toxicity.’’ absorbing polymer with a number will pose no appreciable risks to human EPA has not found butanedioic acid, health. In order to determine the risks average molecular weight (MW) greater than or equal to 10,000 daltons. 2-methylene-, telomer with sodium from aggregate exposure to pesticide phosphinate (1:1), acidified, potassium inert ingredients, the Agency considers Additionally, the polymer also meets salts to share a common mechanism of the toxicity of the inert in conjunction as required the following exemption toxicity with any other substances, and with possible exposure to residues of criteria specified in 40 CFR 723.250(e). butanedioic acid, 2-methylene-, telomer the inert ingredient through food, 7. The polymer’s number average MW with sodium phosphinate (1:1), drinking water, and through other is greater than 1,000 and less than exposures that occur as a result of acidified, potassium salts does not 10,000 daltons. The polymer contains appear to produce a toxic metabolite pesticide use in residential settings. If less than 10% oligomeric material EPA is able to determine that a finite produced by other substances. For the below MW 500 and less than 25% purposes of this tolerance action, tolerance is not necessary to ensure that oligomeric material below MW 1,000, there is a reasonable certainty that no therefore, EPA has assumed that and the polymer does not contain any butanedioic acid, 2-methylene-, telomer harm will result from aggregate reactive functional groups. exposure to the inert ingredient, an with sodium phosphinate (1:1), Thus, butanedioic acid, 2- exemption from the requirement of a acidified, potassium salts does not have methylene-, telomer with sodium tolerance may be established. a common mechanism of toxicity with Consistent with FFDCA section phosphinate (1:1), acidified, potassium other substances. For information 408(b)(2)(D), EPA has reviewed the salts meets the criteria for a polymer to regarding EPA’s efforts to determine available scientific data and other be considered low risk under 40 CFR which chemicals have a common relevant information in support of this 723.250. Based on its conformance to mechanism of toxicity and to evaluate action and considered its validity, the criteria in this unit, no mammalian the cumulative effects of such completeness and reliability and the toxicity is anticipated from dietary, chemicals, see EPA’s Web site at http:// relationship of this information to inhalation, or dermal exposure to www.epa.gov/pesticides/cumulative. human risk. EPA has also considered butanedioic acid, 2-methylene-, telomer VI. Additional Safety Factor for the available information concerning the with sodium phosphinate (1:1), Protection of Infants and Children variability of the sensitivities of major acidified, potassium salts. identifiable subgroups of consumers, IV. Aggregate Exposures Section 408(b)(2)(C) of FFDCA including infants and children. In the provides that EPA shall apply an For the purposes of assessing case of certain chemical substances that additional tenfold margin of safety for potential exposure under this are defined as polymers, the Agency has infants and children in the case of exemption, EPA considered that established a set of criteria to identify threshold effects to account for prenatal butanedioic acid, 2-methylene-, telomer categories of polymers expected to and postnatal toxicity and the with sodium phosphinate (1:1), present minimal or no risk. The completeness of the data base unless acidified, potassium salts could be definition of a polymer is given in 40 EPA concludes that a different margin of present in all raw and processed CFR 723.250(b) and the exclusion safety will be safe for infants and agricultural commodities and drinking criteria for identifying these low-risk children. Due to the expected low water, and that non-occupational non- polymers are described in 40 CFR toxicity of butanedioic acid, 2- 723.250(d). Butanedioic acid, 2- dietary exposure was possible. The minimum number average MW of methylene-, telomer with sodium methylene-, telomer with sodium phosphinate (1:1), acidified, potassium phosphinate (1:1), acidified, potassium butanedioic acid, 2-methylene-, telomer with sodium phosphinate (1:1), salts, EPA has not used a safety factor salts conforms to the definition of a analysis to assess the risk. For the same polymer given in 40 CFR 723.250(b) and acidified, potassium salt is 3800 daltons. Generally, a polymer of this reasons the additional tenfold safety meets the following criteria that are factor is unnecessary. used to identify low-risk polymers. size would be poorly absorbed through 1. The polymer is not a cationic the intact gastrointestinal tract or VII. Determination of Safety polymer nor is it reasonably anticipated through intact human skin. Since to become a cationic polymer in a butanedioic acid, 2-methylene-, telomer Based on the conformance to the natural aquatic environment. with sodium phosphinate (1:1), criteria used to identify a low-risk 2. The polymer does contain as an acidified, potassium salt conforms to the polymer, EPA concludes that there is a integral part of its composition the criteria that identify a low-risk polymer, reasonable certainty of no harm to the atomic elements carbon, hydrogen, and there are no concerns for risks U.S. population, including infants and oxygen. associated with any potential exposure children, from aggregate exposure to 3. The polymer does not contain as an scenarios that are reasonably residues of butanedioic acid, 2- integral part of its composition, except foreseeable. The Agency has determined methylene-, telomer with sodium as impurities, any element other than that a tolerance is not necessary to phosphinate (1:1), acidified, potassium those listed in 40 CFR 723.250(d)(2)(ii). protect the public health. salts.

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VIII. Other Considerations Planning and Review’’ (58 FR 51735, with Indian Tribal Governments’’ (65 FR October 4, 1993). Because this action 67249, November 9, 2000) do not apply A. Analytical Enforcement Methodology has been exempted from review under to this action. In addition, this action An analytical method is not required Executive Order 12866, this action is does not impose any enforceable duty or for enforcement purposes since the not subject to Executive Order 13211, contain any unfunded mandate as Agency is establishing an exemption entitled ‘‘Actions Concerning described under Title II of the Unfunded from the requirement of a tolerance Regulations That Significantly Affect Mandates Reform Act (UMRA) (2 U.S.C. without any numerical limitation. Energy Supply, Distribution, or Use’’ (66 1501 et seq.). B. International Residue Limits FR 28355, May 22, 2001) or Executive This action does not involve any Order 13045, entitled ‘‘Protection of In making its tolerance decisions, EPA technical standards that would require Children from Environmental Health Agency consideration of voluntary seeks to harmonize U.S. tolerances with Risks and Safety Risks’’ (62 FR 19885, international standards whenever consensus standards pursuant to section April 23, 1997). This action does not 12(d) of the National Technology possible, consistent with U.S. food contain any information collections safety standards and agricultural Transfer and Advancement Act subject to OMB approval under the (NTTAA) (15 U.S.C. 272 note). practices. EPA considers the Paperwork Reduction Act (PRA) (44 international maximum residue limits U.S.C. 3501 et seq.), nor does it require XI. Congressional Review Act (MRLs) established by the Codex any special considerations under Alimentarius Commission (Codex), as Pursuant to the Congressional Review Executive Order 12898, entitled required by FFDCA section 408(b)(4). Act (5 U.S.C. 801 et seq.), EPA will ‘‘Federal Actions to Address The Codex Alimentarius is a joint submit a report containing this rule and Environmental Justice in Minority United Nations Food and Agriculture other required information to the U.S. Populations and Low-Income Organization/World Health Senate, the U.S. House of Populations’’ (59 FR 7629, February 16, Organization food standards program, Representatives, and the Comptroller 1994). and it is recognized as an international General of the United States prior to Since tolerances and exemptions that food safety standards-setting publication of the rule in the Federal are established on the basis of a petition organization in trade agreements to Register. This action is not a ‘‘major under FFDCA section 408(d), such as which the United States is a party. EPA rule’’ as defined by 5 U.S.C. 804(2). the tolerance in this final rule, do not may establish a tolerance that is require the issuance of a proposed rule, List of Subjects in 40 CFR Part 180 different from a Codex MRL; however, the requirements of the Regulatory FFDCA section 408(b)(4) requires that Environmental protection, Flexibility Act (RFA) (5 U.S.C. 601 et EPA explain the reasons for departing Administrative practice and procedure, seq.), do not apply. from the Codex level. This action directly regulates growers, Agricultural commodities, Pesticides The Codex has not established a MRL food processors, food handlers, and food and pests, Reporting and recordkeeping for butanedioic acid, 2-methylene-, retailers, not States or tribes, nor does requirements. telomer with sodium phosphinate (1:1), Dated: November 18, 2016. acidified, potassium salts. this action alter the relationships or distribution of power and Michael Goodis, IX. Conclusion responsibilities established by Congress Acting Director, Registration Division, Office Accordingly, EPA finds that in the preemption provisions of FFDCA of Pesticide Programs. exempting residues of butanedioic acid, section 408(n)(4). As such, the Agency Therefore, 40 CFR chapter I is 2-methylene-, telomer with sodium has determined that this action will not amended as follows: phosphinate (1:1), acidified, potassium have a substantial direct effect on States salts from the requirement of a tolerance or tribal governments, on the PART 180—[AMENDED] will be safe. relationship between the national government and the States or tribal ■ 1. The authority citation for part 180 X. Statutory and Executive Order governments, or on the distribution of continues to read as follows: Reviews power and responsibilities among the Authority: 21 U.S.C. 321(q), 346a and 371. This action establishes a tolerance various levels of government or between under FFDCA section 408(d) in the Federal Government and Indian ■ 2. In § 180.960, add alphabetically the response to a petition submitted to the tribes. Thus, the Agency has determined polymer in the table to read as follows: Agency. The Office of Management and that Executive Order 13132, entitled Budget (OMB) has exempted these types ‘‘Federalism’’ (64 FR 43255, August 10, § 180.960 Polymers; exemptions from the of actions from review under Executive 1999) and Executive Order 13175, requirement of a tolerance. Order 12866, entitled ‘‘Regulatory entitled ‘‘Consultation and Coordination * * * * *

Polymer CAS No.

******* Butanedioic acid, 2-methylene-, telomer with sodium phosphinate (1:1), acidified, potassium salt minimum number average mo- lecular weight (in amu), 3800 ...... 1663489–14–2

*******

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[FR Doc. 2016–31830 Filed 1–9–17; 8:45 am] I. General Information instructions for submitting comments. Do not submit electronically any BILLING CODE 6560–50–P A. Does this action apply to me? information you consider to be CBI or You may be potentially affected by other information whose disclosure is ENVIRONMENTAL PROTECTION this action if you are an agricultural restricted by statute. AGENCY producer, food manufacturer, or • Mail: OPP Docket, Environmental pesticide manufacturer. The following Protection Agency Docket Center (EPA/ 40 CFR Part 180 list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave., Classification System (NAICS) codes is NW., Washington, DC 20460–0001. [EPA–HQ–OPP–2015–0695; FRL–9955–74] not intended to be exhaustive, but rather • Hand Delivery: To make special provides a guide to help readers arrangements for hand delivery or Tetraconazole; Pesticide Tolerances determine whether this document delivery of boxed information, please applies to them. Potentially affected follow the instructions at http:// AGENCY: Environmental Protection entities may include: www.epa.gov/dockets/contacts.html. Agency (EPA). • Crop production (NAICS code 111). Additional instructions on • commenting or visiting the docket, ACTION: Final rule. Animal production (NAICS code 112). along with more information about • Food manufacturing (NAICS code dockets generally, is available at http:// SUMMARY: This regulation establishes 311). www.epa.gov/dockets. tolerances for residues of tetraconazole • Pesticide manufacturing (NAICS in or on vegetable, fruiting (Crop Group II. Summary of Petitioned-For code 32532). 8–10) at 0.30 parts per million (ppm) Tolerance and vegetable, cucurbit (Crop Group 9) B. How can I get electronic access to In the Federal Register of March 16, at 0.15 ppm and revises the tolerance for other related information? 2016 (81 FR 14030) (FRL–9942–86), residues on beet, sugar, root; beet, sugar, You may access a frequently updated EPA issued a document pursuant to dried pulp; and beet, sugar molasses. electronic version of EPA’s tolerance FFDCA section 408(d)(3), 21 U.S.C. Isagro S.P.A. (d/b/a Isagro USA, Inc.) regulations at 40 CFR part 180 through 346a(d)(3), announcing the filing of a requested these tolerances under the the Government Printing Office’s e-CFR pesticide petition (PP 5F8400) by Isagro Federal Food, Drug, and Cosmetic Act site at http://www.ecfr.gov/cgi-bin/text- S.P.A. (d/b/a Isagro USA, Inc.), 430 (FFDCA). idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ Davis Drive, Suite 240, Morrisville, NC _ DATES: This regulation is effective 40tab 02.tpl. 27560. That document provided notice January 10, 2017. Objections and that the petition requested that 40 CFR C. How can I file an objection or hearing 180.557 be amended by establishing requests for hearings must be received request? on or before March 13, 2017, and must tolerances for residues of the fungicide Under FFDCA section 408(g), 21 be filed in accordance with the tetraconazole, in or on Vegetable, U.S.C. 346a, any person may file an instructions provided in 40 CFR part Fruiting (Crop Group 8–10) at 0.30 parts objection to any aspect of this regulation 178 (see also Unit I.C. of the per million (ppm) and Vegetable, and may also request a hearing on those SUPPLEMENTARY INFORMATION). Cucurbit (Crop Group 9) at 0.15 ppm. In objections. You must file your objection the Federal Register of August 29, 2016 ADDRESSES: The docket for this action, or request a hearing on this regulation (81 FR 59165) (FRL–9950–22), EPA identified by docket identification (ID) in accordance with the instructions issued another document pursuant to number EPA–HQ–OPP–2015–0695, is provided in 40 CFR part 178. To ensure FFDCA section 408(d)(3), 21 U.S.C. available at http://www.regulations.gov proper receipt by EPA, you must 346a(d)(3), announcing the remainder of or at the Office of Pesticide Programs identify docket ID number EPA–HQ– that petition requesting revision of the Regulatory Public Docket (OPP Docket) OPP–2015–0695 in the subject line on existing tolerances for tetraconazole in the Environmental Protection Agency the first page of your submission. All residues on beet, sugar, root to 0.15 Docket Center (EPA/DC), West William objections and requests for a hearing ppm; beet, sugar, dried pulp to 0.20 Jefferson Clinton Bldg., Rm. 3334, 1301 must be in writing, and must be ppm; and beet, sugar molasses to 0.25 Constitution Ave. NW., Washington, DC received by the Hearing Clerk on or ppm. Those documents referenced a 20460–0001. The Public Reading Room before March 13, 2017. Addresses for summary of the petition prepared by is open from 8:30 a.m. to 4:30 p.m., mail and hand delivery of objections Isagro S.P.A. (d/b/a Isagro USA, Inc.), Monday through Friday, excluding legal and hearing requests are provided in 40 the registrant, which is available in the holidays. The telephone number for the CFR 178.25(b). docket, http://www.regulations.gov. Public Reading Room is (202) 566–1744, In addition to filing an objection or There were no comments received in and the telephone number for the OPP hearing request with the Hearing Clerk response to these notices of filing. Docket is (703) 305–5805. Please review as described in 40 CFR part 178, please the visitor instructions and additional submit a copy of the filing (excluding III. Aggregate Risk Assessment and information about the docket available any Confidential Business Information Determination of Safety at http://www.epa.gov/dockets. (CBI)) for inclusion in the public docket. Section 408(b)(2)(A)(i) of FFDCA Information not marked confidential allows EPA to establish a tolerance (the FOR FURTHER INFORMATION CONTACT: pursuant to 40 CFR part 2 may be legal limit for a pesticide chemical Michael Goodis, Registration Division disclosed publicly by EPA without prior residue in or on a food) only if EPA (7505P), Office of Pesticide Programs, notice. Submit the non-CBI copy of your determines that the tolerance is ‘‘safe.’’ Environmental Protection Agency, 1200 objection or hearing request, identified Section 408(b)(2)(A)(ii) of FFDCA Pennsylvania Ave. NW., Washington, by docket ID number EPA–HQ–OPP– defines ‘‘safe’’ to mean that ‘‘there is a DC 20460–0001; main telephone 2015–0695, by one of the following reasonable certainty that no harm will number: (703) 305–7090; email address: methods: result from aggregate exposure to the [email protected]. • Federal eRulemaking Portal: http:// pesticide chemical residue, including SUPPLEMENTARY INFORMATION: www.regulations.gov. Follow the online all anticipated dietary exposures and all

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other exposures for which there is were no systemic effects observed in the adverse-effect-level (LOAEL) from the reliable information.’’ This includes 21-day dermal toxicity study up to the toxicity studies can be found at http:// exposure through drinking water and in highest dose tested. Tetraconazole did www.regulations.gov in document residential settings, but does not include not show evidence of mutagenicity in in ‘‘Human Health Risk Assessment for the occupational exposure. Section vitro or in vivo studies. Section 3 Registration for Application to 408(b)(2)(C) of FFDCA requires EPA to Oral rat and rabbit developmental Fruiting Vegetables (Crop Group 8) and give special consideration to exposure toxicity studies showed no increased Cucurbit Vegetables (Crop Group 9) and of infants and children to the pesticide susceptibility of fetuses to tetraconazole. Amending the Sugar Beet Application chemical residue in establishing a Maternal toxicity (decreased body Scenario and Tolerance’’ in docket ID tolerance and to ‘‘ensure that there is a weight gain and food consumption, number EPA–HQ–OPP–2015–0695. reasonable certainty that no harm will increased water intake and increased result to infants and children from liver and kidney weights) and B. Toxicological Points of Departure/ aggregate exposure to the pesticide developmental toxicity (increased Levels of Concern chemical residue. . . .’’ incidence of small fetuses, Consistent with FFDCA section supernumerary ribs and hydroureter Once a pesticide’s toxicological 408(b)(2)(D), and the factors specified in and hydronephrosis) occurred at the profile is determined, EPA identifies FFDCA section 408(b)(2)(D), EPA has same dose level in the rat study. No toxicological points of departure (POD) reviewed the available scientific data developmental toxicity was seen in the and levels of concern to use in and other relevant information in rabbit study, whereas maternal toxicity evaluating the risk posed by human support of this action. EPA has (decreased body weight gain) was noted exposure to the pesticide. For hazards sufficient data to assess the hazards of at the highest dose tested. Similarly, that have a threshold below which there and to make a determination on there was no evidence of increased is no appreciable risk, the toxicological aggregate exposure for tetraconazole susceptibility of offspring in the 2- POD is used as the basis for derivation including exposure resulting from the generation rat reproduction study. of reference values for risk assessment. tolerances established by this action. In contrast to the oral studies where PODs are developed based on a careful EPA’s assessment of exposures and risks the most sensitive effects were in the analysis of the doses in each associated with tetraconazole follows. liver and kidney, inhalation exposure of toxicological study to determine the tetraconazole to rats resulted in portal- dose at which no adverse effects are A. Toxicological Profile of-entry effects including; squamous cell observed (the NOAEL) and the lowest EPA has evaluated the available metaplasia of the laryngeal mucous, dose at which adverse effects of concern toxicity data and considered its validity, mono-nuclear cell infiltration, goblet are identified (the LOAEL). Uncertainty/ completeness, and reliability as well as cell hyperplasia, hypertrophy of the safety factors are used in conjunction the relationship of the results of the nasal cavity and nasopharyngeal duct, with the POD to calculate a safe studies to human risk. EPA has also and follicular hypertrophy of the exposure level—generally referred to as considered available information thyroid in males. At the highest a population-adjusted dose (PAD) or a concerning the variability of the concentration tested, there were reference dose (RfD)—and a safe margin sensitivities of major identifiable treatment-related increases in absolute of exposure (MOE). For non-threshold subgroups of consumers, including lung weights in both sexes. Since the risks, the Agency assumes that any infants and children. The liver and last risk assessment, a 28-day in vivo amount of exposure will lead to some kidney are the primary target organs of cancer mode-of-action study in mice degree of risk. Thus, the Agency tetraconazole in all species in oral was submitted and reviewed leading to estimates risk in terms of the probability toxicity studies of sub-chronic and the re-evaluation of tetraconazole’s of an occurrence of the adverse effect chronic durations. Following long-term cancer potential and classification. EPA expected in a lifetime. For more oral exposure, tetraconazole caused has now classified tetraconazole as ‘‘Not information on the general principles liver tumors in mice in both sexes. In likely to be carcinogenic to humans at EPA uses in risk characterization and a the acute neurotoxicity study, loss of levels that do not cause increased cell complete description of the risk motor activity in both sexes, and proliferation in the liver.’’ assessment process, see http:// clinical signs including hunched Quantification of carcinogenic potential www.epa.gov/pesticides/factsheets/ posture, decreased defecation, and/or is not required. red or yellow material on various body Specific information on the studies riskassess.htm. surfaces were observed in females. received and the nature of the adverse A summary of the toxicological There was no evidence of effects caused by tetraconazole as well endpoints for tetraconazole used for immunotoxicity or neurotoxicity as the no-observed-adverse-effect-level human risk assessment is shown in following sub-chronic exposure. There (NOAEL) and the lowest-observed- Table 1 of this unit.

TABLE 1—SUMMARY OF TOXICOLOGICAL DOSES AND ENDPOINTS FOR TETRACONAZOLE FOR USE IN HUMAN RISK ASSESSMENT

Point of departure Exposure/scenario and uncertainty/ RfD, PAD, LOC for Study and toxicological effects safety factors risk assessment

Acute dietary (Females 13–50 NOAEL = 22.5 mg/ Acute RfD = 0.225 Developmental toxicity study (rat). years of age). kg/day. mg/kg/day. Developmental LOAEL = 100 mg/kg/day based on increased UFA = 10x aPAD = 0.225 mg/ incidence of small fetuses, supernumerary ribs, and UFH = 10x kg/day. hydroureter and hydronephrosis. FQPA SF = 1x

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TABLE 1—SUMMARY OF TOXICOLOGICAL DOSES AND ENDPOINTS FOR TETRACONAZOLE FOR USE IN HUMAN RISK ASSESSMENT—Continued

Point of departure Exposure/scenario and uncertainty/ RfD, PAD, LOC for Study and toxicological effects safety factors risk assessment

Acute dietary (General popu- NOAEL = 50 mg/kg/ Acute RfD = 0.5 mg/ Acute neurotoxicity (rat). lation including infants and day. kg/day. LOAEL = 200 mg/kg/day due to decreased motor activity on children). UFA = 10x aPAD = 0.5 mg/kg/ day 0 in both sexes, and clinical signs in females including UFH = 10x day. hunched posture, decreased defecation, and/or red or yellow FQPA SF = 1x material on various body surfaces. Chronic dietary (All populations) NOAEL = 0.73 mg/ Chronic RfD = Chronic oral toxicity (dog). kg/day. 0.0073 mg/kg/day. LOAEL = 2.95/3.33 (M/F) mg/kg/day, based on absolute and UFA = 10x cPAD = 0.0073 mg/ relative kidney weights and histopathological changes in the UFH = 10x kg/day. male kidney. FQPA SF = 1x

Dermal short-term (1 to 30 No hazard identified and therefore quantification is not required. There are no developmental concerns via the days) and dermal inter- dermal route and no systemic toxicity was seen following dermal exposure. mediate-term (1 to 6 months).

Inhalation short-term (1 to 30 * NOAEL not estab- LOC = 300 ...... 28-Day Inhalation toxicity—rat. days) and inhalation inter- lished. LOAEL = 1.3 mg/kg/day (0.0048 mg/kg/L, 0.0548 mg/L (rat)) mediate-term (1 to 6 months). UFA = 3x for males and females, based on squamous cell metaplasia UFH = 10x of laryngeal mucous, mononuclear cell infiltration, goblet UFL = 10x hyperplasia and hypertrophy of nasal cavity and nasopharyn- geal duct and follicular hypertrophy of thyroid in males.

Cancer (Oral, dermal, inhala- Classification: ‘‘Not likely to be carcinogenic to humans at levels that do not cause increased cell proliferation tion). in the liver.’’ Quantification of carcinogenic potential is not required (TXR #0056628, J. Rowland et al., 2-Apr- 2013). FQPA SF = Food Quality Protection Act Safety Factor. LOAEL = lowest-observed-adverse-effect-level. LOC = level of concern. mg/kg/day = milligram/kilogram/day. NOAEL = no-observed-adverse-effect-level. PAD = population adjusted dose (a = acute, c = chronic). RfD = reference dose. UFA = extrapolation from animal to human (interspecies). UFH = potential variation in sensitivity among members of the human population (intraspecies). UFL = use of a LOAEL to extrapolate a NOAEL.

C. Exposure Assessment ii. Chronic exposure. In conducting will issue such data call-ins as are the chronic dietary exposure assessment required by FFDCA section 408(b)(2)(E) 1. Dietary exposure from food and EPA used the food consumption data and authorized under FFDCA section feed uses. In evaluating dietary from the USDA NHANES/WWEIA 408(f)(1). Data will be required to be exposure to tetraconazole, EPA dietary survey conducted from 2003 to submitted no later than 5 years from the considered exposure under the 2008. As to residue levels in food, EPA date of issuance of these tolerances. petitioned-for tolerances as well as all utilized residue data from field trials 100 PCT were assumed for all food existing tetraconazole tolerances in 40 and feeding studies to obtain average commodities for the acute analysis. The CFR 180.557. EPA assessed dietary residues and assumed the PCT figures chronic analysis used percent crop exposures from tetraconazole in food as provided below. Empirically derived treated for new uses (PCTn). follows: processing factors were used in these Section 408(b)(2)(F) of FFDCA states i. Acute exposure. Quantitative acute assessments when available that the Agency may use data on the dietary exposure and risk assessments iii. Cancer. Based on the data actual percent of food treated for are performed for a food-use pesticide, summarized in Unit III.A., EPA has assessing chronic dietary risk only if: if a toxicological study has indicated the concluded that tetraconazole does not • Condition a: The data used are possibility of an effect of concern pose a cancer risk to humans. Therefore, reliable and provide a valid basis to occurring as a result of a 1-day or single a dietary exposure assessment for the show what percentage of the food exposure. Such effects were identified purpose of assessing cancer risk is derived from such crop is likely to for tetraconazole. In estimating acute unnecessary. contain the pesticide residue. dietary exposure, EPA used food iv. Anticipated Residues and Percent • Condition b: The exposure estimate consumption information from the Crop Treated (PCT) information. Section does not underestimate exposure for any United States Department of Agriculture 408(b)(2)(E) of FFDCA authorizes EPA significant subpopulation group. (USDA) National Health and Nutrition to use available data and information on • Condition c: Data are available on Examination Survey, What We Eat in the anticipated residue levels of pesticide use and food consumption in America, (NHANES/WWEIA). This pesticide residues in food and the actual a particular area, the exposure estimate dietary survey was conducted from 2003 levels of pesticide residues that have does not understate exposure for the to 2008. As to residue levels in food, been measured in food. If EPA relies on population in such area. EPA utilized the Dietary Exposure such information, EPA must require In addition, the Agency must provide Evaluation Model software with the pursuant to FFDCA section 408(f)(1) for periodic evaluation of any estimates Food Commodity Intake Database that data be provided 5 years after the used. To provide for the periodic DEEM–FCID, Version 3.16 default tolerance is established, modified, or evaluation of the estimate of PCT as processing factors and tolerance-level left in effect, demonstrating that the required by FFDCA section 408(b)(2)(F), residues and 100 percent crop treated levels in food are not above the levels EPA may require registrants to submit (PCT) for all commodities. anticipated. For the present action, EPA data on PCT.

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The Agency estimated the PCT for Based on the Pesticide Root Zone levels, stress responses, and altered existing uses as follows: Model/Exposure Analysis Modeling DNA methylation. It is not clearly Sugarbeet, 70%; field corn, 9%; and System (PRZM/EXAMS) and Pesticide understood whether these biochemical soybean, 5%. Root Zone Model Ground Water (PRZM events are directly connected to their In most cases, EPA uses available data GW), the estimated drinking water toxicological outcomes. Thus, there is from United States Department of concentrations (EDWCs) of currently no evidence to indicate that Agriculture/National Agricultural tetraconazole for acute exposures are tetraconazole shares a common Statistics Service (USDA/NASS), estimated to be 11 parts per billion mechanism of toxicity with any other proprietary market surveys, and the (ppb) for surface water and 120 ppb for conazole pesticide, and EPA is not National Pesticide Use Database for the ground water. The estimated EDWCs of following a cumulative risk approach chemical/crop combination for the most tetraconazole for chronic exposures for for this tolerance action. For recent 6–7 years. EPA uses an average non-cancer assessments are estimated to information regarding EPA’s procedures PCT for chronic dietary risk analysis. be 5.5 ppb for surface water and 118 for cumulating effects from substances The average PCT figure for each existing ppb for ground water. found to have a common mechanism of use is derived by combining available Modeled estimates of drinking water toxicity, see EPA’s Web site at http:// public and private market survey data concentrations were directly entered www.epa.gov/pesticide-science-and- for that use, averaging across all into the dietary exposure model. assessing-pesticide-risks/cumulative- observations, and rounding to the For acute dietary risk assessment, the assessment-risk-pesticides. nearest 5%, except for those situations water concentration value of 120 ppb Tetraconazole is a triazole-derived in which the average PCT is less than was used to assess the contribution to pesticide. This class of compounds can one. In those cases, 1% is used as the drinking water. form the common metabolite 1,2,4- For chronic dietary risk assessment, average PCT and 2.5% is used as the triazole and two triazole conjugates the water concentration value of 118 maximum PCT. (triazolylalanine and triazolylacetic ppb was used to assess the contribution acid). To support existing tolerances The Agency believes that the three to drinking water. and to establish new tolerances for conditions discussed in Unit III.C.1.iv. 3. From non-dietary exposure. The triazole-derivative pesticides, including have been met. With respect to term ‘‘residential exposure’’ is used in tetraconazole, EPA conducted a human Condition a, PCT estimates are derived this document to refer to non- health risk assessment for exposure to from Federal and private market survey occupational, non-dietary exposure 1,2,4-triazole, triazolylalanine, and data, which are reliable and have a valid (e.g., for lawn and garden pest control, triazolylacetic acid resulting from the basis. The Agency is reasonably certain indoor pest control, termiticides, and use of all current and pending uses of that the percentage of the food treated flea and tick control on pets). any triazole-derived fungicide. The risk is not likely to be an underestimation. Tetraconazole is not registered for any assessment is a highly conservative, As to Conditions b and c, regional specific use patterns that would result screening-level evaluation in terms of consumption information and in residential exposure. hazards associated with common consumption information for significant 4. Cumulative effects from substances metabolites (e.g., use of a maximum subpopulations is taken into account with a common mechanism of toxicity. combination of uncertainty factors) and through EPA’s computer-based model Section 408(b)(2)(D)(v) of FFDCA potential dietary and non-dietary for evaluating the exposure of requires that, when considering whether exposures (i.e., high end estimates of significant subpopulations including to establish, modify, or revoke a both dietary and non-dietary exposures). several regional groups. Use of this tolerance, the Agency consider The Agency retained a 3X for the consumption information in EPA’s risk ‘‘available information’’ concerning the LOAEL to NOAEL safety factor when assessment process ensures that EPA’s cumulative effects of a particular the reproduction study was used. In exposure estimate does not understate pesticide’s residues and ‘‘other addition, the Agency retained a 10X for exposure for any significant substances that have a common the lack of studies including a subpopulation group and allows the mechanism of toxicity.’’ developmental neurotoxicity (DNT) Agency to be reasonably certain that no Tetraconazole is a member of the study. The assessment includes regional population is exposed to triazole-containing class of pesticides. evaluations of risks for various residue levels higher than those Although conazoles act similarly in subgroups, including those comprised estimated by the Agency. Other than the plants (fungi) by inhibiting ergosterol of infants and children. The Agency’s data available through national food biosynthesis, there is not necessarily a complete risk assessment is found in the consumption surveys, EPA does not relationship between their pesticidal propiconazole reregistration docket at have available reliable information on activity and their mechanism of toxicity http://www.regulations.gov/, Docket the regional consumption of food to in mammals. Structural similarities do Identification (ID) Number EPA–HQ– which tetraconazole may be applied in not constitute a common mechanism of OPP–2005–0497. a particular area. toxicity. Evidence is needed to establish An updated dietary exposure and risk 2. Dietary exposure from drinking that the chemicals operate by the same, analysis for the common triazole water. The Agency used screening level or essentially the same, sequence of metabolites 1,2,4-triazole (T), water exposure models in the dietary major biochemical events (EPA, 2002). triazolylalanine (TA), triazolylacetic exposure analysis and risk assessment In the case of conazoles, however, a acid (TAA), and triazolylpyruvic acid for tetraconazole in drinking water. variable pattern of toxicological (TP) was completed on April 9, 2015, in These simulation models take into responses is found. Some are association with registration requests for account data on the physical, chemical, hepatotoxic and hepatocarcinogenic in several triazole fungicides, and fate/transport characteristics of mice. Some induce thyroid tumors in propiconazole, difenoconazole, and tetraconazole. Further information rats. Some induce developmental, flutriafol. The requested new uses of regarding EPA drinking water models reproductive, and neurological effects in tetraconazole did not significantly used in pesticide exposure assessment rodents. Furthermore, the conazoles change the dietary exposure estimates can be found at http://www.epa.gov/ produce a diverse range of biochemical for free triazole or conjugated triazoles. oppefed1/models/water/index.htm. events including altered cholesterol Therefore, an updated dietary exposure

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analysis was not conducted. The April study has shown no evidence for residential exposure to the appropriate 9, 2015 update for triazoles may be neurotoxicity. Finally, there are no other PODs to ensure that an adequate MOE found in docket ID number EPA–HQ– signs of neurotoxicity in any of the other exists. OPP–2014–0788. studies in the database. Therefore, there 1. Acute risk. Using the exposure is no need for a developmental D. Safety Factor for Infants and assumptions discussed in this unit for neurotoxicity study or additional Children acute exposure, the acute dietary uncertainty factors (UFs) to account for exposure from food and water to 1. In general. Section 408(b)(2)(C) of neurotoxicity. tetraconazole will occupy 4.6% of the FFDCA provides that EPA shall apply iii. There is no evidence that aPAD for all infants (<1 year old), the an additional tenfold (10X) margin of tetraconazole results in increased population group receiving the greatest safety for infants and children in the susceptibility in in utero rats or rabbits exposure. case of threshold effects to account for in the prenatal developmental studies or 2. Chronic risk. Using the exposure prenatal and postnatal toxicity and the in young rats in the 2-generation assumptions described in this unit for completeness of the database on toxicity reproduction study. There is evidence of chronic exposure, EPA has concluded and exposure unless EPA determines increased qualitative susceptibility to that chronic exposure to tetraconazole based on reliable data that a different fetuses in the rat prenatal from food and water will utilize 92% of margin of safety will be safe for infants developmental toxicity study (increased the cPAD for all infants (<1 year old) the and children. This additional margin of incidences of supernumerary ribs, and population group receiving the greatest safety is commonly referred to as the hydroureter and hydronephrosis). The exposure. There are no residential uses FQPA Safety Factor (SF). In applying LOC is low however because: for tetraconazole this provision, EPA either retains the • The fetal effects were seen at the 3. Short-term risk. Short-term default value of 10X, or uses a different same dose as the maternal effects, aggregate exposure takes into account additional safety factor when reliable • a clear NOAEL was established, short-term residential exposure plus data available to EPA support the choice • the developmental NOAEL from a chronic exposure to food and water of a different factor. study in rats is being used as the POD 2. Prenatal and postnatal sensitivity. for the acute dietary endpoint (females (considered to be a background There are no residual uncertainties for 13–49 years of age), and exposure level). A short-term adverse pre- and post-natal toxicity. There is no • there were no developmental effects effect was identified; however, evidence of increased quantitative in the rabbit study. There is also no tetraconazole is not registered for any susceptibility of rat or rabbit fetuses to evidence of increased quantitative or use patterns that would result in short- in utero exposure to tetraconazole. qualitative susceptibility to offspring in term residential exposure. Short-term There is evidence of increased the two-generation reproduction study. risk is assessed based on short-term qualitative susceptibility to fetuses in iv. There are no residual uncertainties residential exposure plus chronic the rat prenatal developmental toxicity identified in the exposure databases. dietary exposure. Because there is no study (increased incidences of There are no residual uncertainties short-term residential exposure and supernumerary ribs, and hydroureter identified for pre- and post-natal chronic dietary exposure has already and hydronephrosis). The LOC is low toxicity in the exposure databases. been assessed under the appropriately however because the fetal effects were Tolerance-level residues, 100 PCT, and protective cPAD (which is at least as seen at the same dose as the maternal modeled water estimates were protective as the POD used to assess effects, a clear NOAEL was established, incorporated into the acute dietary short-term risk), no further assessment the developmental NOAEL from a study exposure analysis. Therefore, the acute of short-term risk is necessary, and EPA in rats is being used as the POD for the analysis is highly conservative. The relies on the chronic dietary risk acute dietary endpoint (females 13–49 chronic and cancer dietary exposure assessment for evaluating short-term years of age), and there were no analyses utilized empirical processing risk for tetraconazole. developmental effects in the rabbit factors, average field trial residues, 4. Intermediate-term risk. study. There is also no evidence of average residues from the feeding Intermediate-term aggregate exposure increased quantitative or qualitative studies, percent crop treated estimates, takes into account intermediate-term susceptibility to offspring in the two- and modeled drinking water estimates. residential exposure plus chronic generation reproduction study. EPA made conservative (protective) exposure to food and water (considered 3. Conclusion. EPA has determined assumptions in the ground and surface to be a background exposure level). An that reliable data show the safety of water modeling used to assess exposure intermediate-term adverse effect was infants and children would be to tetraconazole in drinking water. identified; however, tetraconazole is not adequately protected if the FQPA SF These assessments will not registered for any use patterns that were reduced to 1X. That decision is underestimate the exposure and risks would result in intermediate-term based on the following findings: posed by tetraconazole. residential exposure. Intermediate-term i. The toxicity database for risk is assessed based on intermediate- tetraconazole is complete. E. Aggregate Risks and Determination of term residential exposure plus chronic ii. There were effects indicative of Safety dietary exposure. Because there is no neurotoxicity in the acute neurotoxicity EPA determines whether acute and intermediate-term residential exposure study in rats. However, the level of chronic dietary pesticide exposures are and chronic dietary exposure has concern (LOC) is low since a clear safe by comparing aggregate exposure already been assessed under the NOAEL was established which is being estimates to the acute PAD (aPAD) and appropriately protective cPAD (which is used in endpoint selection. chronic PAD (cPAD). For linear cancer at least as protective as the POD used to Furthermore, the dose at which these risks, EPA calculates the lifetime assess intermediate-term risk), no neurotoxic effects were observed is 2 to probability of acquiring cancer given the further assessment of intermediate-term 100-fold higher than the primary effects estimated aggregate exposure. Short-, risk is necessary, and EPA relies on the seen in the other studies in the database intermediate-, and chronic-term risks chronic dietary risk assessment for (liver and kidney). After preliminary are evaluated by comparing the evaluating intermediate-term risk for review, a sub-chronic neurotoxicity estimated aggregate food, water, and tetraconazole.

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5. Aggregate cancer risk for U.S. The Codex has not established a MRL relationship between the national population. As discussed in Unit III.A., for tetraconazole. government and the States or tribal EPA has concluded that tetraconazole is governments, or on the distribution of C. Revisions to Petitioned-for Tolerances ‘‘Not likely to be carcinogenic to power and responsibilities among the humans at levels that do not cause EPA revised two commodity various levels of government or between increased cell proliferation in the liver.’’ definitions for vegetable, fruiting, group the Federal Government and Indian Because the chronic endpoint is 8–10 and vegetable, cucurbit, group 9. tribes. Thus, the Agency has determined protective of cell proliferation in the V. Conclusion that Executive Order 13132, entitled liver, there is not likely to be a cancer ‘‘Federalism’’ (64 FR 43255, August 10, risk from exposure to tetraconazole. Therefore, tolerances are established 1999) and Executive Order 13175, for residues of tetraconazole, in or on entitled ‘‘Consultation and Coordination 6. Determination of safety. Based on vegetable, fruiting, group 8–10 at 0.30 these risk assessments, EPA concludes with Indian Tribal Governments’’ (65 FR ppm and vegetable, cucurbit, group 9 at 67249, November 9, 2000) do not apply that there is a reasonable certainty that 0.15 ppm and revised for beet, sugar, no harm will result to the general to this action. In addition, this action root; beet, sugar, dried pulp; and beet, does not impose any enforceable duty or population, or to infants and children sugar, molasses. from aggregate exposure to tetraconazole contain any unfunded mandate as residues. VI. Statutory and Executive Order described under Title II of the Unfunded Reviews Mandates Reform Act (UMRA) (2 U.S.C. IV. Other Considerations This action establishes tolerances 1501 et seq.). A. Analytical Enforcement Methodology under FFDCA section 408(d) in This action does not involve any response to a petition submitted to the technical standards that would require Adequate analytical methods are Agency. The Office of Management and Agency consideration of voluntary available to enforce the currently Budget (OMB) has exempted these types consensus standards pursuant to section established tetraconazole plant and of actions from review under Executive 12(d) of the National Technology livestock tolerances (D280006, W. Order 12866, entitled ‘‘Regulatory Transfer and Advancement Act Donovan, 10-Jan-2002, D267481, 12-Oct- Planning and Review’’ (58 FR 51735, (NTTAA) (15 U.S.C. 272 note). 2000; D278236, W. Donovan, 22-Oct- October 4, 1993). Because this action 2001). Isagro has also submitted VII. Congressional Review Act has been exempted from review under adequate method validation and Executive Order 12866, this action is Pursuant to the Congressional Review independent laboratory validation (ILV) not subject to Executive Order 13211, Act (5 U.S.C. 801 et seq.), EPA will data which indicates that the entitled ‘‘Actions Concerning submit a report containing this rule and QuEChERS multi-residue method Regulations That Significantly Affect other required information to the U.S. L00.00–115 (48135104.der) is capable of Energy Supply, Distribution, or Use’’ (66 Senate, the U.S. House of quantifying tetraconazole residues in/on FR 28355, May 22, 2001) or Executive Representatives, and the Comptroller a variety of fruit, cereal grain, root, Order 13045, entitled ‘‘Protection of General of the United States prior to oilseed, and livestock commodities. Children from Environmental Health publication of the rule in the Federal The method may be requested from: Risks and Safety Risks’’ (62 FR 19885, Register. This action is not a ‘‘major Chief, Analytical Chemistry Branch, April 23, 1997). This action does not rule’’ as defined by 5 U.S.C. 804(2). Environmental Science Center, 701 contain any information collections List of Subjects in 40 CFR Part 180 Mapes Rd., Ft. Meade, MD 20755–5350; subject to OMB approval under the telephone number: (410) 305–2905; Paperwork Reduction Act (PRA) (44 Environmental protection, email address: residuemethods@ U.S.C. 3501 et seq.), nor does it require Administrative practice and procedure, epa.gov. any special considerations under Agricultural commodities, Pesticides B. International Residue Limits Executive Order 12898, entitled and pests, Reporting and recordkeeping ‘‘Federal Actions to Address requirements. In making its tolerance decisions, EPA Environmental Justice in Minority Dated: December 14, 2016. seeks to harmonize U.S. tolerances with Populations and Low-Income Daniel J. Rosenblatt, international standards whenever Populations’’ (59 FR 7629, February 16, possible, consistent with U.S. food Acting Director, Registration Division, Office 1994). of Pesticide Programs. safety standards and agricultural Since tolerances and exemptions that practices. EPA considers the are established on the basis of a petition Therefore, 40 CFR chapter I is international maximum residue limits under FFDCA section 408(d), such as amended as follows: (MRLs) established by the Codex the tolerance in this final rule, do not Alimentarius Commission (Codex), as require the issuance of a proposed rule, PART 180—[AMENDED] required by FFDCA section 408(b)(4). the requirements of the Regulatory The Codex Alimentarius is a joint Flexibility Act (RFA) (5 U.S.C. 601 et ■ 1. The authority citation for part 180 United Nations Food and Agriculture seq.), do not apply. continues to read as follows: Organization/World Health This action directly regulates growers, Authority: 21 U.S.C. 321(q), 346a and 371. Organization food standards program, food processors, food handlers, and food ■ and it is recognized as an international retailers, not States or tribes, nor does 2. In the table in paragraph (a) of food safety standards-setting this action alter the relationships or § 180.557: organization in trade agreements to distribution of power and ■ a. Revise the commodities of ‘‘Beet, which the United States is a party. EPA responsibilities established by Congress sugar, dried pulp’’, ‘‘Beet, sugar, may establish a tolerance that is in the preemption provisions of FFDCA molasses’’, and ‘‘Beet, sugar, root’’; and different from a Codex MRL; however, section 408(n)(4). As such, the Agency ■ b. Add alphabetically the FFDCA section 408(b)(4) requires that has determined that this action will not commodities of ‘‘Vegetable, cucurbit, EPA explain the reasons for departing have a substantial direct effect on States group 9’’ and ‘‘Vegetable, fruiting, group from the Codex level. or tribal governments, on the 8–10’’ to read as follows:

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§ 180.557 Tetraconazole; tolerances for who use a telecommunications device outlined in the 2007 rule. As a matter residues. for the deaf (TDD) may call the Federal of practice, the FS will have the same (a) * * * Relay Service at 1–800–877–8339 to access to the BLM’s e-filing system and contact the above individuals during the same user privileges as BLM Commodity Parts per normal business hours. The Service is employees to process APDs and NOSs million available 24 hours a day, 7 days a week electronically for wells proposed on to leave a message or question with the National Forest Service (NFS) lands. An APD is a request to drill an oil or ***** above individuals. You will receive a reply during normal business hours. gas well on Federal or Indian lands. An Beet, sugar, dried pulp ...... 0.20 SUPPLEMENTARY INFORMATION: operator must have an approved APD prior to drilling. Prior to submitting an Beet, sugar, molasses ...... 0.25 I. Background Beet, sugar, root ...... 0.15 II. Discussion of Final Order, Section-by- APD, an applicant may file an NOS Section Analysis, and Response to requesting the BLM to conduct an onsite ***** Comments review of an operator’s proposed oil and III. Procedural Matters gas drilling project. The purpose of an Vegetable, cucurbit, group 9 .... 0.15 NOS is to provide the operator with an Vegetable, fruiting, group 8–10 0.30 I. Background opportunity to gather information and The BLM regulations governing better address site-specific resource * * * * * onshore oil and gas operations are found concerns associated with a project while [FR Doc. 2016–31824 Filed 1–9–17; 8:45 am] at 43 Code of Federal Regulations (CFR) preparing its APD package. Operators BILLING CODE 6560–50–P part 3160, Onshore Oil and Gas are not required to submit an NOS prior Operations. Section 3164.1 provides for to filing an APD. the issuance of Onshore Oil and Gas The BLM has recently experienced a DEPARTMENT OF THE INTERIOR Orders to implement and supplement decrease in the number of APDs the regulations found in part 3160. received due to changes in market Bureau of Land Management Onshore Order 1 has been in effect since conditions. Since 2009, the BLM October 21, 1983, and was most recently received an average of about 5,000 APDs 43 CFR Part 3160 revised in 2007 (see 72 FR 10308 (March per year for wells on Federal and Indian [WO–300–L13100000.PP0000] 7, 2007)) as part of a joint effort with the lands, of which Indian lands account for Department of Agriculture and the about 16%. In FY 2015, the BLM RIN 1004–AE37 Forest Service (FS), in response to new received approximately 4,500 APDs. requirements imposed under Section Onshore Oil and Gas Operations; From October 1, 2015, through the end 366 of the Energy Policy Act of 2005. of September 2016 (FY 2016), the BLM Federal and Indian Oil and Gas Leases; On July 29, 2016, the BLM published estimates that it received only Onshore Oil and Gas Order Number 1, in the Federal Register a proposed approximately 1,600 APDs. In coming Approval of Operations Order that would revise sections III.A., years, due to the recent drop in oil AGENCY: Bureau of Land Management, III.C., III.E., and III.I. in Onshore Order prices and persistently low natural gas Interior. 1. The Order proposed to require e-filing prices, the BLM conservatively of all APDs and NOSs. The comment ACTION: Final order. estimates that an average of 3,000 APDs period for the proposed Order closed on will be submitted per year. The BLM SUMMARY: The Bureau of Land August 28, 2016. This final Order anticipates these market conditions to Management (BLM) hereby amends its adopts all of the revisions identified in continue for the near term. existing Onshore Oil and Gas Order the proposed Order. The available data show that use of Number 1 (Onshore Order 1) to require Through this change, the BLM the BLM’s e-filing system for APDs and the electronic filing (or e-filing) of all modifies Onshore Order 1 to require NOSs is common and broad-based Applications for Permit to Drill (APD) operators to submit NOSs and APDs among operators, and therefore is not a and Notices of Staking (NOS). through the e-filing system, Automated novel concept. Specifically, over the last Previously, Onshore Order 1 stated that Fluid Mineral’s Support System few years, roughly half of the APDs an ‘‘operator must file an APD or any (AFMSS II), as opposed to the previous submitted to the BLM were submitted other required documents in the BLM system, which allowed either hardcopy using the e-filing system (Well Field Office having jurisdiction over the or electronic submission. Under the Information System, or WIS). The other lands described in the application,’’ but final Order, the BLM will consider half of the APDs were submitted in hard allowed for e-filing of such documents granting waivers to the e-filing copy. More importantly, the data show as an alternative. This change makes e- requirement for individuals who request that the use of e-filing has increased filing the required method of a waiver because they would experience over time, with the rate nearly doubling submission, subject to limited hardship if required to e-file (e.g., if an from 26 percent in FY 2010 to 51 exceptions. The BLM is making this operator is prevented from e-filing or is percent in FY 2014. As of 2014, change to improve the efficiency and in a situation that would make e-filing approximately 411 operators had used transparency of the APD and NOS so difficult to perform that it would the BLM’s WIS to e-file NOSs, APDs, processes. significantly delay an operator’s APD well completion reports, sundry notices, submission). and other application materials. Those DATES: The final Order is effective on The change to Onshore Order 1 that operators represent an estimated 85 February 9, 2017. the BLM is implementing in this final percent of the operators that conduct FOR FURTHER INFORMATION CONTACT: Order will not affect other provisions of drilling and completion operations on Steven Wells, Division Chief, Fluid Onshore Order 1 that are not discussed Federal and Indian leases nationwide. Minerals Division, 202–912–7143 for in this preamble or this final The BLM’s WIS system is a web-based information regarding the substance of rulemaking, including the Onshore application that operators could use to the final Order or information about the Order 1 provisions relating to the roles submit permit applications and other BLM’s Fluid Minerals Program. Persons and responsibilities of the FS that are types of information electronically over

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the Internet. This includes APDs and system is expected to streamline the Section 3162.3 covers conduct of NOSs, but also well completion reports APD and NOS application process. The operations, section 3162.3–1 covers and sundry notices. The WIS system is system will expedite processing and applications to drill on a lease, section an extension of the BLM’s current enhance transparency, resulting in 3162.3–2 covers subsequent well Automated Fluid Minerals Support savings to both operators and the U.S. operations, section 3162.3–3 covers System (AFMSS), which the BLM uses Government by: other lease operations, and section to track various types of oil and gas • Reducing the number of 3162.3–4 covers well abandonment. information on Federal and Indian applications with deficiencies by Section 3162.5 covers environment and lands, including the processing of NOSs providing users the ability to identify safety obligations. and APDs. and correct errors through automatic The BLM received 5 comments on the error notifications generated prior to the proposed Order, from trade Automated Fluid Minerals Support submission process; organizations, members of industry, and System II • Automatically populating data non-governmental organizations. Since 2013, the BLM has been fields based on users’ previously This section of the preamble describes developing and deploying updates to its submitted information; the changes that the BLM is making to Automated Fluid Minerals Support • Allowing operators to electronically three existing provisions of Order 1. The System in order to gain efficiencies for track the progress of their application BLM is making only slight both government and industry users of throughout the BLM review process; modifications to these sections. the system. The updated system, known and However, to provide context for the as AFMSS II, is being implemented • Facilitating the use of pre-approved changes, we have included the three based on modules that will manage plans, such as Master Development complete sections, which are entitled, different types of data for the BLM’s oil Plans and Master Leasing Plans that Where to File an APD, Where to File an and gas program, such as NOSs and have already been input into the system. NOS, and APD Posting. This Order does APDs, well completion reports, sundry The AFMSS II system was developed not make any changes to these notices, and inspection and in response to the Government subsections beyond those detailed enforcement-related operations. The Accountability Office’s (GAO) and the below. NOS/APD module is the first module Department of the Interior Office of the Where to File an APD developed as part of the update, which Inspector General’s (OIG) phased in beginning in December 2015. recommendations in GAO report 13–572 The final order modifies subsection As part of the phase in, the BLM (GAO–13–572) and OIG report CR–EV– III.A. to require operators to file APDs conducted training for its staff and MOA–0003–2013 (Report No. CR–EV– using the BLM’s electronic commerce operators in order to understand how to MOA–0003–2013). Both reports application, AFMSS II, for oil and gas use the new module. The NOS/APD recommended that the BLM ensure that permitting and reporting. Through this module within AFMSS II replaces that all key dates associated with the revision, the BLM will move toward an portion of the WIS system that allowed processing of APDs are completely and electronic submission rate of 100 operators to submit NOSs and APDs accurately entered and retained in percent. In the past, the BLM has electronically over the internet. Once all AFMSS, and in any new system that received a portion of the APDs the modules that will manage data from replaces AFMSS, to help assess whether electronically and a portion in hard the existing system have been deployed the BLM is meeting applicable copy, which introduced a number of for AFMSS II, the old version of AFMSS processing deadlines and identify ways inefficiencies and necessitated multiple will be decommissioned. As of the date to improve the efficiency of the APD records management systems. This of this final Order, the NOS/APD review process. Additionally, the OIG process change will help to eliminate module is fully operational with the report recommends that the BLM: (1) those problems. In addition, the BLM NOS/APD component of WIS now Develop, implement, enforce, and report believes that requiring submission phased out. The NOS/APD module is performance timelines for APD through the e-filing system will improve ready to meet the demand of an increase processing; (2) Develop outcome-based processing times, public participation, in APD e-filing that is likely to result performance measures for the APD and transparency. The BLM did not from this final Order. process that help enable management to make any changes to this section improve productivity; and (3) Ensure between the proposed and final Order Efficiency and Transparency that the modifications to AFMSS enable because it did not receive any comments The goal of the AFMSS II system and accurate and consistent data entry, on section III.A., and the agency did not the amendments to Onshore Order 1 is effective workflow management, have any independent reason to make a to improve operational efficiency and efficient APD processing, and APD change as part of the final Order. transparency in the processing of APDs tracking at the BLM Field Office level. Where to File an NOS and NOSs by requiring operators to use The NOS/APD module developed for Likewise, if an operator chooses to file BLM’s updated e-filing system as the AFMSS II addresses these default approach to APD and NOS an NOS, final Section III.C. requires recommendations from the GAO and operators to file NOSs using the BLM’s filing. Although data show that OIG. voluntary use of the e-filing system has e-filing system, the APD module of increased over time, this Order is II. Discussion of Final Order, Section- AFMSS II, for oil and gas permitting and necessary to move towards 100 percent by-Section Analysis, and Response to reporting. As with APDs, receiving a electronic APD and NOS submission. Comments portion of the NOSs electronically and a portion in hard copy introduced a This shift to e-filing presents potential This final order revises existing number of inefficiencies that advantages to operators, including Onshore Order 1, which primarily necessitated multiple records operators owned by individual Indian supplements 43 CFR 3162.3 and 3162.5. tribes,1 because the new AFMSS II management systems. The BLM hopes usually established to produce the minerals owned that moving towards a 100-percent 1 In some cases, operators are companies owned by the tribe and, thus, are operated for the benefit electronic submission rate for NOSs will by individual Indian tribes. Such companies are of the tribe. eliminate those inefficiencies.

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The BLM received one comment on location of all tracts to be leased, and of When submitting a waiver request section III.C. that suggested that the all leases already issued in the general under section III.I, the applicant must BLM increase the time allowed for area. Where the inclusion of maps in explain what prevents them from using operators to submit an APD after such posting is not practicable, the BLM the e-filing system, plans for complying completing an on-site inspection for an provides maps of the affected lands with the Order’s electronic submission associated NOS. Under the existing available to the public for review. This requirement in the future, and a requirements of section III.C. of Order 1, posting requirement only applies to timeframe for compliance, all of which if an operator elects to submit an NOS APDs or NOSs proposing to drill into is subject to BLM approval. If the prior to submitting an APD and and produce Federal minerals. The applicant would like the waiver to conducts an on-site inspection based on posting requirement derives from the apply to a particular set of APDs or the NOS, the operator must submit the Mineral Leasing Act, and does not apply NOSs, then the request must identify APD associated with that NOS within to APDs or NOSs for Indian minerals, the APDs or NOSs to which the waiver 60 days after conducting the onsite which are not made publicly available. request applies. Otherwise, the waiver inspection. Failure to submit the APD The BLM received one comment on would apply to all submissions made within 60 days of the onsite inspection section III.E.1. The commenter provided during the compliance timeframe will result in the NOS being returned to a list of information that it believes the identified as part of the BLM’s approval. the operator. The commenter BLM should make publicly available on The BLM will not consider an APD or recommended extending this timeframe the Internet: Waiver applications and NOS that the operator did not submit from 60 days to 90 days, because approvals for the e-filing requirement; through the e-filing system, unless the previous analyses conducted by the APD and Master Development Plan BLM approves a waiver from the e-filing commenter indicated that 60 days did packages (in their entirety); requirement under section III.I. not afford enough time to complete the Geographical Information Systems data Changes to Section III.I—Waiver From APD submission process. This comment for each APD; well completion or Electronic Submissions is outside the scope of the revisions to recompletion reports; sundry notices; Order 1, which pertain only to the e- and a variety of other information As part of the final Order, the BLM filing of APDs and NOSs. related to the BLM’s oil and gas made four changes to this section in response to comments and additional APD Posting program. Furthermore, the commenter recommended that a public portal be set internal reviews, all of which are discussed in the following paragraphs. Section III.E.1. of the pre-existing up in AFMSS II to facilitate posting of Onshore Order 1 already required the Two changes are worth noting at the this information. BLM to post information about the APD outset. First, in addition to the proposed or NOS in an area of the local BLM The BLM did not make a change in Order’s requirement to explain what Field Office that is readily accessible to response to this comment because it is prevents an operator from using the e- the public. The pre-existing section beyond the scope of the proposed filing system, the final Order now also III.E.1 also called for that information to amendments to the Order. requires operators to identify what their be posted on the Internet when possible, Waiver From Electronic Submissions plans are for complying with the though it was not required. Some offices electronic submission requirement in were already posting information about Section III.E.1. of the pre-existing the future, and a timeframe for APDs and NOSs on their local BLM Onshore Order 1 already required the achieving compliance. Second, Field Office Web sites. Final section BLM to post information about the APD recognizing that it would be helpful to III.E.1. of the final Order continues to or NOS in an area of the local BLM provide operators time after the effective require the BLM to post information Field Office that was readily accessible date of the Order to determine whether about the APD or NOS in a publicly to the public. The pre-existing section or not they need to submit a waiver accessible area of the local BLM Field III.E.1 also called for that information to request, the BLM has delayed the Office having jurisdiction. Final section be posted on the Internet when possible, compliance date for the electronic III.E.1., also provides that the BLM will though it was not required. submission requirement in this Order by post information about the APD or NOS Consequently, some BLM Field Offices 30 days. During the interim period, for Federal oil and gas leases on the were already posting information about APDs and NOSs may be submitted using Internet. This change will increase APDs and NOSs on their local BLM existing procedures. consistency, transparency, and Field Office Web sites. Section III.I. is a The BLM received a few substantive efficiency for both operators who file new section that allows operators to comments on the waiver section of the APD submissions and the public. The request a waiver from the requirements proposed Order. One commenter information that the BLM posts online in sections III.A. and III.C. of this Order. disagreed with the need for operators to about APDs and NOSs will be consistent This section is different from section X., make a waiver request for every APD or with what is already identified in 43 which addresses the requirements for NOS they file, particularly if the CFR 3162.3–1(g) and will not conflict requesting a variance from this Order. operator was granted a waiver from a with the BLM’s statutory obligations to Unlike a variance from the other prior request. The commenter said protect confidential business provisions or standards of Order 1, a chances are that the same circumstances information. waiver under this section is limited to will exist with subsequent APD and In accordance with 43 CFR 3162.3– the means of submission of an APD NOS waiver requests. The commenter 1(g), information that will be posted (electronic or hardcopy). A waiver recommended that after the BLM grants online about APDs and NOSs includes: under section III.I. is also different from a waiver, then that waiver needs to The company/operator name; the well a waiver under section XI., which remain in force until no longer needed. name/number; and the well location addresses lease stipulations. Unlike a The BLM did not entirely accept the described to the nearest quarter-quarter waiver from the requirement(s) of a commenter’s recommendation because section (40 acres), or similar land lease stipulation, a waiver under this it would inject needless uncertainty as description in the case of lands Order is not a permanent exemption to when the applicant will start to use described by metes and bounds, or maps from the BLM’s requirement to file the electronic system. Such a provision showing the affected lands and the applications electronically. would run counter to the BLM’s efforts

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to bring efficiency and modernization to be approved if ‘‘compliance with this current state of implementation, noting its permitting process. The BLM requirement would impose such costs as the need for more industry training and recognizes that an applicant may need to cause the operator to cease correction of issues experienced by to request a waiver for multiple APDs or production and abandon significant some users. The commenters stated that NOSs, which is why a waiver request recoverable oil reserves under the the technical problems being applies to all applications identified in lease.’’ experienced are not necessarily the waiver request. However, the BLM The BLM did not make a change in significant, but are an indication that also recognizes that there could be response to the commenter’s the system is not yet fully operational. instances when not all APDs and NOSs recommendation. The language cited While these commenters are supportive could be identified at the time an from the proposed Waste Prevention of AFMSS II and do not object to 100 applicant submits a waiver request. rule, which also appears in the final percent e-filing of APDs and NOSs, they Therefore, the BLM modified this Waste Prevention rule, (see 81 FR 83008 believe there is too much at stake section of the final Order. Unlike the (November 18, 2016)), is meant to (additional delays in approval of proposed Order, which required that the address circumstances in which new drilling permits) to make the use of waiver request identify all covered BLM requirements are being applied to AFMSS II a requirement right now. The applications, the final Order makes this existing well operations. In the case of commenters recommended that the an option for the applicant. If an these revisions to Order 1, the electronic BLM should transition the applicant does not identify any specific submission requirement pertains to implementation of the APD and NOS e- APDs or NOSs in their waiver request, applications of wells not yet drilled. filing requirement through AFMSS II for then the waiver request will apply to all Moreover, we do not believe an at least one year to allow for more submissions made by the applicant until electronic submission requirement agency staff and end-user training and such time as the applicant is able to under this rulemaking will deter an until all technical flaws have been come into compliance with the operator from deciding to drill a well or resolved. electronic submission requirement. The group of wells. The BLM assessed whether the timeframe required to come into However, we do believe there are technical problems identified by the compliance is subject to BLM review as conditions or circumstances that may commenters related to the functionality part of the waiver approval process, prevent an operator from e-filing or of the system, and determined that the which addresses the BLM’s concerns would make e-filing so difficult to cases were instead related to user error about open-ended waiver approvals. perform that it would significantly delay rather than system error. After receiving The options provided through this an operator’s APD submission. For this comment, the BLM contacted its modification are expected to help example, an operator could encounter field offices and none reported having eliminate delays associated with technical problems, such as network or this issue with operators under their submitting multiple waiver operating system failures, that are jurisdiction. A revision to the final applications. delaying or preventing use of the e-filing Order was not made in response to this Another commenter stated that the system. The BLM would evaluate such comment. Order should define the term a case, and the circumstances associated ‘‘hardship’’ in order to promote with it, and determine whether it With regard to the commenter’s consistency in the application of the qualifies as a hardship. As previously recommendation to phase in the waiver provision across BLM Field stated in the proposed Order, however, requirement to use the e-filing system, Offices and limit the amount of the BLM cannot conceive of every the BLM has in fact phased in AMFSS unwarranted waiver approvals. The scenario that may qualify as a hardship, II over the past year and conducted commenter suggested that the BLM which is why the Order’s criteria are numerous training for operators and adopt language from the proposed broad. BLM staff. The following table Waste Prevention, Production Subject to illustrates the steps taken to phase out Royalties, and Resource Conservation Miscellaneous Comments the operation of the previous electronic rule (Waste Prevention rule) (81 FR The BLM received several comments permitting system, WIS, and phase in 6616) that states that an exemption will expressing concern with AFMSS II’s AFMSS II.

WIS PHASE-OUT SCHEDULE

BLM Office transitioned out of WIS Dates

Farmington, Vernal, Dickinson, Meeker, Grand Junction, Pinedale, Miles City, Great Falls ...... Jan–Feb 2016. Durango, Canon City, Roswell, Buffalo, Newcastle, Moab, Price, Kemmerer, Salt Lake, Rawlins, Lander, Rock Springs, An- Apr–May 2016. chorage, Milwaukee, Jackson, Casper, Worland, Tulsa, Bakersfield, Reno. Carlsbad/Hobbs ...... May–Jun 2016.

As noted in the proposed Order, the operators on how to use the APD table outlines when that training was BLM has already provided training module for AFMSS II. The following provided: opportunities to its staff and to

COMPLETED TRAINING SESSIONS

Location Dates Operator/Agent Participation

Operator WebEx: BLM National Training Center ...... Dec 2015 ...... Over 110 operators trained/47 companies. BLM Offices ...... Jan–May 2016 Over 230 BLM employees trained. Operator WebEx: BLM National Operations Center ...... Mar–May 2016 Over 150 operators trained.

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Because this training captured only a The requirements are estimated to submitting a waiver request that is specific group of individuals, the BLM pose relatively small compliance costs accepted by the BLM might also also provides permanent training (see discussion in the Affected Entities experience a small increase in costs materials for external users that are section) associated with administrative associated with preparing the waiver available at all times. Operators may compliance and access to the BLM’s e- request. We estimate the annual average access materials at: http:// filing system. In particular, operators costs per operator to be approximately www.ntc.blm.gov/krc/ that have not purchased access to the $3,920 per operator during the Order’s viewresource.php?courseID=869. In Internet or cannot access the Internet initial implementation period; however, addition, the BLM will provide one-on- due to the remoteness of their location we expect those costs to decrease one training (delivered through Webex, are likely to have to hire a permit agent quickly over time as operators become demonstrations, or classroom training) to e-file their APDs, acquire Internet familiar with the new AFMSS II. In whenever requested. The BLM has access depending on the coverage and total, we estimate that the amendments provided ample opportunities for the availability of service providers, or might pose annual administrative costs AFMSS II training and will continue to find another work-around solution. The of $2.2 million (about $1.9 million per do so. Therefore, the BLM did not make requirements may also result in cost year to the industry and $315,000 per changes to the Order in response to this savings to impacted operators by year to the BLM) during the initial comment. reducing the amount of time spent phases. We believe this is a generous One commenter expressed frustration correcting deficiencies in APDs. The estimate of costs given the relatively with a limitation in the BLM’s filing of APDs through the modernized high proportion of APDs already electronic system for paying APD fees. AFMSS II is expected to reduce the submitted using BLM’s existing e-filing If an operator prefers to make payments number of APD submissions that have systems. electronically and not by check to the deficiencies, and reduce the time it In addition, we estimate that the BLM, then operators must make their takes operators to correct any amendments will pose additional costs payments through pay.gov. After deficiencies that occur. Reduced APD for those operators that currently do not making a payment, the operator receives processing times will benefit impacted use the BLM’s e-filing system. a receipt number that is generated and operators in that they will be able to Specifically, those 73 entities 3 might must be entered into AFMSS II when an commence drilling and develop the face additional compliance costs of APD is submitted. AFMSS II will not mineral resources sooner. On Indian $1,200 per operator per year for Internet accept an APD unless the receipt lands, this will benefit tribes and Indian access, using the conservative number is entered into the system. The allottees since they are the direct assumption that they do not already problem encountered when making recipients of the royalties generated have such access. In total, these electronic payments is that pay.gov is from the minerals they own. compliance costs could be about currently able to accept credit card There will also be improved $90,000 per year for all 73 affected payments only. A $24,999 daily limit is transparency during the application and operators. The increased e-filing rates placed on payments made to the Federal review process for APDs that are e-filed. that the BLM has observed during the Government using a credit card. At a With the transition to AFMSS II, the rollout of the AFMSS II APD module cost of $9,500 per APD, operators are operator is able to check the status of suggest, however, that some of these able to pay the fee for only two APDs the APD, and the public is able to find operators would choose to e-file even per day. This could present a delay for and access information, all in one without the Order. operators that typically submit APDs in online location. Until all operators are We estimate that the amendments will bulk—20 to 50 APDs in some cases. The able to e-file, the BLM will continue to also benefit operators, since operators commenter recommended that the BLM maintain hard copy records for APDs are expected to receive cost savings provide a means to accept other forms submitted in hard copy, consistent with from more expedited APD processing. of payment commonly used by industry, records management and retention We estimate that submitting an APD via in particular Automated Clearing House requirements. the e-filing system rather than in hard- (ACH) payments. Affected Entities copy will reduce processing time by 27 The BLM recognizes this as a valid percent or 60 days. Furthermore, we concern, but it cannot address this issue All entities involved in the estimate the cost savings to the operator in this rulemaking. However, we are in exploration and production of crude oil of that increased efficiency to be $6,195 the process of evaluating how our and natural gas resources on Federal per APD. Given that the Order will current billing systems can be modified and Indian leases and that submit APDs impact about 1,500 APDs per year, we to accept ACH payments through or NOSs after the effective date of the estimate that the total cost savings could pay.gov. final Order will be subject to its be about $9.3 million per year. requirements. Together, the total benefits are III. Procedural Matters We estimate that the amendments will 2 expected to exceed the total costs, and Considerations impact about 484 operators, and that the Order is expected to result in total these operators might experience a The final Order requires that all cost savings of about $7 million per year small increase in administrative costs on aggregate. We expect these aggregate operators e-file NOSs and APDs. As a associated with submitting an APD and practical matter, however, it will have a benefits to translate to individual NOS to the BLM through the new APD operators. To illustrate, even if we greater impact on operators that do not module, due to the newness of the currently use the BLM’s e-filing system, system. Operators that comply by 3 According to BLM records, as of 2014, there as these changes do not alter the were approximately 411 WIS users, representing 85 requirements related to the content of an 2 We examined AFMSS data over a 5-year period percent of the operators that would be subject to the APD or NOS. Thus, operators that (from 2008 to 2012) and found that there were 484 requirements. By extension, we estimate that there already use the e-filing system will operators that completed wells on Federal and are 73 entities that did not use WIS, representing Indian leases. We believe that this pool of operators 15 percent of the operators that would be subject likely continue to use the system, is a good basis for an estimate about the entities that to the requirements. These 73 entities were not regardless of the Order, and therefore are likely to file APDs in the future and are, users of the e-filing system and will be most will not be impacted by the changes. therefore, subject to the requirements. impacted by the Order.

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assume an individual operator incurs this rule in a manner consistent with the Order’s requirements and could face costs as a result of the amendments these requirements. administrative burdens of about $3,920 because they do not currently use BLM’s per entity per year. In addition, up to 73 Regulatory Flexibility Act and Small existing e-filing system and have to small entities could face other Business Regulatory Enforcement learn the new system, such an operator compliance costs of $1,200 per entity Fairness Act would still be expected to receive a net per year. However, we estimate that the cost savings on a per-APD basis, given The Regulatory Flexibility Act (RFA), administrative and other compliance that the cost savings will exceed the as amended by the Small Business costs will be offset as a result of combined administrative and other Regulatory Enforcement Fairness Act improved APD processing times. We compliance costs. On a per APD basis, (SBREFA), generally requires an agency estimate that cost savings from faster we expect increased costs of $1,716 per to prepare a regulatory flexibility APD processing could be $6,195 per year—$516 in administrative burden/ analysis of any rule subject to notice APD. Moreover, we expect that the compliance costs, plus $1,200 in other and comment rulemaking requirements administrative burdens of the final compliance costs. Those costs are under the Administrative Procedure Order will lessen over time as operators expected to be offset, however, by cost Act, unless the agency certifies that the become more familiar with the BLM’s savings of $6,195 per APD. Therefore, rule will not have a significant new e-filing system. on net, an operator submitting one APD economic impact on a substantial Based on this review, we have per year would be expected to realize a number of small entities (see 5 U.S.C. determined that, although the revisions net reduction in costs of $4,479 ($6,195 601–612). Congress enacted the RFA to to the Order will impact a substantial minus $1,716). That expected net ensure that government regulations do number of small entities, it will not benefit would increase as an operator’s not unnecessarily or disproportionately have a significant economic impact on familiarity with the new e-filing system burden small entities. Small entities a substantial number of small entities. increases, as administrative costs would include small businesses, small Therefore, a regulatory flexibility be reduced by such familiarity. governmental jurisdictions, and small analysis is not required. As noted elsewhere in the preamble, not-for-profit enterprises. This Order is also not a major rule some operators are owned by individual The Small Business Administration under 5 U.S.C. 804(2) of the RFA, as Indian tribes. Those operators typically (SBA) has developed size standards to amended by the SBREFA. This Order develop the minerals owned by and for carry out the purposes of the Small will not have an annual effect on the the benefit of the tribe. We expect the Business Act and those size standards economy of $100 million or more. In impacts and benefits of these Order can be found in 13 CFR 121.201. The fact, the BLM estimates that the benefits revisions to apply to these operators to BLM reviewed the SBA classifications will exceed the costs, and that the the same extent and in the same manner and found that the SBA specifies rulemaking could result in net savings as to other entities operating on Federal different size standards for potentially of $7 million per year. Similarly, the or Indian lands. On net, we anticipate affected industries. The SBA defines a revisions to the Order will not cause a that the benefits of permitting-time small business in the crude petroleum major increase in costs or prices for efficiencies associated with 100% e- and natural gas extraction industry consumers, individual industries, filing, will significantly outweigh any (North American Industry Classification Federal, State, tribal, or local costs, especially as operators become System or NAICS code 211111) as one government agencies, or geographic more familiar with AFMSS II. with 1,250 or fewer employees. regions, nor do the revisions have However, for the natural gas liquid significant adverse effects on Regulatory Planning and Review extraction industry (NAICS code competition, employment, investment, (Executive Orders 12866 and 13563) 211112), it defines a small business as productivity, innovation, or the ability Executive Order 12866 provides that one with 750 or fewer employees. of U.S.-based enterprises to compete the Office of Information and Regulatory The BLM reviewed the SBA size with foreign-based enterprises. The Affairs in the Office of Management and standards for small businesses and the revisions to the Order are administrative Budget will review all significant rules. number of entities fitting those size in nature and only affect the method for The Office of Information and standards as reported by the U.S. submitting APDs and NOSs. The BLM Regulatory Affairs has determined that Census Bureau in the 2012 Economic prepared an economic threshold this rule is not significant. Census. The data show the number of analysis as part of the record, which is Executive Order 13563 reaffirms the firms with fewer than 100 employees available for review. principles of E.O. 12866 while calling and those with 100 employees or more for improvements in the nation’s (well below the SBA size standards for Unfunded Mandates Reform Act regulatory system to promote the respective industries). According to Under the Unfunded Mandates predictability, to reduce uncertainty, the available data, over 95% and 91% Reform Act (UMRA), agencies must and to use the best, most innovative, of firms in the crude petroleum and prepare a written statement about and least burdensome tools for natural gas extraction industry and the benefits and costs before issuing a achieving regulatory ends. The natural gas liquid extraction industry, proposed or final rule that may result in executive order directs agencies to respectively, have fewer than 100 aggregate expenditure by State, local, consider regulatory approaches that employees. Therefore, we would expect and tribal governments, or by the reduce burdens and maintain flexibility that an even higher percentage of firms private sector, of $100 million or more and freedom of choice for the public will be considered small according to in any one year. where these approaches are relevant, the SBA size standards. Thus, based on The revisions to the Order do not feasible, and consistent with regulatory the available information, the BLM contain a Federal mandate that may objectives. E.O. 13563 emphasizes believes that the vast majority of result in expenditures of $100 million or further that regulations must be based potentially affected entities will meet more for State, local, and tribal on the best available science and that the SBA small business definition. governments, in the aggregate, or for the the rulemaking process must allow for We examined the potential impacts of private sector, in any one year. Thus, public participation and an open the final Order and determined that up the revisions to the Order are also not exchange of ideas. We have developed to 484 small entities will be subject to subject to the requirements of sections

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202 or 205 of UMRA. This Order is also the BLM anticipates that there are into control number 1004–0137 after not subject to the requirements of nearly 40 tribes for which the BLM has this Order becomes effective. For section 203 of UMRA because the received or will foreseeably receive reference, the current burdens for revisions contain no regulatory APDs or NOSs in connection with the control number 1004–0137 (920,464 requirements that might significantly or development of tribal or allotted hours and $32.5 million in non-hour uniquely affect small governments, mineral resources. In advance of issuing costs) can be viewed at http:// because the revisions contain no the proposed Order, the BLM sent www.reginfo.gov/public/. After the requirements that apply to such letters to these 40 tribes extending an Order goes into effect, the BLM intends governments, nor do they impose invitation to consult on this rulemaking. to ask OMB to combine the obligations on them. When the BLM published the proposed requirements and burdens of the Order Order, BLM also sent letters of Executive Order 12630, Governmental with control number 1004–0137. invitation to consult to the larger group Actions and Interference With of tribes who own minerals, but do not Summary of Information Collection Constitutionally Protected Property play a direct role in the development of Requirements Rights (Takings) those resources. The BLM received one • Title: Approval of Operations (43 In accordance with Executive Order comment from a tribe recommending CFR part 3160). 12630, the BLM has determined that the that the BLM consider creating a similar • Forms: Form 3160–3, Application revisions to the Order will not have e-filing system for the tribes for the for Permit to Drill or Reenter; and significant takings implications. The development of tribal or allotted Sample Format for Notice of Staking revisions to the Order are not a mineral resources. The current e-filing (Attachment 1 to 2007 Onshore Order 1, governmental action capable of system is not restricted to the filing of 72 FR at 10338). interfering with constitutionally APDs on Federal lands. The system also • OMB Control Number: 1004–0213. protected property rights. Therefore, the allows for the submission of APDs on • Description of Respondents: revisions to the Order will not cause a Tribal or allotted lands. Therefore, there Holders of Federal and Indian (except taking of private property or require a already is a system in place to do what Osage Tribe) oil and gas leases. takings implication assessment under the tribe requested. Multiple attempts • Respondents’ Obligation: Required the Executive Order. were made to contact the Tribal to obtain or retain a benefit. representative, but were unsuccessful. • Frequency of Collection: On Executive Order 13132, Federalism occasion. The revisions to the Order will not Executive Order 12988, Civil Justice • Abstract: The Order will improve have federalism implications. The Reform the efficiency and transparency of the revisions will not have substantial This Order complies with the APD and NOS processes via e-filing, direct effects on the States, on the requirements of Executive Order 12988. and provide for waivers from e-filing relationship between the national Specifically, the revisions to the Order when appropriate. government and the States, or on the do not unduly burden the Federal court • Estimated Number of Responses: distribution of power and system and meet the requirements of 3,450 responses. responsibilities among the various sections 3(a) and 3(b)(2) of the Executive • Estimated Total Annual Burden levels of government. Therefore, in Order. The BLM has reviewed the Order Hours: 29,400 hours. accordance with Executive Order 13132, to eliminate drafting errors and Compliance with the new collection a Federalism Assessment is not ambiguity and the Order has been of information is required to obtain or required. written to minimize litigation and retain a benefit for the operators of provide clear legal standards. Federal and Indian onshore oil and gas Executive Order 13175, Consultation leases, or units or communitization Paperwork Reduction Act of 1995 and Coordination With Indian Tribal agreements that include Federal and Governments Overview Indian leases (except on the Osage The BLM evaluated possible effects of The Paperwork Reduction Act (PRA) 4 Reservation or the Crow Reservation, or the revisions to the Order on federally provides that an agency may not in certain other areas). The frequency of recognized Indian tribes. Since the BLM conduct or sponsor, and a person is not the collection is ‘‘on occasion.’’ approves proposed operations on all required to respond to, a collection of Discussion of the Collection Activities Indian onshore oil and gas leases (other information, unless it displays a than those of the Osage Tribe), the Order currently valid OMB control number. APDs: As revised here, section III.A. has the potential to affect Indian tribes, Collections of information include of Onshore Order 1 requires an operator particularly those tribes with tribally- requests and requirements that an to file an APD and associated owned and -operated oil and gas drilling individual, partnership, or corporation documents using the BLM’s electronic or exploration companies, which obtain information, and report it to a commerce application for oil and gas currently submit APDs and/or NOSs. Federal agency. See 44 U.S.C. 3502(3); permitting and reporting. In conformance with the Secretary’s 5 CFR 1320.3(c) and (k). NOSs: Section III.C. of Onshore Order policy on tribal consultation, the BLM This Order contains information 1 continues to provide that an NOS may extended an invitation to consult on the collection activities that require be submitted voluntarily. Section III.C. proposed Order to affected tribes, approval by the OMB under the PRA. also requires an operator who chooses to including tribes that either: (i) Own an The BLM included an information file an NOS to use the BLM’s electronic oil and gas company; or (ii) Own collection request in the proposed commerce application for oil and gas minerals for which the BLM has Order. OMB has approved the permitting and reporting. Except for the recently received an APD. Over the information collection for the final new e-filing requirement, this is an years, oil and gas development on Order under control number 1004–0213. existing collection in use without a Indian and allotted lands has been The BLM plans to seek OMB approval control number. The purpose of focused in Colorado, Montana, New to incorporate the burdens of this Order submitting an NOS is to provide an Mexico, North Dakota, Oklahoma, operator an opportunity to gather Texas, and Utah. Based on BLM records, 4 44 U.S.C. 3501–3521. information and better address site-

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specific resource concerns associated commenter’s recommendation that after operators may encounter a learning with a project while preparing an APD the Bureau grants a waiver, that waiver curve as they familiarize themselves package. needs to remain in force until no longer with the database system, like any new Waiver Requests: Section III.I. is a needed. The BLM did not accept the software system to which users must new provision that allows operators to commenter’s recommended change adapt. For that reason, the BLM intends request a waiver from the requirements because it would inject needless to adjust the existing 80 hours per in final sections III.A. and III.C. The uncertainty as to when the applicant response for APDs upwards to 88 hours request must be supported by an will start to use the electronic system per response. However, any costs or explanation of why the operator is not and would run counter to the Bureau’s delays in adapting to the e-filing system able to use the e-filing system, the efforts to bring efficiency and will be temporary, and may be subject operator’s plans for complying with the modernization to its permitting process. to a downward adjustment sometime in electronic submission requirement, and However, the BLM also recognizes that the future. a timeframe for achieving compliance. If there could be instances when not all The BLM has sponsored multiple the operator would like the waiver to APDs and NOSs could be identified at outreach strategies and training forums apply to a particular set of APDs or the time an applicant submits a waiver for its AFMSS clients, which should NOSs, then the request must identify request, which could lead to the further mitigate the extent of industry’s the APDs or NOSs to which the waiver operator submitting another waiver learning curve. These outreach efforts applies. If the request does not specify request at a later time if they are still include: a particular set of APDs or NOSs, the prevented from using the e-filing • Easily accessible Internet-based waiver will apply to all submissions system. The BLM believes this change resources, including user-guides, made by the operator during the will help eliminate the commenter’s audiovisual modules, user toolkits, and compliance timeframe included as part concerns about delays associated with FAQs that are available to operators or of the BLM’s waiver approval. In those submitting multiple waiver applications their agents, and exceptional cases, the BLM will review and, at the same time, addresses the • Live trainings provided to users to the operator’s request and determine Bureau’s concerns about open-ended allow for a more robust discussion with whether a waiver allowing the operator waiver approvals. the BLM on how to use the system. to submit hard copies is warranted. Although the BLM is requiring the The previously discussed table Between the proposed and the final submission of this additional entitled, ‘‘Completed Training Sessions’’ Order, the BLM added requirements for information, we do not believe this will outlines the locations where the BLM operators to submit their plans for result in additional burden hours. If an has sponsored these trainings. complying with the electronic operator is prevented from using the e- The following table itemizes the submission requirement and a filing system and requests a waiver, the estimated burdens of APDs, NOSs, and timeframe for achieving compliance, operator likely understands and has a waivers as a result of this Order. In the both of which are in addition to the reasonable idea as to what steps it needs case of APDs, these burdens are in requirement from the proposed Order to take and the length of time necessary addition to the 80 burden-hours per for operators to explain why they are to overcome the challenges that prevent response estimated under OMB control unable to use the e-filing system. In the its use of the system. Therefore, number 1004–0137, and the number of final Order, the BLM is also providing assessing those steps will not impose responses (3,000 per year) is less than an option for operators to request that any additional burden hours. the 5,000 responses currently its waiver approval apply to a specific Although the final Order directs the authorized under OMB control number set of APDs or NOSs. The operator’s method by which operators must submit 1004–0137. Both the number of waiver request would need to identify an APD or NOS, it does not direct responses and the burden hours will be which APDs or NOSs that the BLM’s operators to obtain, maintain, retain, or adjustments to that control number. approval would apply. report any more information than what For NOSs and waiver requests, these As previously discussed, the BLM is already required by the existing burdens are new, and will be program made these changes in response to a Onshore Order 1. The BLM recognizes changes for control number 1004–0137.

Type of Number of Hours per response responses response Total hours

A. B. C. D.

Application to Drill or Re-Enter 43 CFR 3162.3–1 and Section III.A. of Onshore Order 1 Form 3160–3 ...... 5 3,000 8 24,000 Notice of Staking Section III.C. of Onshore Order 1 ...... 6 300 16 4,800 Waiver Request Section III.I. of Onshore Order 1 ...... 7 150 4 600

Totals ...... 3,450 28 29,400 5 This will be an adjustment in the number of responses for APDs in control number 1004–0137. At present, control number 1004–0137 au- thorizes the BLM to collect 5,000 APDs annually. 6 Estimated as 10 percent of the roughly 3,000 APDs filed annually. 7 Estimated as 10 percent of the 1,500 APDs likely to be impacted by the final Order. BLM data show that half of APDs were already e-filed through the WIS.

National Environmental Policy Act analyzed the revisions to the Order and administrative, financial, legal, The revisions to the Order do not determined it meets the criteria set forth technical or procedural nature . . ..’’ constitute a major Federal action in 43 CFR 46.210(i) for a Departmental Therefore, it is categorically excluded significantly affecting the quality of the Categorical Exclusion in that the from environmental review under the human environment. The BLM has revisions to the Order are ‘‘. . . of an National Environmental Policy Act,

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pursuant to 43 CFR 46.205 and respects the interests of persons with documents in the BLM Field Office having 46.210(c) and (i). The BLM also has ownership or other legally recognized jurisdiction over the application. analyzed this Order to determine if it interests in land or other natural * * * * * involves any of the extraordinary resources; properly accommodates local circumstances that would require an participation in the Federal decision- C. Notice of Staking Option environmental assessment or an making process; and provides that the Before filing an APD or Master environmental impact statement, as set programs, projects, and activities are Development Plan, the operator may file a forth in 43 CFR 46.215, and concluded consistent with protecting public health Notice of Staking with the BLM. The purpose that this Federal action does not involve and safety. of the Notice of Staking is to provide the any extraordinary circumstances. operator with an opportunity to gather Authors information to better address site-specific Data Quality Act resource concerns while preparing the APD The principal authors of this final In developing this Order, we did not package. This may expedite approval of the Order are Cathy Cook and Michael conduct or use a study, experiment, or APD. On or after March 13, 2017, if an survey requiring peer review under the Riches, Division of Fluid Minerals, and operator chooses to file an NOS, the operator Data Quality Act (Pub. L. 106–554, app. Bryce Barlan and James Tichenor, must file the Notice of Staking using the BLM’s electronic commerce application for C 515, 114 Stat. 2763, 2763A–153 to Division of Business Management, oil and gas permitting and reporting. 154). assisted by Mark Purdy and Jean Sonneman, Division of Regulatory Attachment I, Sample Format for Notice of Executive Order 13211, Actions Affairs, Dylan Fuge, Counselor to the Staking, provides the information required Concerning Regulations That Director, and the Department of the for the Notice of Staking option. Prior to Significantly Affect Energy Supply, Interior’s Office of the Solicitor. March 13, 2017, an operator may file a Notice Distribution, or Use of Staking in the BLM Field Office having List of Subjects in 43 CFR Part 3160 jurisdiction. Under Executive Order 13211, For Federal lands managed by other agencies are required to prepare and Administrative practice and Surface Managing Agencies, the BLM will submit to OMB a Statement of Energy procedure, Government contracts, provide a copy of the Notice of Staking to the Effects for significant energy actions. Indian-lands, Mineral royalties, Oil and appropriate Surface Managing Agency office. This Statement is to include a detailed gas exploration, Penalties, Public In Alaska, when a subsistence stipulation is statement of ‘‘any adverse effects of lands—mineral resources, Reporting part of the lease, the operator must also send energy supply, distribution, or use and recordkeeping requirements. a copy of the Notice of Staking to the appropriate Borough and/or Native Regional (including a shortfall in supply, price Dated: December 21, 2016. increases, and increase use of foreign or Village Corporation. Amanda Leiter, supplies)’’ for the action and reasonable Within 10 days of receiving the Notice of alternatives and their effects. Acting Assistant Secretary, Land and Staking, the BLM or the FS will review it for Section 4(b) of Executive Order 13211 Minerals Management. required information and schedule a date for the onsite inspection. The onsite inspection defines a ‘‘significant energy action’’ as ■ For reasons set out in the preamble, ‘‘any action by an agency (normally will be conducted as soon as weather and the Bureau of Land Management other conditions permit. The operator must published in the Federal Register) that amends the appendix following the stake the proposed drill pad and ancillary promulgates or is expected to lead to the regulatory text of the final rule facilities, and flag new or reconstructed promulgation of a final rule or published in the Federal Register at 72 access routes, before the onsite inspection. regulation, including notices of inquiry, FR 10308 at 10328 (March 7, 2007), The staking must include a center stake for advance notices of proposed corrected on March 9, 2007 (72 FR the proposed well, two reference stakes, and rulemaking, and notices of proposed 10608), effective March 7, 2007, as a flagged access road centerline. Staking rulemaking: (1) (i) That is a significant follows: activities are considered casual use unless regulatory action under Executive Order the particular activity is likely to cause more Note: This appendix does not appear in the than negligible disturbance or damage. Off- 12866 or any successor Order, and (ii) BLM regulations in 43 CFR part 3160. is likely to have a significant adverse road vehicular use for the purposes of staking effect on the supply, distribution, or use is casual use unless, in a particular case, it Appendix—Text of Oil and Gas is likely to cause more than negligible of energy; or (2) that is designated by the Onshore Order Administrator of the Office of disturbance or damage, or otherwise Information and Regulatory Affairs Amend the Onshore Oil and Gas Order prohibited. (OIRA) as a significant energy action.’’ Number 1 by revising sections III.A, III.C, and On non-NFS lands, the BLM will invite the Surface Managing Agency and private surface The revisions to the Order will not be III.E, and adding section III.I to read as follows: owner, if applicable, to participate in the a significant regulatory action under onsite inspection. If the surface is privately Executive Order 12866 as they will not Onshore Oil and Gas Order Number 1 owned, the operator must furnish to the BLM have a significant adverse effect on the * * * * * the name, address, and telephone number of supply, distribution, or use of energy. III. Application for Permit to Drill the surface owner if known. All parties who The revisions to the Order have also not attend the onsite inspection will jointly been designated by the Administrator of * * * * * develop a list of resource concerns that the OIRA as a significant energy action. A. Where to File operator must address in the APD. The operator will be provided a list of these Executive Order 13352, Facilitation of On or after March 13, 2017, the operator concerns either during the onsite inspection must file an APD and associated documents Cooperative Conservation or within 7 days of the onsite inspection. using the BLM’s electronic commerce Surface owner concerns will be considered to The BLM determined that this Order application for oil and gas permitting and involves changes to BLM processes. In reporting. The operator may contact the local the extent practical within the law. Failure to accordance with Executive Order 13352, BLM Field Office for information on how to submit an APD within 60 days of the onsite this Order will not impede facilitating gain access to the electronic commerce inspection will result in the Notice of Staking cooperative conservation. The Order application. Prior to March 13, 2017, an being returned to the operator. takes appropriate account of and operator may file an APD and associated * * * * *

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E. APD Posting and Processing additional information necessary to complete unable to file these documents electronically. 1. Posting the APD, or the APD may be returned to the In the request, the operator must explain the operator. reason(s) that prevent its use of the electronic The BLM and the Federal Surface b. Within 30 days after the operator has system, plans for complying with the Managing Agency, if other than the BLM, submitted a complete application, including electronic submission requirement, and a must provide at least 30 days public notice incorporating any changes that resulted from timeframe for compliance. If the request before the BLM may approve an APD or the onsite inspection, the BLM will: applies to a particular set of APDs or Notices Master Development Plan on a Federal oil 1. Approve the application, subject to of Staking, then the request must identify the and gas lease. Posting is not required for an reasonable Conditions of Approval, if the APDs or Notices of Staking to which the APD for an Indian oil and gas lease or appropriate requirements of the NEPA, waiver applies. The waiver request is subject agreement. The BLM will post information National Historic Preservation Act, to BLM approval. If the request does not about the APD or Notice of Staking for Endangered Species Act, and other specify a particular set of APDs or Notices of Federal oil and gas leases to the Internet and applicable law have been met and, if on NFS Staking, then the waiver will apply to all in an area of the BLM Field Office having lands, the FS has approved the Surface Use submissions made by the operator during the jurisdiction that is readily accessible to the Plan of Operations; compliance timeframe included as part of the public. Posting to the Internet under this 2. Notify the operator that it is deferring BLM’s waiver approval. The BLM will not provision will not be required until after action on the permit; or consider an APD or Notice of Staking that the March 13, 2017. If the surface is managed by 3. Deny the permit if it cannot be approved operator did not submit through the a Federal agency other than the BLM, that and the BLM cannot identify any actions that electronic system, unless the BLM approves agency also is required to post the notice for the operator could take that would enable the a waiver. at least 30 days. This would include the BIA BLM to issue the permit or the FS to approve where the surface is held in trust but the the Surface Use Plan of Operations, if [FR Doc. 2016–31752 Filed 1–9–17; 8:45 am] mineral estate is federally owned. The applicable. BILLING CODE 4310–84–P posting is for informational purposes only c. The notice of deferral in paragraph (b)(2) and is not an appealable decision. The of this section must specify: purpose of the posting is to give any 1. Any action the operator could take that DEPARTMENT OF TRANSPORTATION interested party notification that a Federal would enable the BLM (in consultation with approval of mineral operations has been the FS if applicable) to issue a final decision requested. The BLM or the FS will not post Federal Motor Carrier Safety on the application. The FS will notify the Administration confidential information. applicant of any action the applicant could Reposting of the proposal may be necessary take that would enable the FS to issue a final if the posted location of the proposed well is: decision on the Surface Use Plan of 49 CFR Parts 383 and 384 a. Moved to a different quarter-quarter Operations on NFS lands. Actions may section; [FMCSA–2007–27748] include, but are not limited to, assistance b. Moved more than 660 feet for lands that with: RIN 2126–AB66 are not covered by a Public Land Survey; or (A) Data gathering; and c. If the BLM or the FS determine that the (B) Preparing analyses and documents. Minimum Training Requirements for move is substantial. 2. If applicable, a list of actions that the Entry-Level Commercial Motor Vehicle 2. Processing BLM or the FS need to take before making Operators The timeframes established in this a final decision on the application, including subsection apply to both individual APDs appropriate analysis under NEPA or other AGENCY: Federal Motor Carrier Safety and to the multiple APDs included in Master applicable law and a schedule for completing Administration (FMCSA), DOT. these actions. Development Plans and to leases of Indian ACTION: Final rule; correction. minerals as well as leases of Federal d. The operator has 2 years from the date minerals. of the notice under paragraph (c)(1) of this SUMMARY: FMCSA is correcting a final If there is enough information to begin section to take the action specified in the rule that appeared in the Federal processing the application, the BLM (and the notice. If the appropriate analyses required FS if applicable) will process it up to the by NEPA, National Historic Preservation Act, Register of December 8, 2016 (81 FR point that missing information or Endangered Species Act, and other 88732), regarding the establishment of uncorrected deficiencies render further applicable laws have been completed, the new minimum training standards for processing impractical or impossible. BLM (and the FS if applicable), will make a certain individuals applying for their a. Within 10 days of receiving an decision on the permit and the Surface Use commercial driver’s license (CDL) for application, the BLM (in consultation with Plan of Operations within 10 days of the first time; an upgrade of their CDL the FS if the application concerns NFS lands) receiving a report from the operator (e.g., a Class B CDL holder seeking a will notify the operator as to whether or not addressing all of the issues or actions Class A CDL); or a hazardous materials the application is complete. The BLM will specified in the notice under paragraph (c)(1) (H), passenger (P), or school bus (S) request additional information and correction of this section and certifying that all required of any material submitted, if necessary, in the actions have been taken. If the operator has endorsement for the first time. 10-day notification. If an onsite inspection not completed the actions specified in the DATES: The effective date of this has not been performed, the applicant will be notice within 2 years from the operator’s correction is February 6, 2017. notified that the application is not complete. receipt of the paragraph (c)(1) notice, the FOR FURTHER INFORMATION CONTACT: Mr. Within 10 days of receiving the application, BLM will deny the permit. Richard Clemente, Driver and Carrier the BLM, in coordination with the operator e. For APDs on NFS lands, the decision to and Surface Managing Agency, including the approve a Surface Use Plan of Operations or Operations (MC–PSD) Division, private surface owner in the case of split Master Development Plan may be subject to FMCSA, 1200 New Jersey Ave SE., estate minerals, will schedule a date for the FS appeal procedures. The BLM cannot Washington, DC 20590–0001, by onsite inspection (unless the onsite approve an APD until the appeal of the telephone at 202–366–4325, or by email inspection has already been conducted as Surface Use Plan of Operations is resolved. at [email protected]. part of a Notice of Staking). The onsite * * * * * SUPPLEMENTARY INFORMATION: The inspection will be held as soon as practicable FMCSA makes minor corrections to fix based on participants’ schedules and weather I. Waiver From Electronic Submission conditions. The operator will be notified at Requirements errors in the final rule published on the onsite inspection of any additional The operator may request a waiver from December 8, 2016. In instruction 10, deficiencies that are discovered during the the electronic submission requirement for an amending § 383.73, the Agency corrects inspection. The operator has 45 days after APD or Notice of Staking if compliance ‘‘(b)(10)’’ to read ‘‘(b)(11)’’ in both the receiving notice from the BLM to provide any would cause hardship or the operator is instruction and associated regulatory

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text. Additionally in § 383.73, FMCSA § 384.236 Entry-level driver training Comments must be received at the changes paragraph ‘‘(e)(8)’’ to read provider notification. following address no later than 4:30 ‘‘(e)(9)’’ in both the instruction and The State must meet the entry-level p.m., A.l.t., January 25, 2017. associated regulatory text. In instruction driver training provider notification ADDRESSES: You may submit comments 13, amending Part 383, the Agency requirement of § 383.73(p) of this on this document, identified by NOAA– changes ‘‘§ 384.235’’ to read chapter. NMFS–2015–0118, by any of the ‘‘§ 384.236.’’ These changes are required Issued under authority delegated in 49 CFR following methods: because as written, the instruction and 1.87 on: December 27, 2016. • Electronic Submission: Submit all associated regulatory text would have Larry W. Minor, electronic public comments via the deleted the recent changes published in Associate Administrator of Policy. Federal e-Rulemaking Portal. Go to the Federal Register on December 5, www.regulations.gov/ [FR Doc. 2016–31784 Filed 1–9–17; 8:45 am] 2016, in the final rule titled #!docketDetail;D=NOAA-NMFS-2015- ‘‘Commercial Driver’s License Drug and BILLING CODE 4910–EX–P 0118, click the ‘‘Comment Now!’’ icon, Alcohol Clearinghouse’’ (Clearinghouse) complete the required fields, and enter (81 FR 87686, RIN 2126–AB18, Docket or attach your comments. No. FMCSA–2011–0031). FMCSA DEPARTMENT OF COMMERCE • Mail: Submit written comments to makes these corrections in this Glenn Merrill, Assistant Regional document to ensure the original National Oceanic and Atmospheric Administrator, Sustainable Fisheries language in the Clearinghouse final rule Administration Division, Alaska Region NMFS, Attn: remains in effect. Ellen Sebastian. Mail comments to P.O. 50 CFR Part 679 ■ Box 21668, Juneau, AK 99802–1668. Therefore, in FR Doc. 2016–28012 Instructions: Comments sent by any appearing on page 88803 in the Federal [Docket No. 150916863–6211–02] other method, to any other address or Register of December 8, 2016, the individual, or received after the end of following corrections are made: RIN 0648–XF108 the comment period, may not be considered by NMFS. All comments § 383.73 [Corrected] Fisheries of the Exclusive Economic received are a part of the public record ■ Zone Off Alaska; Inseason Adjustment 1. On page 88803, in the first column, and will generally be posted for public to the 2017 Bering Sea and Aleutian in Part 383, amendatory instruction 10 viewing on www.regulations.gov Islands Pollock, Atka Mackerel, and is corrected to read as follows: without change. All personal identifying Pacific Cod Total Allowable Catch ‘‘10. Amend § 383.73 by revising paragraph information (e.g., name, address), Amounts (b)(3) introductory text and paragraph confidential business information, or (b)(3)(ii) and by adding paragraphs (b)(11), AGENCY: National Marine Fisheries otherwise sensitive information (e)(9), and (p) to read as follows:’’ Service (NMFS), National Oceanic and submitted voluntarily by the sender will The corrected paragraphs (b)(11) and Atmospheric Administration (NOAA), be publicly accessible. NMFS will (e)(9) read as follows’’ Commerce. accept anonymous comments (enter ‘‘N/ ACTION: Temporary rule; inseason A’’ in the required fields if you wish to § 383.73 State procedures. adjustment; request for comments. remain anonymous). * * * * * FOR FURTHER INFORMATION CONTACT: SUMMARY: NMFS is adjusting the 2017 (b) * * * Mary Furuness, 907–586–7228. total allowable catch (TAC) amounts for SUPPLEMENTARY INFORMATION: NMFS (11) Beginning on February 7, 2020, the Bering Sea and Aleutian Islands manages the groundfish fishery in the not conduct a skills test of an applicant (BSAI) pollock, Atka mackerel, and BSAI exclusive economic zone for a Class A or Class B CDL, or a Pacific cod fisheries. This action is according to the Fishery Management passenger (P) or school bus (S) necessary because NMFS has Plan for Groundfish of the Bering Sea endorsement until the State verifies determined these TACs are incorrectly and Aleutian Islands Management Area electronically that the applicant specified, and will ensure the BSAI (FMP) prepared by the North Pacific completed the training prescribed in pollock, Atka mackerel, and Pacific cod Fishery Management Council under subpart F of part 380 of this subchapter. TACs are the appropriate amounts based authority of the Magnuson-Stevens * * * * * on the best available scientific Fishery Conservation and Management (e) * * * information. Also, NMFS is announcing Act. Regulations governing fishing by the Aleutian Islands Catcher Vessel (CV) (9) Beginning on February 7, 2020, not U.S. vessels in accordance with the FMP Harvest Set-Aside and Bering Sea Trawl appear at subpart H of 50 CFR part 600 issue an upgrade to a Class A or Class CV A-Season Sector Limitation will not B CDL, or a passenger (P), school bus and 50 CFR part 679. be in effect for 2017, and TACs in this The final 2016 and 2017 harvest (S), or hazardous materials (H) inseason adjustment will apply for endorsement, unless the applicant has specifications for groundfish in the 2017. This action is consistent with the BSAI (81 FR 14773, March 18, 2016) set completed the training required by goals and objectives of the Fishery subpart F of part 380 of this subchapter. the 2017 Aleutian Island (AI) pollock Management Plan for Groundfish of the TAC at 19,000 metric tons (mt), the 2017 § 384.235 [Corrected] Bering Sea and Aleutian Islands Bering Sea (BS) pollock TAC at Management Area. 1,340,643 mt, the 2017 BSAI Atka ■ 2. On page 88803, in the third column, DATES: Effective 1200 hours, Alaska mackerel TAC at 55,000 mt, the 2017 BS in Part 384, amendatory instruction 13 local time (A.l.t.), January 9, 2017, until Pacific cod TAC at 238,680 mt, and the is corrected to read as follows: the effective date of the final 2017 and AI Pacific cod TAC at 12,839 mt. Also ‘‘13. Add § 384.236 to subpart B to read as 2018 harvest specifications for BSAI set was an AI pollock ABC of 36,664 follows:’’ groundfish, unless otherwise modified and a Western Aleutian Island limit for The corrected section reads as or superseded through publication of a Pacific cod at 26.3 percent of the AI follows: notification in the Federal Register. Pacific cod TAC. In December 2016, the

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North Pacific Fishery Management CV Harvest Set-Aside, and Unrestricted In accordance with § 679.25(a)(1)(iii), Council (Council) recommended a 2017 Fishery, as well as the Bering Sea Trawl (a)(2)(i)(B), and (a)(2)(iv), the BS pollock TAC of 1,345,000 mt, which CV A-Season Sector Limitation will be Administrator, Alaska Region, NMFS is more than the 1,340,643 mt TAC in effect for 2017. NMFS received (Regional Administrator), has established by the final 2016 and 2017 notification from Adak and Atka that determined that, based on the November harvest specifications for groundfish in neither will be processing Aleutian 2016 SAFE report for this fishery, the the BSAI. The Council also Islands Pacific cod in 2017. Therefore, current BSAI pollock, Atka mackerel, recommended decreasing the AI pollock the Pacific cod TACs in Table 9 of this and Pacific cod TACs are incorrectly ABC to 36,061 mt from 36,664 mt. This inseason adjustment will be effective for specified. Pursuant to § 679.25(a)(1)(iii), in turn reduces some area and seasonal 2017 and the harvest limits in Table 8A the Regional Administrator is adjusting limits for AI pollock. The Council also (81 FR 84434, November 23, 2016) will the 2017 BS pollock TAC to 1,345,000 recommended a 2017 BSAI Atka not apply in 2017. mt, the 2017 BSAI Atka mackerel TAC mackerel TAC of 65,000 mt, which is Steller sea lions occur in the same to 65,000, the 2017 BS Pacific cod TAC more than the 55,000 mt TAC location as the pollock, Atka mackerel, to 223,704 mt, and the AI Pacific cod established by the final 2016 and 2017 and Pacific cod fisheries and are listed TAC to 15,695 mt. Therefore, Table 2 of harvest specifications for groundfish in as endangered under the Endangered the final 2016 and 2017 harvest the BSAI. Furthermore, the Council Species Act (ESA). Pollock, Atka specifications for groundfish in the recommended a 2017 BS Pacific cod mackerel, and Pacific cod are a BSAI (81 FR 14773, March 18, 2016) is TAC of 223,704 mt, and an AI Pacific principal prey species for Steller sea revised consistent with this adjustment. cod TAC of 15,695 mt, which is less lions in the BSAI. The seasonal than the BS Pacific cod TAC of 238,680 apportionment of pollock, Atka Pursuant to § 679.20(a)(5)(i), Table 5 mt, and more than the AI Pacific cod mackerel, and Pacific cod harvest is of the final 2016 and 2017 harvest TAC of 12,839 mt established by the necessary to ensure the groundfish specifications for groundfish in the final 2016 and 2017 harvest fisheries are not likely to cause jeopardy BSAI (81 FR 14773, March 18, 2016) is specifications for groundfish in the of extinction or adverse modification of revised for the 2017 BS allocations of BSAI. In addition to changes in TACs, critical habitat for Steller sea lions. pollock TAC to the directed pollock the Council recommended changing the NMFS published regulations and the fisheries and to the Community percentage limit of Western Aleutian revised harvest limit amounts for Atka Development Quota (CDQ) directed Island Pacific cod to 25.6 percent of the mackerel, Pacific cod, and pollock fishing allowances consistent with this AI Pacific cod ABC, from the 26.3 fisheries to implement Steller sea lion adjustment. The Steller sea lion percent of the AI Pacific cod TAC. The protection measures to insure that protection measure final rule (79 FR Council’s recommended 2017 TACs, groundfish fisheries of the BSAI are not 70286, November 25, 2014), sets harvest and the area and seasonal likely to jeopardize the continued limits for pollock in the A season apportionments, are based on the Stock existence of the western distinct (January 20 to June 10) in Areas 543, Assessment and Fishery Evaluation population segment of Steller sea lions 542, and 541, see report (SAFE), dated November 2016, or destroy or adversely modify their § 679.20(a)(5)(iii)(B)(6). In Area 541, the which NMFS has determined is the best designated critical habitat (79 FR 70286, 2017 A season pollock harvest limit is available scientific information for these November 25, 2014). The regulations at no more than 30 percent, or 10,818 mt, fisheries. § 679.20(a)(5)(i) specify how the BS of the AI ABC of 36,061 mt. In Area 542, Amendment 113 to the FMP (81 FR pollock TAC will be apportioned. The the 2017 A season pollock harvest limit 84434, November 23, 2016) and regulations at § 679.20(a)(7) specify how is no more than 15 percent, or 5,409 mt, regulations at § 679.20(a)(7)(viii) require the BSAI Pacific cod TAC will be of the AI ABC of 36,061 mt. In Area 543, NMFS to announce whether the apportioned. The regulations at the 2017 A season pollock harvest limit Aleutian Islands incidental catch § 679.20(a)(8) specify how the BSAI is no more than 5 percent, or 1,803 mt, allowance, directed fishing allowance, Atka mackerel TAC will be apportioned. of the AI pollock ABC of 36,061 mt.

TABLE 5—FINAL 2017 ALLOCATIONS OF POLLOCK TACS TO THE DIRECTED POLLOCK FISHERIES AND TO THE CDQ DIRECTED FISHING ALLOWANCES (DFA) 1 [Amounts are in metric tons]

2017 A season 1 2017 B season 1 Area and sector 2017 allocations A season DFA SCA harvest limit 2 B season DFA

Bering Sea subarea TAC 1 ...... 1,345,000 n/a n/a n/a CDQ DFA ...... 134,500 60,525 37,660 73,975 ICA 1 ...... 47,210 n/a n/a n/a Total Bering Sea non-CDQ DFA ...... 1,163,291 523,481 325,721 639,810 AFA Inshore ...... 581,645 261,740 162,861 319,905 AFA Catcher/Processors 3 ...... 465,316 209,392 130,289 255,924 Catch by C/Ps ...... 425,764 191,594 n/a 234,170 Catch by CVs 3 ...... 39,552 17,798 n/a 21,754 Unlisted C/P Limit 4 ...... 2,327 1,047 n/a 1,280 AFA Motherships ...... 116,329 52,348 32,572 63,981 Excessive Harvesting Limit 5 ...... 203,576 n/a n/a n/a Excessive Processing Limit 6 ...... 348,987 n/a n/a n/a Aleutian Islands subarea ABC ...... 36,061 n/a n/a n/a Aleutian Islands subarea TAC 1 ...... 19,000 n/a n/a n/a CDQ DFA ...... 1,900 760 n/a 1,140 ICA ...... 2,400 1,200 n/a 1,200 Aleut Corporation ...... 14,700 12,464 n/a 2,236

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TABLE 5—FINAL 2017 ALLOCATIONS OF POLLOCK TACS TO THE DIRECTED POLLOCK FISHERIES AND TO THE CDQ DIRECTED FISHING ALLOWANCES (DFA) 1—Continued [Amounts are in metric tons]

2017 A season 1 2017 B season 1 Area and sector 2017 allocations A season DFA SCA harvest limit 2 B season DFA

Area harvest limit 7 541 ...... 10,818 n/a n/a n/a 542 ...... 5,409 n/a n/a n/a 543 ...... 1,803 n/a n/a n/a Bogoslof District ICA 8 ...... 500 n/a n/a n/a 1 Pursuant to § 679.20(a)(5)(i)(A), the BS subarea pollock, after subtracting the CDQ DFA (10 percent) and the ICA (3.9 percent), is allocated as a DFA as follows: Inshore sector—50 percent, catcher/processor sector (C/P)—40 percent, and mothership sector—10 percent. In the BS subarea, 45 percent of the DFA is allocated to the A season (January 20–June 10) and 55 percent of the DFA is allocated to the B season (June 10–November 1). Pursuant to § 679.20(a)(5)(iii)(B)(2)(i) and (ii), the annual AI pollock TAC, after subtracting first for the CDQ directed fishing al- lowance (10 percent) and second the ICA (2,400 mt), is allocated to the Aleut Corporation for a pollock directed fishery. In the AI subarea, the A season is allocated 40 percent of the ABC and the B season is allocated the remainder of the pollock directed fishery. 2 In the BS subarea, no more than 28 percent of each sector’s annual DFA may be taken from the SCA before April 1. 3 Pursuant to § 679.20(a)(5)(i)(A)(4), not less than 8.5 percent of the DFA allocated to listed catcher/processors shall be available for harvest only by eligible catcher vessels delivering to listed catcher/processors. 4 Pursuant to § 679.20(a)(5)(i)(A)(4)(iii), the AFA unlisted catcher/processors are limited to harvesting not more than 0.5 percent of the catcher/ processors sector’s allocation of pollock. 5 Pursuant to § 679.20(a)(5)(i)(A)(6), NMFS establishes an excessive harvesting share limit equal to 17.5 percent of the sum of the non-CDQ pollock DFAs. 6 Pursuant to § 679.20(a)(5)(i)(A)(7), NMFS establishes an excessive processing share limit equal to 30.0 percent of the sum of the non-CDQ pollock DFAs. 7 Pursuant to § 679.20(a)(5)(iii)(B)(6), NMFS establishes harvest limits for pollock in the A season in Area 541 no more than 30 percent, in Area 542 no more than 15 percent, and in Area 543 no more than 5 percent of the Aleutian Islands pollock ABC. 8 The Bogoslof District is closed by the final harvest specifications to directed fishing for pollock. The amounts specified are for ICA only and are not apportioned by season or sector. Note: Seasonal or sector apportionments may not total precisely due to rounding.

Pursuant to § 679.20(a)(8), Table 7 of revised for the 2017 seasonal and spatial Atka mackerel TAC consistent with this the final 2016 and 2017 harvest allowances, gear shares, CDQ reserve, adjustment. specifications for groundfish in the incidental catch allowance, and BSAI (81 FR 14773, March 18, 2016) is Amendment 80 allocation of the BSAI

TABLE 7—FINAL 2017 SEASONAL AND SPATIAL ALLOWANCES, GEAR SHARES, CDQ RESERVE, INCIDENTAL CATCH ALLOWANCE, AND AMENDMENT 80 ALLOCATIONS OF THE BSAI ATKA MACKEREL TAC [Amounts are in metric tons]

2017 allocation by area

Sector 1 Season 234 Eastern Aleu- Central Western tian District/ Aleutian Aleutian Bering Sea District 5 District

TAC ...... n/a ...... 34,500 18,000 12,500 CDQ reserve ...... Total ...... 3,692 1,926 1,338 A ...... 1,846 963 669 Critical Habitat ...... n/a 578 401 B ...... 1,846 963 669 Critical Habitat ...... n/a 578 401 Non-CDQ TAC ...... n/a ...... 30,809 16,074 11,163 ICA ...... Total ...... 1,000 75 20 Jig 6 ...... Total ...... 149 0 0 BSAI trawl limited access ...... Total ...... 2,966 1,600 0 A ...... 1,483 800 0 Critical Habitat ...... n/a 480 0 B ...... 1,483 800 0 Critical Habitat ...... n/a 480 0 Amendment 80 sectors ...... Total ...... 26,694 14,399 11,143 A ...... 13,347 7,200 5,571 B ...... 13,347 7,200 5,571 Alaska Groundfish Cooperative ...... Total 6 ...... 15,191 8,552 6,853 A ...... 7,596 4,276 3,427 Critical Habitat ...... n/a 2,566 2,056 B ...... 7,596 4,276 3,427 Critical Habitat ...... n/a 2,566 2,056 Alaska Seafood Cooperative ...... Total 6 ...... 11,502 5,847 4,290 A ...... 5,751 2,924 2,145 Critical Habitat ...... n/a 1,754 1,287 B ...... 5,751 2,924 2,145

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TABLE 7—FINAL 2017 SEASONAL AND SPATIAL ALLOWANCES, GEAR SHARES, CDQ RESERVE, INCIDENTAL CATCH ALLOWANCE, AND AMENDMENT 80 ALLOCATIONS OF THE BSAI ATKA MACKEREL TAC—Continued [Amounts are in metric tons]

2017 allocation by area

Sector 1 Season 234 Eastern Aleu- Central Western tian District/ Aleutian Aleutian Bering Sea District 5 District

Critical Habitat ...... n/a 1,754 1,287 1 Section 679.20(a)(8)(ii) allocates the Atka mackerel TACs, after subtracting the CDQ reserves, jig gear allocation, and ICAs to the Amend- ment 80 and BSAI trawl limited access sectors. The allocation of the ITAC for Atka mackerel to the Amendment 80 and BSAI trawl limited ac- cess sectors is established in Table 33 to part 679 and § 679.91. The CDQ reserve is 10.7 percent of the TAC for use by CDQ participants (see §§ 679.20(b)(1)(ii)(C) and 679.31). 2 Sections 679.20(a)(8)(ii)(A) and 679.22(a) establish temporal and spatial limitations for the Atka mackerel fishery. 3 The seasonal allowances of Atka mackerel are 50 percent in the A season and 50 percent in the B season. 4 Section 679.23(e)(3) authorizes directed fishing for Atka mackerel with trawl gear during the A season from January 20 to June 10 and the B season from June 10 to December 31. 5 Section 679.20(a)(8)(ii)(C)(1)(i) limits no more than 60 percent of the annual TACs in Areas 542 and 543 to be caught inside of critical habi- tat; (a)(ii)(C)(1)(ii) equally divides the annual TACs between the A and B seasons as defined at § 679.23(e)(3); and (a)(8)(ii)(C)(2) requires the TAC in Area 543 shall be no more than 65 percent of ABC. 6 Section 679.20(a)(8)(i) requires that up to 2 percent of the Eastern Aleutian District and the Bering Sea subarea TAC be allocated to jig gear after subtracting the CDQ reserve and ICA. The amount of this allocation is 0.5 percent. The jig gear allocation is not apportioned by season. Note: Seasonal or sector apportionments may not total precisely due to rounding.

Pursuant to § 679.20(a)(7), Table 9 of BSAI (81 FR 14773, March 18, 2016) is cod TAC consistent with this the final 2016 and 2017 harvest revised for the 2017 gear shares and adjustment. specifications for groundfish in the seasonal allowances of the BSAI Pacific

TABLE 9—FINAL 2017 GEAR SHARES AND SEASONAL ALLOWANCES OF THE BSAI PACIFIC COD TAC [Amounts are in metric tons]

2017 share of 2017 seasonal apportionment Gear sector Percent gear sector 2017 share of total sector total Seasons Amount

BS TAC ...... n/a 223,704 n/a n/a ...... n/a BS CDQ ...... n/a 23,936 n/a see § 679.20(a)(7)(i)(B) ...... n/a BS non-CDQ TAC ...... n/a 199,768 n/a n/a ...... n/a AI TAC ...... n/a 15,695 n/a n/a ...... n/a AI CDQ ...... n/a 1,679 n/a see § 679.20(a)(7)(i)(B) ...... n/a AI non-CDQ TAC ...... n/a 14,016 n/a n/a ...... n/a Western Aleutian Island Limit ...... n/a 4,018 n/a n/a ...... n/a Total BSAI non-CDQ TAC 1 ...... 100 213,783 n/a n/a...... n/a Total hook-and-line/pot gear ...... 60.8 129,980 n/a n/a ...... n/a Hook-and-line/pot ICA 2 ...... n/a 500 n/a see § 679.20(a)(7)(ii)(B) ...... n/a Hook-and-line/pot sub-total ...... n/a 129,480 n/a n/a ...... n/a Hook-and-line catcher/processor ...... 48.7 n/a 103,712 Jan 1–Jun 10 ...... 52,893 Jun 10–Dec 31 ...... 50,819 Hook-and-line catcher vessel ≥60 ft 0.2 n/a 426 Jan 1–Jun 10 ...... 217 LOA. Jun 10–Dec 31 ...... 209 Pot catcher/processor ...... 1.5 n/a 3,194 Jan 1–Jun 10 ...... 1,629 Sept 1–Dec 31 ...... 1,565 Pot catcher vessel ≥60 ft LOA ...... 8.4 n/a 17,889 Jan 1–Jun 10 ...... 9,123 Sept 1–Dec 31 ...... 8,765 Catcher vessel <60 ft LOA using 2 n/a 4,259 n/a...... n/a hook-and-line or pot gear. Trawl catcher vessel ...... 22.1 47,246 n/a Jan 20–Apr 1 ...... 34,962 Apr 1–Jun 10 ...... 5,197 Jun 10–Nov 1 ...... 7,087 AFA trawl catcher/processor ...... 2.3 4,917 n/a Jan 20–Apr 1 ...... 3,688 Apr 1–Jun 10 ...... 1,229 Jun 10–Nov 1 ...... 0 Amendment 80 ...... 13.4 28,647 n/a Jan 20–Apr 1 ...... 21,485 Apr 1–Jun 10 ...... 7,162 Jun 10–Nov 1 ...... 0 Alaska Groundfish Cooperative ...... n/a n/a 4,522 Jan 20–Apr 1 ...... 3,392 Apr 1–Jun 10 ...... 1,131 Jun 10–Dec 31 ...... 0 Alaska Seafood Cooperative ...... n/a n/a 24,125 Jan 20–Apr 1 ...... 18,094 Apr 1–Jun 10 ...... 6,031 Jun 10–Dec 31 ...... 0

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TABLE 9—FINAL 2017 GEAR SHARES AND SEASONAL ALLOWANCES OF THE BSAI PACIFIC COD TAC—Continued [Amounts are in metric tons]

2017 share of 2017 seasonal apportionment Gear sector Percent gear sector 2017 share of total sector total Seasons Amount

Jig ...... 1.4 2,993 n/a Jan 1–Apr 30 ...... 1,796 Apr 30–Aug 31 ...... 599 Aug 31–Dec 31 ...... 599 1 The gear shares and seasonal allowances for BSAI Pacific cod TAC are based on the sum of the BS and AI Pacific cod TACs, after the sub- traction of CDQ. If the TAC for Pacific cod in either the AI or BS is reached, then directed fishing for Pacific cod in that subarea may be prohib- ited, even if a BSAI allowance remains. 2 The ICA for the hook-and-line and pot sectors will be deducted from the aggregate portion of Pacific cod TAC allocated to the hook-and-line and pot sectors. The Regional Administrator approves an ICA of 500 mt for 2017 based on anticipated incidental catch in these fisheries. Note: Seasonal or sector apportionments may not total precisely due to rounding.

Classification allow for harvests that exceed the prior notice and opportunity for public appropriate allocations for pollock, Atka comment. This action responds to the best mackerel, and Pacific cod in the BSAI Under § 679.25(c)(2), interested available information recently obtained based on the best scientific information persons are invited to submit written from the fishery. The Assistant available. NMFS was unable to publish comments on this action to the above Administrator for Fisheries, NOAA a notice providing time for public address until January 25, 2017. (AA), finds good cause to waive the comment because the most recent, This action is required by § 679.20 requirement to provide prior notice and relevant data only became available as and § 679.25 and is exempt from review opportunity for public comment of December 20, 2016, and additional under Executive Order 12866. pursuant to the authority set forth at 5 time for prior public comment would Authority: 16 U.S.C. 1801 et seq. U.S.C. 553(b)(B) as such requirement is result in conservation concerns for the impracticable and contrary to the public ESA-listed Steller sea lions. Dated: January 4, 2017. interest. This requirement is The AA also finds good cause to Emily H. Menashes, impracticable and contrary to the public waive the 30-day delay in the effective Acting Director, Office of Sustainable interest as it would prevent NMFS from date of this action under 5 U.S.C. Fisheries, National Marine Fisheries Service. responding to the most recent fisheries 553(d)(3). This finding is based upon [FR Doc. 2017–00260 Filed 1–9–17; 8:45 am] data in a timely fashion and would the reasons provided above for waiver of BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 82, No. 6

Tuesday, January 10, 2017

This section of the FEDERAL REGISTER Financial Protection Bureau, 1700 G proposed. The Bureau, with OGE’s contains notices to the public of the proposed Street NW., Washington, DC 20552. concurrence, now proposes to amend issuance of rules and regulations. The • Hand Delivery/Courier: Monica the CFPB Ethics Regulations. purpose of these notices is to give interested Jackson, Office of the Executive II. Description of Proposed Amended persons an opportunity to participate in the Secretary, Consumer Financial rule making prior to the adoption of the final Sections of the CFPB Ethics Regulations rules. Protection Bureau, 1275 First Street NE., Washington, DC 20002. Proposed Amended § 9401.102— Instructions: All submissions must Definitions BUREAU OF CONSUMER FINANCIAL include the agency name and docket Section 9401.102 defines terms and PROTECTION number or RIN for this rulemaking. phrases used throughout the CFPB Because paper mail in the Washington, Ethics Regulations. The Bureau 5 CFR Part 9401 DC area and at the Bureau is subject to proposes to amend the definitions delay, commenters are encouraged to [Docket No. CFPB–2016–0050] section to add and revise certain useful submit comments electronically. In definitions and delete others. RIN 3209–AA15 general, all comments received will be The proposed regulation replaces the posted without change to http:// phrase ‘‘debt and equity interest’’ with Supplemental Standards of Ethical www.regulations.gov, including any the term ‘‘security’’ throughout the Conduct for Employees of the Bureau personal information provided. In CFPB Ethics Regulations. The Bureau of Consumer Financial Protection addition, comments will be available for has found that the term ‘‘debt interest’’ AGENCY: Bureau of Consumer Financial public inspection and copying at 1275 has caused confusion among some Protection. First Street NE., Washington, DC 20002, employees. This revision would help ACTION: Proposed rule with request for on official business days between the distinguish between those instances public comment. hours of 10 a.m. and 5 p.m. eastern when an individual owns or controls a time. You can make an appointment to debt ownership interest in an entity SUMMARY: The Bureau of Consumer inspect the documents by telephoning (e.g., owns a corporate bond) from those Financial Protection (CFPB or Bureau), (202) 435–7275. in which an individual is indebted to an with the concurrence of the Office of All comments, including attachments entity (e.g., has a loan or existing credit). Government Ethics (OGE), is issuing and other supporting materials, will The term ‘‘security’’ would have the this notice of proposed rulemaking for become part of the public record and same definition as the phrase ‘‘debt and employees of the Bureau. This proposal subject to public disclosure. Sensitive equity interest’’ in the current would amend the existing Supplemental personal information, such as account regulations. Standards of Ethical Conduct for numbers or Social Security numbers, The proposed regulation amends the Employees of the Bureau of Consumer should not be included. Comments will term ‘‘employee’’ to exclude special Financial Protection (CFPB Ethics not be edited to remove any identifying Government employees (SGEs). During Regulations) involving: Outside or contact information. CFPB’s initial stand-up period, the employment for covered employees; FOR FURTHER INFORMATION CONTACT: Bureau appointed several CFPB Bureau employees’ ownership or control Amber Vail, Senior Ethics Counsel, at executives, subject matter experts, and of certain securities; restrictions on (202) 435–7305 or Amy Mertz Brown, other Bureau officials with significant seeking, obtaining, or renegotiating Alternate Designated Agency Ethics policy-making authority to short-term credit or indebtedness; and Official, at (202) 435–7256 at the Legal SGE positions. At that time, the Bureau disqualification requirements based on Division, Consumer Financial determined it was essential that the existing credit or indebtedness. Protection Bureau. CFPB Ethics Regulations apply to these Additionally, the proposed regulation SUPPLEMENTARY INFORMATION: employees to assure the public that the would clarify and make minor revisions Bureau created and administered the to certain definitions. I. Background Bureau’s programs in an impartial and DATES: Comments are invited and must Section 2635.105 of the OGE objective manner. It is no longer the be received on or before February 9, Standards of Ethical Conduct for practice for the Bureau to fill such 2017. Executive Branch Employees (OGE positions with SGEs, and the Bureau ADDRESSES: You may submit comments, Standards) authorizes an agency, with currently does not have any employees identified by Docket No. CFPB–2016– the concurrence of OGE, to adopt designated as SGEs. As a result, the 0050 or Regulatory Information Number agency-specific supplemental Bureau has determined this provision is (RIN) number 3209–AA15, by any of the regulations that are necessary to no longer needed. Therefore, the following methods: properly implement its ethics program. proposed regulation excludes SGEs from • Electronic: http:// On April 27, 2012, the Bureau, with the definition of ‘‘employee.’’ This www.regulations.gov. Follow the OGE’s concurrence, published in the treatment of SGEs is consistent with the instructions for submitting comments. Federal Register an interim final rule to Board of Governors of the Federal • Email: FederalRegisterComments@ establish the CFPB Ethics Regulations Reserve System and the Federal Deposit cfpb.gov. Include Docket No. CFPB– (77 FR 25019, April 27, 2012), effective Insurance Corporation, both of which 2016–0050 or RIN number 3209–AA15 June 27, 2012. The Bureau received one exclude SGEs from the definition of in the subject line of the message. comment on the interim final rule, ‘‘employee’’ in their supplemental • Mail: Monica Jackson, Office of the which did not prompt a change, and the standards of ethical conduct. The Executive Secretary, Consumer interim final rule went into effect as proposed regulation would not relax or

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otherwise affect how the criminal requires the employee to be involved in real estate-related conflict of interest statutes and OGE ‘‘permanently separated’’ from the transactions. Continuing to allow Standards apply to SGEs. The Bureau employee’s spouse and does not require covered employees to use these licenses will continue to provide ethics guidance the two individuals to be ‘‘legally for compensation would hinder CFPB in and assistance to SGEs on compliance separated.’’ fulfilling its mission if members of the with the conflict of interest statutes and The proposed regulation also adds the public question whether these OGE Standards. In addition, the phrase ‘‘vested legal or beneficial employees are using their public office Bureau’s Office of Human Capital will interest’’ to the definitions section to or Bureau connections for private gain continue to identify and designate clarify several provisions. This new by advancing their outside real estate- individuals as SGEs at the time the definition is meant to help interpret the related business activities. individual is appointed or retained, and proposed amendments in §§ 9401.106, The proposed rule authorizes the will continue to maintain an internal 9401.108, and 9401.109, where the Designated Agency Ethics Official tracking system of individuals who are Bureau proposes to narrow the (DAEO), in consultation with senior designated as SGEs. disqualification and reporting management in the Division in which The proposed regulation also adds the requirements with respect to trusts in the employee works, to grant a limited phrase ‘‘practice of law’’ to the which the employee or the employee’s waiver to this prohibition based on a definitions section. The Bureau has spouse or minor child has a vested legal written determination that a specific received multiple inquiries from or beneficial interest. A vested legal or transaction requiring the use of the employees as to whether a proposed beneficial interest in a trust means that license would not create an appearance outside activity would fall within the the individual has a present legal right of loss of impartiality or use of public prohibition in § 9401.105. To ensure to its property or income, even though office for private gain. consistency and for the ease of the right to possession or enjoyment The proposed regulation expands the administration, the phrase ‘‘practice of may be postponed to some unknown term ‘‘covered employee’’ to include all law’’ would have the same meaning as time in the future. In defining this employees who work in a Bureau office in Rule 49 of the Rules of the District phrase, the Bureau relied upon 5 CFR where employees participate in the of Columbia Court of Appeals as of 2634.310, where OGE explains what examination, investigation, or November 2016. The Bureau opted to constitutes a vested beneficial interest supervision of entities offering or borrow the definition utilized by the in the principal or income of an estate providing a consumer financial product District of Columbia Court of Appeals or trust. or service. For example, all employees because the majority of attorneys The Bureau is republishing all the in the Division of Supervision, employed by the Bureau have a duty definitions in this section, including Enforcement, and Fair Lending (SEFL) station located in the District of those not proposed for revision, for ease would be ‘‘covered employees’’ under Columbia. of reference. the proposed rule, whereas only certain The proposed regulation also amends SEFL positions are covered under the Proposed Amended § 9401.104— the term ‘‘spouse’’ by removing the current definition. Additional Rules Concerning Outside reference to ‘‘legally’’ in the phrase Employment for Covered Employees Proposed Amended § 9401.106— ‘‘legally separated.’’ The current Prohibited Financial Interests definition explains that for purposes of The proposed amendments to the CFPB Ethics Regulations, an § 9401.104 are designed to balance This proposed rule would amend 5 individual is not considered to be an several important ethical principles CFR 9401.106, which provides in employee’s spouse if: (1) The employee against an employee’s right to engage in paragraph (a), with certain exceptions and the employee’s spouse are legally outside activities. Proposed § 9401.104 set forth in paragraph (b), that no CFPB separated; (2) the employee and the would retain the existing prohibition employee, or an employee’s spouse or employee’s spouse live apart; (3) there that precludes a covered employee from minor child, may own or control a is an intention to end the marriage or engaging in compensated outside security in an entity supervised by the separate permanently; and (4) the employment for any entity supervised Bureau. The proposed amendment of employee has no control over the legally by the Bureau or for any officer, this section would clarify the scope of separated spouse’s debt or equity director, or employee of such entity. the prohibited financial interests by interests. On several occasions the The proposed rule adds a new more clearly defining the types of Bureau encountered confusion as to prohibition on covered employees using financial interests covered by this what constituted a ‘‘legal separation’’ a professional license related to real prohibition and the exceptions to the because this is a standard defined by estate, mortgage brokerage, property general rule. The intent of the proposed State law and varies depending on the appraisals, or property insurance for amendment is to make this section State in which an employee resides. The compensation. The proposed easier for employees to understand and proposed revision to the definition of amendment would permit covered follow. ‘‘spouse’’ eliminates the reference to employees to retain these professional The prohibited financial interests are ‘‘legally’’ in the phrase ‘‘legally licenses but would prohibit them from defined in paragraph (a). The proposed separated.’’ This proposed amendment engaging in outside compensated regulation would not change the scope is consistent with how OGE determines employment as real estate agents, of financial interests that currently are whether an employee is required to mortgage brokers, property appraisers, prohibited under this section. The report information concerning a spouse real property insurance agents, or in purpose of the proposed amendment is from whom the employee is separated other similar positions. to more clearly define prohibited for purposes of the financial disclosure The Bureau has determined this new financial interests by dividing the reporting requirements at 5 CFR prohibition is necessary to ensure that a prohibited holdings into two categories. 2634.309(c)(2). OGE does not require a reasonable person would not question The first would refer to a security in, or reporting individual to report any the impartiality and objectivity with bonds issued by, an entity supervised by information about a spouse from whom which covered employees perform their the Bureau. The second would refer to the reporting individual is official Bureau duties in connection securities in a collective investment ‘‘permanently separated.’’ OGE only with financial institutions that are fund, such as a mutual fund, if the fund

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has a stated policy of concentrating its interest without specific intent, such as interests in which an employee or an investments in the financial services or via inheritance. The proposed employee’s spouse or minor child has a banking industry. The Bureau always amendment would provide a uniform present legal right to the property or has interpreted the current rule to 30-day period for notifying the DAEO, income in the trust. As noted prohibit employees, as well as their and consistent with 5 CFR 2635.403(d), previously, the proposed rule would spouses and minor children, from a uniform 90-day period for divestiture add a definition of ‘‘vested legal or owning or controlling these collective in each instance. beneficial interest’’ in § 9401.102. investment funds (i.e., sector mutual Proposed paragraph (d) requires The Bureau has determined, under its funds), and is proposing to amend the employees to immediately disqualify authority in section 2635.403(a) of the rule to make this prohibition more themselves if they or their spouses or OGE Standards, that these proposed explicit. minor children own or control a regulations are needed so that a The exceptions to the general security prohibited by paragraph (a). reasonable person will not question the prohibition are listed in paragraph (b). Proposed paragraphs (d)(1) and (d)(2) impartiality and objectivity with which The purpose of the exceptions is to ease explain the different disqualification the Bureau administers its agency the restrictions on the financial interests standards for securities prohibited programs. of employees and their spouses and under proposed paragraphs (a)(1) and Proposed Amended § 9401.107— minor children by permitting interests (a)(2), respectively. Proposed paragraph Prohibition on Acceptance of Credit or of a character unlikely to raise questions (d)(1) describes the disqualification Indebtedness on Preferential Terms regarding the objective and impartial requirements that apply when an From an Entity Supervised by the performance of employees’ official employee or an employee’s spouse or Bureau duties or the possible misuse of their minor child owns or controls a security positions. In promulgating the in an entity supervised by the Bureau. The proposed rule would amend exemptions to the financial conflict of Whereas, proposed paragraph (d)(2) § 9401.107, which provides that interest statute in 5 CFR part 2640, describes the more extensive employees may accept credit, become subpart B, OGE determined that certain disqualification requirements that apply indebted, or enter into other financial financial interests are unlikely to affect when an employee or an employee’s relationships with entities supervised an employee’s official actions. The spouse or minor child owns or controls by the Bureau, only if the credit, Bureau proposes to revise the a security in a collective investment indebtedness or other financial service exceptions in paragraph (b) to more fund that has a stated policy of is offered on terms and conditions no closely conform to certain exemptions concentrating its investments in the more favorable than those offered to the to the financial conflict of interest financial services or banking industry. general public. The proposed statute (18 U.S.C. 208) promulgated by Proposed paragraph (e)(4) provides an amendment is not intended to change OGE. The Bureau determined that these additional factor for the DAEO to the scope of this prohibition. The newly proposed exceptions will make it consider when an employee requests a proposed rule is meant to clarify that easier for Bureau employees to waiver from the general prohibition in the standard for entering into financial understand and comply with the CFPB paragraph (a). It is expected that the relationships with entities supervised Ethics Regulations, as well as the DAEO will grant a waiver of the by the Bureau as articulated in this financial conflict of interest statutes. prohibitions in § 9401.106 only in section is the same standard that is In paragraph (b)(1), the Bureau limited circumstances based on a case- referenced in §§ 9401.108(b) and (e) and proposes to change the name of the first by-case analysis, and only when the 9401.109(b). The proposed rule also exception to ‘‘collective investment granting of the waiver would not unduly states that an employee or the funds’’ to conform with the language of undermine the public’s confidence in employee’s spouse or minor child may that exception but no substantive the impartiality and objectivity with not accept credit from, become indebted change is intended. Proposed paragraph which: (1) The employee performs his to, or enter into a financial relationship (b)(2) replaces the current description or her official duties; and (2) the with an entity supervised by the Bureau, for the widely held, diversified pension Division in which the employee works if the credit, indebtedness, or financial plan exception with new language that executes its functions. Towards this relationship is otherwise prohibited by the Bureau intends to have the same end, proposed paragraph (e)(4) the Federal conflict of interest statutes, meaning as OGE’s regulatory exemption specifically includes public confidence the OGE Standards, or the CFPB Ethics found at 5 CFR 2640.201(c)(iii) for and the appearance of impartiality as a Regulations. This proposed language is diversified employee benefit plans. factor for the DAEO to consider in intended to remind employees there are Proposed paragraph (b)(4) adds an granting a waiver. other government ethics rules that may exception for an interest held within a The CFPB Ethics Regulations affect their ability to secure credit or State pension plan. This exception currently require an employee to notify indebtedness or to enter into financial would have the same meaning as OGE’s the DAEO in writing if a trust in which relationships. exemption in 5 CFR 2640.201(c)(ii) for the employee or the employee’s spouse State government pension plans. or minor child has a legal or beneficial Proposed Amended § 9401.108— In new paragraph (c), the proposed interest contains a security that the Restrictions on Seeking, Obtaining, or regulation would provide specific time employee would be prohibited from Renegotiating Credit From an Entity frames for employees to notify the owning or controlling under paragraph That Is or Represents a Party to a Matter DAEO and divest a prohibited financial (a). The Bureau proposes to amend to Which an Employee Is Assigned or interest after: (1) An individual paragraph (f)(3) to clarify that the May Be Assigned commences employment with the employee’s reporting requirement only The proposed revision to 5 CFR Bureau; (2) the Bureau adds a new applies to trusts in which the employee 9401.108 would retain the existing financial institution to the list of entities or the employee’s spouse or minor child general prohibitions on seeking, supervised by the Bureau (i.e., the has a vested legal or beneficial interest. obtaining, or renegotiating credit or prohibited holdings list); or (3) an The Bureau has determined that the indebtedness, the disqualification employee or an employee’s spouse or reporting requirement in this section provisions, and the exemptions from the minor child acquires a prohibited should apply only to those financial disqualification requirements. The

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Bureau proposes to restructure this The Bureau notes that other financial will participate; or (3) participated section to clarify the prohibitions and to regulatory agencies, including the within the last two years. For purposes incorporate new exemptions. Federal Deposit Insurance Corporation of this prohibition, the term ‘‘credit’’ Under the proposed new paragraph and the Office of the Comptroller of the includes ‘‘the right granted by a person (b), an employee or the employee’s Currency, have similar exemptions for a to a consumer to purchase property or spouse or minor child would be home loan for an employee’s principal services and defer payment of such.’’ A permitted to seek, obtain, or renegotiate residence. Additionally, this proposed number of courts have determined that credit or indebtedness secured by a amendment is consistent with the intent this definition of ‘‘credit’’ includes principal residence subject to five of the Preserving Independence of when a consumer receives gas, conditions. First, the credit or Financial Institution Examinations Act electricity, water, and cellular telephone indebtedness must be secured by of 2003 (PIFIEA), which amended services and receives periodic bills for residential real property that is or will sections 212 and 213 of title 18 of the the services used.1 When the Bureau be the principal residence of the United States Code. These sections originally promulgated the CFPB Ethics employee or the employee’s spouse or generally impose criminal penalties on Regulations, it was not anticipated that minor child. Second, a minimum of national examiners borrowing from the prohibition in this section would three months must have elapsed since banks they examine. The PIFIEA limit Bureau employees’ ability to have the employee stopped participating in modified those rules by decriminalizing these basic utility services and still be each particular matter involving specific extensions of credit to examiners for able to work on Bureau matters. parties in which the entity from which principal residential home loans from Under proposed paragraph (e)(3), the the credit or indebtedness will be institutions that they examine or have Bureau would exempt certain types of sought, obtained, or renegotiated was or authority to examine, if these loans are basic utility services used by consumers represented a party to the matter. Third, made on the same terms and conditions from the prohibition in paragraph (a) the employee would be disqualified as are available to other borrowers. In and the disqualification requirement in from participating in any particular amending sections 212 and 213, paragraph (d). Specifically, the matter involving specific parties in Congress explained that several factors proposed rule would add an exemption which the lender or creditor is or supported the blanket residential loan for the provision of telephone, cable, represents a party while the employee exception, but most importantly, gas, electricity, water, or other similar or the employee’s spouse or minor child consolidation within the banking utility services provided on credit. The is actively seeking, obtaining, or industry made it increasingly difficult Bureau has determined that there is no renegotiating the loan or credit. Fourth, for examiners to obtain nationally need to limit an employee’s ability to the party seeking, obtaining, or available mortgage loans and for the work on matters while holding these renegotiating the credit or indebtedness banking agencies to assign examiners forms of credit because they tend to would have to satisfy all financial work. Although Bureau employees are involve fairly standardized agreements requirements that apply to applicants not subject to sections 212 and 213, the and low credit amounts. The Bureau for the same type of credit or rationale for allowing Bureau also has concluded that permitting indebtedness for a residential real employees, as well as their spouses and employees to have adequate access to property. Fifth, the credit or minor children, the ability to secure a sources of credit involving these types indebtedness would have to be obtained residential home loan for their principal of utility services to meet their personal on terms and conditions no more residence is the same. needs outweighs the incremental benefit favorable than those offered to the For the same reasons as stated in that may be gained by covering these general public. § 9401.106, amended § 9401.108(d)(4) forms of credit. The Bureau determined that a would limit the trust disqualification Proposed Amended § 9401.109— different standard for a residential home requirement to only those trusts in Disqualification of Employees From loan or credit on the principal residence which the employee or the employee’s Particular Matters Involving Existing is necessary because the Bureau’s spouse, domestic partner, or dependent Creditors general prohibition in paragraph (a) child has a vested legal or beneficial against seeking, obtaining, or interest. In addition, the proposed rule would renegotiating credit or indebtedness has The exemptions to the general amend 5 CFR 9401.109, which generally been a significant burden on certain prohibition are listed in new paragraph provides that an employee is employees. The current prohibition (e). The proposed rule would modify the disqualified from participating in a substantially reduces the number of two existing exemptions by deleting the particular matter involving specific lending options available to employees limitation related to insured depository parties if the employee is aware that the when they attempt to secure funding for institutions or credit unions. As a result, employee, the employee’s spouse, a principal residence and prevents them all consumer credit or charge cards domestic partner, or dependent child, or from full access to the competitive regardless of the issuer, and all checking a specified third party has credit with or consumer financial marketplace. The or similar accounts regardless of where is indebted to an entity that is or five conditions upon which seeking, held, would fall within an exemption. represents a party to the matter. The obtaining, or renegotiating a residential The proposed rule also would add a Bureau proposes to narrow the home loan or credit are contingent new exemption involving certain utility disqualification requirement regarding reduce the possibility that: (1) The services. Under the current regulation, trusts and to incorporate new employee is using the employee’s public an employee and the employee’s spouse exemptions. office for private gain; (2) a reasonable and minor child are prohibited from For the same reasons as stated in person would question the impartiality seeking, obtaining, or renegotiating §§ 9401.106 and 9401.108, amended and objectivity with which the Bureau credit or indebtedness with any entity § 9401.109(a)(5) would impose a administers its programs; and (3) the that is or was a party to a particular borrower has obtained the loan or credit matter involving specific parties in 1 See, e.g., Murray v. New Cingular Wireless Servs., Inc., 523 F.3d 719, 722 (7th Cir. 2008); Mays on more favorable terms due to the which the employee: (1) Is currently v. Buckeye Rural Elec. Coop., 277 F.3d 873, 879 (6th employee’s work on a Bureau matter participating; (2) is aware of the matter Cir. 2002); Williams v. AT&T Wireless Servs., Inc., involving that lender. and believes it is likely the employee 5 F. Supp. 2d 1142, 1145 (W.D. Wash. 1998).

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disqualification requirement regarding a agent, attorney, consultant, contractor, requiring approval under the Paperwork trust only if the employee or the or employee. This proposal builds on Reduction Act of 1995 (44 U.S.C. 3501 employee’s spouse, domestic partner, or OGE’s impartiality rule at 5 CFR et seq.). dependent child has a vested legal or 2635.502(b)(iv), and is based on the List of Subjects in 5 CFR Part 9401 beneficial interest in the trust. Bureau’s presumption that a reasonable The existing regulation in paragraph person likely would question an Conflict of interests, Government (b) exempts five forms of credit and employee’s impartiality when the employees. indebtedness from the general employee is participating in a particular Authority and Issuance disqualification requirement as long as matter involving specific parties in the person with the credit or which a covered entity is a party or For the reasons set forth in the indebtedness is not in an adversarial represents a party. Disqualification of preamble, the Bureau, in concurrence position with the entity that extended the employee eliminates the potential with OGE, proposes to amend part 9401 the credit or to which the indebtedness for an appearance of preferential of title 5 of the Code of Federal is owed, and the credit or indebtedness treatment in those instances where the Regulations to read as follows: was offered on terms and conditions no employee’s connection to a covered more favorable than those offered to the PART 9401—SUPPLEMENTAL entity would likely raise questions STANDARDS OF ETHICAL CONDUCT general public. The current exemptions regarding the appropriateness of actions include: (1) Revolving consumer credit FOR EMPLOYEES OF THE BUREAU taken by the employee or the Bureau. OF CONSUMER FINANCIAL or charge cards issued by insured The current definition of ‘‘covered PROTECTION depository institutions or insured credit entity’’ includes, among others, a person unions; (2) overdraft protection on for whom the employee is aware that ■ 1. The authority citation for part 9401 checking accounts and similar accounts the employee’s parent, child, or sibling is revised to read as follows: at insured depository institutions or is serving or seeking to serve as an insured credit unions; (3) educational officer, director, trustee, general partner, Authority: 5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government Act of 1978); E.O. loans; (4) loans on residential homes; agent, attorney, consultant, contractor, and (5) amortizing indebtedness on 12674, 54 FR 15159 (April 12, 1989); 3 CFR, or employee. Employees have 1898 Comp., p.215, as modified by E.O. consumer goods (e.g., automobile loans). questioned whether this restriction 12731, 55 FR 42547 (October 17, 1990); 3 The proposed rule would modify the extends to stepfamily members and half CFR, 1990 Comp., p. 306; 5 CFR 2635.105, first two existing exemptions by siblings. The proposed regulation in 2635.403, 2635.502 and 2635.803. deleting the limitation related to insured paragraph (b)(2) extends the restriction ■ 2. Section 9401.102 is revised to read depository institutions or insured credit to stepfathers, stepmothers, stepsons, as follows: unions. As a result, all consumer credit stepdaughters, stepbrothers, stepsisters, or charge cards regardless of the issuer, half-brothers, and half-sisters. The § 9401.102 Definitions. and all checking or similar accounts Bureau has determined that this For purposes of this part: regardless of where held, would fall proposed regulation is needed so that a CFPB Ethics Regulations means the within an exemption. reasonable person will not question the supplemental ethics standards set forth The proposed amendment also would impartiality and objectivity with which in this part. add two new exemptions. The proposed the Bureau administers its agency Control means the possession, direct amendment at paragraph (b)(4) would programs. or indirect, of the power or authority to create an exemption for automobile manage, direct, or oversee. leases for primarily personal (consumer) III. Matters of Regulatory Procedure Credit has the meaning set forth in 12 use vehicles. The Bureau has Regulatory Flexibility Act U.S.C. 5481(7) and as further defined in determined that there is no need to limit regulations promulgated by the Bureau an employee’s ability to work on matters The Regulatory Flexibility Act, 5 to implement that statute. A person may while holding this form of credit U.S.C. 601 et seq., as amended by the have credit without any outstanding because automobile leases tend to Small Business Regulatory Enforcement balance owed. involve fairly standardized agreements Fairness Act of 1996 (the RFA), requires Dependent child has the meaning set and automobile leases are similar in each agency to consider the potential forth in 5 CFR 2634.105(d). It includes nature to automobile loans, which are impact of its regulations on small an employee’s son, daughter, stepson, or already exempted. For the same reasons entities, including small businesses, stepdaughter if: as stated for § 9401.108, amended small governmental units, and small (1) Unmarried, under the age of 21, § 9401.109 also would create a new not-for-profit organizations, unless the and living in the employee’s household; exemption for the provision of head of the agency certifies that the or telephone, cable, gas, electricity, water, rules will not have a significant (2) Claimed as a ‘‘dependent’’ on the or other similar utility services on economic impact on a substantial employee’s income tax return. credit. number of small entities. The Director of Designated Agency Ethics Official the Bureau so certifies. The rule does (DAEO) means the official within the Proposed Amended § 9401.111— not impose any obligations or standards Bureau that the Director has appointed Restrictions on Participating in Matters of conduct for purposes of analysis to coordinate and manage the ethics Involving Covered Entities under the RFA, and it therefore does not program at the Bureau, under 5 CFR The proposed rule would amend give rise to a regulatory compliance 2638.202(b). For purposes of this part, § 9401.111 by reorganizing this section burden for small entities. the term ‘‘DAEO’’ also includes the and expanding the definition of Alternate DAEO appointed under 5 CFR ‘‘covered entity.’’ Proposed paragraph Paperwork Reduction Act 2638.202(b), and a designee of the (b)(1) would expand the definition to The Bureau has determined that this DAEO or Alternate DAEO unless a include any person for whom the proposed rule does not impose any new particular provision says an authority is employee is serving or seeking to serve, recordkeeping, reporting, or disclosure reserved to the DAEO. or has served within the last year, as an requirements on members of the public Director means the Director of the officer, director, trustee, general partner, that would be collections of information Bureau.

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Domestic partner means a person Particular matter has the meaning set Security means an interest in debt or with whom a Bureau employee: forth in 5 CFR 2635.402(b)(3). The term equity instruments. The term includes (1) Has a close and committed includes a matter that involves without limitation, secured and personal relationship and both parties deliberation, decision, or action and is unsecured bonds, debentures, notes, are at least 18 years of age, are each focused upon the interests of specific securitized assets, commercial papers, other’s sole domestic partner and intend persons or a discrete and identifiable and preferred and common stock. The to remain in the relationship class of persons. It may include term encompasses both current and indefinitely, and neither is married to, governmental action such as legislation, contingent ownership interests; a in a civil union with, or partnered with regulations, or policy-making that is beneficial or legal interest derived from any other spouse or domestic partner; narrowly focused on the interest of a a trust; a right to acquire or dispose of (2) Is not related by blood in a manner discrete and identifiable class of any long or short position in debt or that would bar marriage under the laws persons. equity interests; interests convertible of the jurisdiction in which the Particular matter involving specific into debt or equity interests; and employee resides; parties has the meaning set forth in 5 options, rights, warrants, puts, calls, (3) Is in a financially interdependent CFR 2641.201(h). Such a matter straddles, derivatives, and other similar relationship in which both agree to be typically involves a specific proceeding interests. It does not include deposits; responsible for each other’s common affecting the legal rights of the parties or credit union shares; a future interest welfare and share in financial an isolatable transaction or related set of created by someone other than the obligations; and transactions between identified parties. employee or the employee’s spouse or (4) Has shared for at least six months The term includes without limitation, a dependent child; or a right as a the same regular and permanent contract, audit, enforcement action, beneficiary of an estate that has not been residence in a committed relationship examination, investigation, litigation settled. and both parties intend to do so proceeding, or request for a ruling. Special Government employee has the indefinitely, or would maintain a Person has the same meaning set forth meaning set forth in 5 CFR 2635.102(l). common residence but for an in 5 CFR 2635.102(k). It includes Spouse means an employee’s husband assignment abroad or other without limitation, an individual, or wife by lawful marriage, but does not employment-related, financial, or corporation and subsidiaries it controls, include an employee’s spouse if: similar obstacle. company, association, firm, partnership, (1) The employee and the employee’s Employee means an employee of the society, joint stock company, or any spouse are separated; Bureau, other than a special other organization or institution. (2) The employee and the employee’s Government employee. spouse live apart; Entity supervised by the Bureau Practice of law means the provision of legal advice or services where there is (3) There is an intention to end the means a person that is subject to the marriage or separate permanently; and Bureau’s supervision authority pursuant a client relationship of trust or reliance. One is presumed to be practicing law (4) The employee has no control over to 12 U.S.C. 5514(a)(1) or 5515(a) and in the separated spouse’s securities. regulations promulgated thereunder, as when engaging in any of the following conduct on behalf of another: Vested legal or beneficial interest identified on a list to be maintained by means a present right or title to the Bureau. (1) Preparing any legal document, including any deeds, mortgages, property, which carries with it an Indebted or indebtedness means a existing right of alienation, even though legal obligation under which an assignments, discharges, leases, trust instruments, or any other instruments the right to possession or enjoyment individual or borrower received money may be postponed to some uncertain or assets on credit, and currently owes intended to affect interests in real or personal property, wills, codicils, time in the future. This includes a payment. future interest when one has a right, Indebted to an entity means an instruments intended to affect the disposition of property of decedents’ defeasible or indefeasible, to immediate obligation to make payments to an possession or enjoyment of the property, entity as a result of an indebtedness, estates, other instruments intended to affect or secure legal rights, and upon the ceasing of another’s interest. whether originally made with that entity ■ contracts except routine agreements 3. Section 9401.104 is revised to read or with another entity. This includes as follows: without limitation, a servicer on a incidental to a regular course of mortgage to whom payments are made. business; § 9401.104 Additional rules concerning OGE Standards mean the Standards of (2) Preparing or expressing legal outside employment for covered Ethical Conduct for Employees of the opinions; employees. Executive Branch contained in 5 CFR (3) Appearing or acting as an attorney (a) Prohibited outside employment part 2635. in any tribunal; with an entity supervised by the Bureau. Participate means personal and (4) Preparing any claims, demands or A covered employee shall not engage in substantial participation and has the pleadings of any kind, or any written compensated outside employment for meaning set forth in 5 CFR documents containing legal argument or an entity supervised by the Bureau or 2635.402(b)(4). An employee interpretation of law, for filing in any for an officer, director, or employee of participates when, for example, he or court, administrative agency, or other such entity. For purposes of this section, she makes a decision, gives approval or tribunal; ‘‘employment’’ has the same meaning as disapproval, renders advice, provides a (5) Providing advice or counsel as to set forth in § 9401.103(b) of this part. recommendation, conducts an how any of the activities described in (b) Use of professional licenses related investigation or examination, or takes an subparagraphs (1) through (4) might be to real estate. A covered employee who official action in a particular matter, and done, or whether they were done, in holds a license related to real estate, such involvement is of significance to accordance with applicable law; or mortgage brokerage, property appraisals, the matter. It requires more than official (6) Furnishing an attorney or or real property insurance is prohibited responsibility, knowledge, perfunctory attorneys, or other persons, to render the from using such license for the involvement, or involvement on an services described in subparagraphs (1) production of income. The DAEO, in administrative or peripheral issue. through (5) above. consultation with senior management in

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the Division in which the employee § 9401.106 Prohibited financial interests. (3) Federal retirement and thrift works, may grant a limited waiver to (a) Prohibited interests. Except as savings plans. Funds administered by this prohibition based on a written permitted by this section, an employee the Thrift Plan for Employees of the finding that the specific transaction or an employee’s spouse or minor child Federal Reserve System, the Retirement which requires use of the license will shall not own or control a security in: Plan for Employees of the Federal not create an appearance of loss of (1) An entity supervised by the Reserve System, the Thrift Savings Plan, impartiality or use of public office for Bureau; or or a Federal government agency. private gain. (2) A collective investment fund that (4) State pension plans. A pension (c) Definition of covered employee. has a stated policy of concentrating its plan established or maintained by a For purposes of this section, ‘‘covered investments in the financial services or State government or any political employee’’ means: banking industry. A collective subdivision of a State government for its (1) An employee in the Division of investment fund includes, without employees. Supervision, Enforcement, and Fair limitation, mutual funds, unit (c) Reporting and divestiture of Lending; investment trusts (UITs), exchange prohibited interests—(1) New (2) An employee serving in an traded funds (ETFs), real estate employees. Within 30 calendar days attorney position; investment trusts (REITs), and limited from the start of employment with the (3) An employee in the Office of partnerships. Bureau, an employee must notify the Research, serving as a section chief at (b) Exceptions. Interests prohibited in DAEO in writing of a financial interest Bureau pay band 71 or above or as a paragraph (a) of this section do not prohibited under paragraph (a) of this senior economist in the Compliance include the ownership or control of a section that the employee or the Analytics and Policy Section; security in: employee’s spouse or minor child (4) An employee serving in the Office (1) Collective investment funds. A acquired prior to the start of the of Consumer Response in an publicly traded or publicly available employee’s employment with the investigations position; collective investment fund if: Bureau. The employee or the employee’s spouse or minor child shall (5) An employee required to file a (i) The fund does not have a stated divest prohibited securities within 90 Public Financial Disclosure Report policy of concentrating its investments days after the start of the employee’s (OGE Form 278e) under 5 CFR part in the financial services or banking employment at the Bureau. 2634; or industry; and (ii) Neither the employee nor the (2) Newly prohibited interest. Within (6) Any other Bureau employee employee’s spouse or minor child 30 days after the Bureau updates and specified in a Bureau order or directive exercises or has the ability to exercise internally publishes a new list of whose duties and responsibilities, as control over or selection of the financial entities supervised by the Bureau, an determined by the DAEO, require interests held by the fund. employee who owns or controls, or application of the prohibition on (2) Diversified employee benefit plans. whose spouse or minor child owns or outside employment contained in this A pension or other retirement fund, controls, a security in an entity newly section to ensure public confidence that trust, or plan established or maintained added to that list must notify the DAEO the Bureau’s programs are conducted by an employer or an employee in writing. The employee or the impartially and objectively. organization, or both, to provide its employee’s spouse or minor child shall ■ 4. Section 9401.105 is amended by participants with medical, disability, divest prohibited securities within 90 revising paragraphs (a) introductory death, unemployment, or vacation days after internal publication of the text, (a)(1), (b)(1), and (b)(2) to read as benefits, training programs, day care new list. follows: centers, scholarship funds, prepaid legal (3) Interests acquired without specific § 9401.105 Additional rules concerning services, deferred income, or retirement intent. If an employee or an employee’s outside employment for Bureau attorneys. income (employee plan), provided: spouse or minor child acquires a (a) Prohibited outside practice of law. (i) The employee plan does not have financial interest prohibited under In addition to the prior approval a stated policy of concentrating its paragraph (a) of this section as a result requirements under § 9401.103 and the investments in any industry, business, of marriage, inheritance, or otherwise outside employment restrictions under single country other than the United without specific intent to acquire, the § 9401.104 of this part, an employee States, or bonds of a single State within employee must notify the DAEO in serving in an attorney position shall not the United States; writing within 30 days of the engage in the practice of law outside the (ii) The investments of the employee acquisition. The employee or the employee’s official Bureau duties that plan are administered by an employee’s spouse or minor child shall ; might require the attorney to: independent trustee divest prohibited securities within 90 days of the acquisition. (1) Take a position that is or appears (iii) The employee plan’s trustee has to be in conflict with the interests of the a written policy of varying the plan (d) Disqualification and divestiture— Bureau; or investments; (1) Securities in entities supervised by (iv) Neither the employee nor the the Bureau. If an employee or an * * * * * employee’s spouse or minor child employee’s spouse or minor child owns (b) * * * participates in the selection of the or controls a security in an entity that (1) In those matters in which the employee plan’s investments or is prohibited under paragraph (a)(1) of attorney has participated personally and designates specific plan investments this section, the employee shall substantially as a Government (except for directing that contributions immediately disqualify himself or employee; or be divided among several different herself from participating in all (2) In those matters which are the categories of investments, such as particular matters affecting that entity, subject of the attorney’s official stocks, bonds, or mutual funds, which unless and until the security is divested responsibility. are available to plan participants); and or the employee is granted a waiver ■ 5. Section 9401.106 is revised to read (v) The employee plan is not a profit- pursuant to paragraph (e) of this section as follows: sharing or stock bonus plan. and the waiver includes an

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authorization allowing the employee to confidence in the impartiality and ■ 7. Section 9401.108 is revised to read participate in such matters. objectivity with which: as follows: (2) Securities in collective investment (i) The employee performs the funds. If an employee or an employee’s employee’s official Bureau duties; and § 9401.108 Restrictions on seeking, spouse or minor child owns or controls (ii) The Division in which the obtaining, or renegotiating credit from an employee works executes its programs entity that is or represents a party to a a security in a collective investment matter to which an employee is assigned or fund that is prohibited under paragraph and functions. may be assigned. (a)(2) of this section, the employee shall (f) Covered third party entities. (a) General rules regarding seeking, immediately disqualify himself or Immediately after becoming aware that obtaining, or renegotiating credit or herself from participating in all a covered third party entity owns or indebtedness—(1) Prohibition. While an particular matters affecting one or more controls a security that an employee employee is assigned to participate in a holdings of the collective investment would be prohibited from owning or fund if the affected holding is invested controlling under paragraph (a) of this particular matter involving specific in the financial services or banking section, the employee shall report the parties, the employee or the employee’s industry, unless and until the collective interest in writing to the DAEO. The spouse or minor child shall not seek, investment fund is divested or the DAEO may require the employee to obtain, or renegotiate credit or employee is granted a waiver pursuant terminate the relationship with the indebtedness with an entity that is a to paragraph (e) of this section and the covered third party entity, disqualify party or represents a party to the matter. waiver includes an authorization himself or herself from certain This prohibition also applies to a allowing the employee to participate in particular matters, or take other action particular matter involving specific such matters. as necessary to avoid a statutory parties pending at the Bureau in which (e) Waivers. Upon request by the violation, a violation of the OGE the employee is not currently employee, the DAEO in the DAEO’s sole Standards, or the CFPB Ethics participating but of which the employee discretion has the authority to grant an Regulations, including an appearance of is aware and believes it is likely that the individual waiver under this paragraph. misuse of position or loss of employee will participate. The DAEO’s authority to grant an impartiality. For purposes of this (2) Cooling off period. The prohibition individual waiver under this paragraph paragraph, ‘‘covered third party entity’’ in paragraph (a)(1) of this section may not be delegated to any person includes: continues for two years after the except the Alternate DAEO. The DAEO, (1) A partnership in which the employee’s participation in the in consultation with senior management employee or the employee’s spouse or particular matter has ended. in the Division in which the employee minor child is a general partner; (b) Rules regarding credit or works, may issue a written waiver (2) A partnership or closely held indebtedness secured by principal permitting the employee or the corporation in which the employee or residence. Notwithstanding paragraph employee’s spouse or minor child to the employee’s spouse or minor child (a) of this section, an employee or an own or control a particular security that individually or jointly holds more than employee’s spouse or minor child may otherwise would be prohibited by this a 10 percent equity interest; seek, obtain, or renegotiate credit or (3) A trust in which the employee or section, after considering all relevant indebtedness secured by residential real the employee’s spouse or minor child factors. Relevant factors include, property with an entity, subject to the has a vested legal or beneficial interest; following conditions: without limitation, whether: (4) An investment club or similar (1) Mitigating circumstances exist due (1) The residential real property is or informal investment arrangement to the way the employee or the will be the principal residence of the between the employee or the employee’s employee’s spouse or minor child employee or the employee’s spouse or spouse or minor child, and others; minor child; acquired ownership or control of the (5) A qualified profit sharing, security. Mitigating circumstances may (2) A minimum of three months have retirement, or similar plan in which the passed since the end of the employee’s include without limitation: employee or the employee’s spouse or (i) The employee or the employee’s participation in each particular matter minor child has an interest; or involving specific parties in which that spouse or minor child acquired the (6) An entity in which the employee security through inheritance, merger, entity was a party or represented a or the employee’s spouse or minor child party; acquisition, or other change in corporate individually or jointly holds more than structure, or otherwise without specific (3) The employee is disqualified from a 25 percent equity interest. participating in particular matters intent on the part of the employee or the ■ 6. Section 9401.107 and the section involving specific parties in which that employee’s spouse or minor child; or heading are revised to read as follows: (ii) The employee’s spouse received entity is a party or represents a party the security as part of a compensation § 9401.107 Prohibition on acceptance of while the employee or the employee’s package in connection with credit or indebtedness on preferential terms spouse or minor child is seeking, employment or prior to marriage to the from an entity supervised by the Bureau. obtaining, or renegotiating the credit or employee; An employee or the employee’s indebtedness; (2) The employee makes a prompt and spouse or minor child may not accept (4) The employee or the employee’s complete written disclosure of the credit from, become indebted to, or spouse or minor child seeking, security to the DAEO; enter into a financial relationship with obtaining, or negotiating the credit or (3) The disqualification of the an entity supervised by the Bureau, indebtedness must satisfy all financial employee from participating in unless the credit, indebtedness, or other requirements generally applicable to all particular matters pursuant to paragraph financial relationship: applicants for the same type of credit or (d) of this section, as specified in the (1) Is offered on terms and conditions indebtedness for residential real written waiver, would not unduly no more favorable than those offered to property; and interfere with the full performance of the general public; and (5) The credit or indebtedness is the employee’s duties; and (2) Is not otherwise prohibited by law obtained on terms and conditions no (4) The granting of the waiver would or inconsistent with the OGE Standards more favorable than those offered to the not unduly undermine the public’s or the CFPB Ethics Regulations. general public.

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(c) Specific rules for employee’s terms and conditions no more favorable ■ 9. Section 9401.110 is revised to read spouse and minor child. The than those offered to the general public: as follows: prohibitions in paragraphs (a) and (b) of (1) Revolving consumer credit or this section do not apply when the charge cards; § 9401.110 Prohibited recommendations. employee’s spouse or minor child is (2) Overdraft protection on checking An employee shall not make accounts and similar accounts; and seeking, obtaining, or renegotiating recommendations or suggestions, credit or indebtedness and: (3) The provision of telephone, cable, gas, electricity, water, or other similar directly or indirectly, concerning the (1) The credit or indebtedness is acquisition or sale or other divestiture of supported only by the income or utility services provided on credit (i.e., the service is provided before payment a security in an entity supervised by the independent means of the spouse or Bureau, or an entity that is or represents minor child; is due such that consumers incur debt a party to a particular matter involving (2) The credit or indebtedness is as they use the service and receive specific parties to which the employee obtained on terms and conditions no periodic bills for the services used). (f) Waivers. The DAEO, after is assigned. more favorable than those offered to the consultation with senior management in general public; and ■ 10. Section 9401.111 is revised to read the Division in which the employee (3) The employee does not participate as follows: works, may grant a written waiver from in the negotiating for the credit or the prohibition in paragraphs (a) or (b) § 9401.111 Restriction on participating in indebtedness or serve as co-maker, of this section or the disqualification matters involving covered entities. endorser or guarantor of the credit or requirement in paragraph (d) of this indebtedness. (a) Disqualification required. Absent section, based on a determination that (d) Disqualification requirement for participation in matters otherwise an authorization pursuant to paragraph credit sought by person related to an prohibited by this section would not be (c) of this section, an employee shall not employee. An employee shall disqualify prohibited by law (18 U.S.C. 208) or participate in a particular matter himself or herself from participating in create an appearance of loss of involving specific parties if a covered a particular matter involving specific impartiality or use of public office for entity is or represents a party to the parties as soon as the employee learns private gain, and would not otherwise matter. that any of the following persons are be inconsistent with the OGE Standards (b) ‘‘Covered entity’’ defined. For seeking, obtaining, or renegotiating or the CFPB Ethics Regulations. purposes of this section, a ‘‘covered credit or indebtedness with an entity ■ 8. Section 9401.109 is amended by: entity’’ includes: that is or represents a party to the ■ a. Revising the section heading; matter: ■ b. Revising paragraphs (a)(5) and (1) Any person for whom the (1) The employee’s spouse, domestic (b)(1) through (5); and employee is serving or seeking to serve, partner, or dependent child; ■ c. Adding paragraphs (b)(6) and (7). or has served with the last year, as (2) A partnership in which the The revisions and additions read as officer, director, trustee, general partner, employee or the employee’s spouse, follows: agent, attorney, consultant, contractor, domestic partner, or dependent child is § 9401.109 Disqualification of employees or employee; or a general partner; from particular matters involving existing (2) Any person for whom the (3) A partnership or closely held creditors. employee is aware the employee’s corporation in which the employee or (a) * * * spouse, domestic partner, fiance´, child, the employee’s spouse, domestic (5) A trust in which the employee or parent, sibling, stepfather, stepmother, partner, or dependent child individually the employee’s spouse, domestic or jointly owns or controls more than a stepson, stepdaughter, stepbrother, partner, or dependent child has a vested stepsister, half-brother, half-sister, or 10 percent equity interest; legal or beneficial interest; (4) A trust in which the employee or member of the employee’s household is * * * * * serving or seeking to serve as an officer, the employee’s spouse, domestic (b) * * * partner, or dependent child has a vested director, trustee, general partner, agent, (1) Revolving consumer credit or attorney, consultant, contractor, or legal or beneficial interest; charge cards; employee. (5) An investment club or similar (2) Overdraft protection on checking informal investment arrangement accounts and similar accounts; (c) Waivers. The DAEO may authorize between the employee or the employee’s (3) Amortizing indebtedness on the employee to participate in a matter spouse, domestic partner, or dependent consumer goods (e.g., automobiles); that would require disqualification child, and others; (4) Automobile leases for primarily under paragraph (a) of this section, (6) A qualified profit sharing, personal (consumer) use vehicles; using the authorization process set forth retirement, or similar plan in which the (5) The provision of telephone, cable, in 5 CFR 2635.502(d) of the OGE employee or the employee’s spouse, gas, electricity, water, or other similar Standards. The DAEO will consult with domestic partner, or dependent child utility services provided on credit (i.e., senior management in the Division in has an interest; or the service is provided before payment which the employee works before (7) An entity in which the employee is due such that consumers incur debt issuing such an authorization. or the employee’s spouse, domestic as they use the service and receive partner, or dependent child individually periodic bills for the services used); Dated: December 15, 2016. or jointly holds more than a 25 percent (6) Educational loans (e.g., student Richard Cordray, equity interest. loans; loans taken out by a parent or Director, Bureau of Consumer Financial (e) Exemptions. The following forms guardian to pay for a child’s education Protection. of credit are exempted from the costs); and Walter M. Shaub, Jr., prohibitions in paragraphs (a) and (b) of (7) Loans on residential homes (e.g., Director, Office of Government Ethics. this section and the disqualification home mortgages; home equity lines of requirement in paragraph (d) of this credit). [FR Doc. 2016–31596 Filed 1–9–17; 8:45 am] section, provided the credit is offered on * * * * * BILLING CODE 4810–AM–P

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DEPARTMENT OF HOMELAND DHS Department of Homeland Security the 2014–2015 season, the planning SECURITY FR Federal Register process proved to be vital in identifying NPRM Notice of proposed rulemaking updates to the rule as proposed here. Coast Guard OCMI Officer in Charge, Marine Inspection On November 3, 2015, we published PATCOM Patrol Commander a temporary final rule (80 FR 67635) for 33 CFR Part 100 § Section the Mavericks Surf Competition which U.S.C. United States Code was most recently held on February 12, [Docket Number USCG–2014–0715] II. Background, Purpose, and Legal 2016. That temporary rule was needed RIN 1625–AA08 Basis to keep spectators and vessels a safe The Mavericks Surf Competition has distance away from the event Special Local Regulation; Mavericks grown in popularity within the past participants and the hazardous waters Surf Competition, Half Moon Bay, CA several years. Due to the inherent surrounding Pillar Point. Past competitions have demonstrated the AGENCY: dangers of the competition and the Coast Guard, DHS. importance of restricting access to the ACTION: Notice of proposed rulemaking. disruption to the normal uses of the waterways in the vicinity of Pillar Point, competition area to only vessels in direct support of the competitors. In the SUMMARY: The Coast Guard proposes to the Coast Guard issues a Marine Event Coast Guard’s assessment, that revise a special local regulation in the Permit to the event sponsor. Following the collapse of the Cliffside viewing area temporary final rule provided an navigable waters of Half Moon Bay, CA, effective scheme for ensuring the safety in 2011, the Coast Guard became near Pillar Point in support of the of life during the Mavericks Surf concerned that the loss of shore-side Mavericks Surf Competition, an annual Competition. invitational surf competition held at the viewing would result in a larger than We are proposing the following Mavericks Break. We are proposing this expected number of spectator vessels in changes based on lessons learned during revision to improve the regulation by the vicinity of the event. the multi-agency planning process. The making it clearer and to have it better The Coast Guard considered name of this event has changed over the reflect the natural conditions that must promulgating a safety zone which years based on the sponsor. The Coast be met for this surf competition to take would prevent spectator vessels from Guard decided to propose this rule place. This regulation is necessary to encroaching on the competition area to using the event name ‘‘Mavericks Surf provide for the safety of life on the preserve the safety of both the surfers Competition’’ to remove any affiliation navigable waters immediately prior to, and the spectators. Because it proved with past or future sponsors and to keep during, and immediately after the impossible to reliably predetermine the the name of the event generic in order surfing competition, which is held only exact location of breaking surf, the Coast to apply to any future sponsor. In one day between November 1 of each Guard did not establish a safety zone for addition, this proposed rule would year and March 31 of the following year. subsequent events, but has continued to clarify that the maintenance of the buoy This proposed revision would maintain a presence at the event to placement throughout the course of the temporarily restrict vessel traffic in the protect the competitors from event is a requirement for the event vicinity of Pillar Point and prohibit encroaching spectator vessels and vice sponsor. The definition of ‘‘support vessels and persons not participating in versa. vessels’’ has been updated to the surfing event from entering the This proposed rulemaking would specifically include jet skis and to dedicated surfing area and a designated formalize the scheme employed during clarify that they must be pre-designated no-entry area. We invite your comments the 2013, 2014, and 2015 competitions, and approved to serve as such for this on this proposed rulemaking. which proved to be an effective means event by the Officer in Charge, Marine DATES: Comments and related material of separating competitors from Inspection (OCMI) prior to the must be received by the Coast Guard on spectators. The two zones and competition. Due to the temperamental or before February 9, 2017. associated regulations contained in this nature of buoy locations with regards to proposed rule are intended to ensure the ADDRESSES: You may submit comments swing circles, the proposed definition safety of competitors from spectator identified by docket number USCG– for ‘‘Zone 1’’ and ‘‘Zone 2’’ would both vessels, and to enhance safety of 2015–0427 using the Federal amend the ATON buoy reference of spectator vessels by creating a eRulemaking Portal at http:// ‘‘Pillar Point Entrance Lighted Gong designated area in which the Coast www.regulations.gov. See the ‘‘Public Buoy 1’’ to only reference a latitude and Guard may direct the movement of such Participation and Request for longitude position. Finally, the vessels. Because of the dangers posed by Comments’’ portion of the definition of ‘‘spectator vessel’’ was the surf conditions during the SUPPLEMENTARY INFORMATION section for expanded to specifically include Mavericks Surf Competition, the special further instructions on submitting human-powered craft. local regulation is necessary to provide comments. Under 33 CFR 100.35, the Coast for the safety of event participants, Guard District Commander has FOR FURTHER INFORMATION CONTACT: If spectators, and other vessels transiting authority to promulgate certain special you have questions about this proposed the event area. For the safety concerns local regulations deemed necessary to rulemaking, call or email Lieutenant noted, it is in the public interest to have ensure the safety of life on the navigable Marcia Medina, U.S. Coast Guard Sector these regulations in effect during the waters immediately before, during, and San Francisco; telephone (415) 399– event. immediately after an approved regatta or 7443, email at D11-PF-MarineEvents@ On October 15, 2014, the Coast Guard marine parade. The Commander of uscg.mil. published an interim rule and request Coast Guard District 11 has delegated to SUPPLEMENTARY INFORMATION: for comments in the Federal Register the Captain of the Port (COTP) San (79 FR 61762) establishing the special Francisco the responsibility of issuing I. Table of Abbreviations local regulation 33 CFR 100.1106. We such regulations. ATON Aids to Navigation received no comments during the The Mavericks Surf Competition is a CFR Code of Federal Regulations comment period on the interim rule. one-day ‘‘Big Wave’’ surfing COTP Captain of the Port Although the event was not held during competition between the top big wave

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surfers as chosen by the event organizer. The effect of this regulation would be B. Impact on Small Entities The competition only occurs when 15– to restrict navigation in the vicinity of The Regulatory Flexibility Act of 20 foot waves are sustained for over 24 Pillar Point during the Mavericks Surf 1980, 5 U.S.C. 601–612, as amended, hours and are combined with mild Competition. During the enforcement requires Federal agencies to consider easterly winds of no more than 5–10 period, the Coast Guard would direct the potential impact of regulations on knots. The rock and reef ridges that the movement and access of all vessels small entities during rulemaking. The make up the sea floor of the Pillar Point within the regulated area. The regulated term ‘‘small entities’’ comprises small area, combined with optimal weather area will be divided into two zones. businesses, not-for-profit organizations conditions, create the large waves for Zone 1 will be designated as the that are independently owned and which Mavericks is known. Due to the competition area, and the movement of operated and are not dominant in their hazardous waters surrounding Pillar vessels within Zone 2 will be controlled fields, and governmental jurisdictions Point at the time of the surfing by the Patrol Commander (PATCOM). with populations of less than 50,000. competition, the Coast Guard is This regulation is needed to keep The Coast Guard certifies under 5 U.S.C. proposing to modify § 100.1106 which spectators and vessels a safe distance 605(b) that this proposed rule would not establishes a special local regulation in away from the event participants and have a significant economic impact on the vicinity of Pillar Point that restricts the hazardous waters surrounding Pillar a substantial number of small entities. navigation in the area of the surf Point. Past competitions have The Coast Guard did not receive any competition and in neighboring demonstrated the importance of comments from the Small Business hazardous areas. This proposed rule is restricting access to the competition Administration on the Interim rule intended to ensure the safety of area to only vessels in direct support of published on October 15, 2014. Also, competitors by delineating a specific the competitors. Failure to comply with while some owners or operators of competition area, and to provide for the the lawful directions of the Coast Guard vessels intending to transit the safety safety of spectators by imposing could result in additional vessel zone may be small entities, for the operating restrictions on those vessels. movement restrictions, citation, or both. reasons stated in section IV.A above this proposed rule would not have a III. Discussion of Proposed Rule IV. Regulatory Analyses significant economic impact on any The Coast Guard proposes to revise a We developed this proposed rule after vessel owner or operator. If you think regulated area for the Mavericks Surf considering numerous statutes and that your business, organization, or Competition. The Mavericks Surf Executive orders related to rulemaking. governmental jurisdiction qualifies as a Competition will take place on a day Below we summarize our analyses small entity and that this rule would that presents favorable surf conditions based on a number of these statutes and have a significant economic impact on between November 1 of each year and Executive orders, and we discuss First it, please submit a comment (see March 31 of the following year, from 6 Amendment rights of protestors. ADDRESSES) explaining why you think it a.m. until 6 p.m. The Mavericks Surf qualifies and how and to what degree Competition can only occur when 15–20 A. Regulatory Planning and Review this rule would economically affect it. foot waves are sustained for over 24 Under section 213(a) of the Small Executive Orders 12866 and 13563 hours and are combined with mild Business Regulatory Enforcement direct agencies to assess the costs and easterly winds of no more than 5–10 Fairness Act of 1996 (Pub. L. 104–121), benefits of available regulatory knots. Unpredictable weather patterns we want to assist small entities in alternatives and, if regulation is and the event’s narrow operating understanding this proposed rule. If the necessary, to select regulatory window limit the Coast Guard’s ability rule would affect your small business, approaches that maximize net benefits. to notify the public of the event. The organization, or governmental Executive Order 13563 emphasizes the Coast Guard would issue notice of the jurisdiction and you have questions importance of quantifying both costs event as soon as practicable, but no later concerning its provisions or options for and benefits, of reducing costs, of than 24 hours before Competition day compliance, please contact the person harmonizing rules, and of promoting via the Broadcast Notice to Mariners listed in the FOR FURTHER INFORMATION flexibility. This NPRM has not been and issue a written Boating Public CONTACT section. The Coast Guard will designated a ‘‘significant regulatory Safety Notice at least 24 hours in not retaliate against small entities that action,’’ under Executive Order 12866. advance of Competition day. Also, the question or complain about this Accordingly, the NPRM has not been zones that would be established by this proposed rule or any policy or action of reviewed by the Office of Management proposed rule will be prominently the Coast Guard. marked by at least 8 buoys throughout and Budget. the course of the event. We expect the economic impact of C. Collection of Information The Mavericks Surf Competition will this rule does not rise to the level of This proposed rule would not call for occur in the navigable waters of Half necessitating a full Regulatory a new collection of information under Moon Bay, CA, in the vicinity of Pillar Evaluation. The regulated area and the Paperwork Reduction Act of 1995 Point as depicted in National Oceanic associated regulations are limited in (44 U.S.C. 3501–3520). and Atmospheric Administration duration, and are limited to a narrowly (NOAA) Chart 18682 (http:// tailored geographic area. In addition, D. Federalism and Indian Tribal www.charts.noaa.gov/OnLineViewer/ although this rule restricts access to the Governments 18682.shtml). The Coast Guard will waters encompassed by the regulated A rule has implications for federalism enforce a regulated area defined by an area, the local waterway users will be under Executive Order 13132, arc extending 1000 yards from Sail Rock notified via public Broadcast Notice to Federalism, if it has a substantial direct (37°29′34″ N., 122°30′02″ W.) excluding Mariners to ensure the regulations will effect on the States, on the relationship the waters within Pillar Point Harbor. result in minimum impact. The entities between the national government and All proposed restrictions would apply most likely to be affected are small the States, or on the distribution of only between 6 a.m. and 6 p.m. on the commercial vessels, and pleasure craft power and responsibilities among the day of the actual competition. engaged in recreational activities. various levels of government. We have

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analyzed this proposed rule under that G. Protest Activities Authority: 33 U.S.C. 1233; 33 CFR 1.05–1. Order and have determined that it is The Coast Guard respects the First ■ 2. Revise § 100.1106 to read as consistent with the fundamental Amendment rights of protesters. follows: federalism principles and preemption Protesters are asked to contact the requirements described in Executive § 100.1106 Special Local Regulation; person listed in the FOR FURTHER Mavericks Surf Competition. Order 13132. INFORMATION CONTACT section to (a) Location. This special local Also, this proposed rule does not have coordinate protest activities so that your regulation establishes a regulated area tribal implications under Executive message can be received without on the waters of Half Moon Bay, located Order 13175, Consultation and jeopardizing the safety or security of in the vicinity of Pillar Point, excluding Coordination with Indian Tribal people, places, or vessels. the waters within Pillar Point Harbor. Governments, because it would not have This regulated area is defined in a substantial direct effect on one or V. Public Participation and Request for Comments paragraph (c) of this section. more Indian tribes, on the relationship (b) Enforcement period. This section We view public participation as between the Federal Government and will be enforced between 6 a.m. and 6 essential to effective rulemaking, and Indian tribes, or on the distribution of p.m. on Competition day, which if will consider all comments and material power and responsibilities between the defined wave and wind conditions are received during the comment period. Federal Government and Indian tribes. met, will occur for one day between Your comment can help shape the If you believe this proposed rule has November 1 of each year and March 31 outcome of this rulemaking. If you implications for federalism or Indian of the following year. Notice of the submit a comment, please include the tribes, please contact the person listed specific enforcement date of this section FOR FURTHER INFORMATION docket number for this rulemaking, in the will be announced via Broadcast Notice indicate the specific section of this CONTACT section above. to Mariners and issued in writing by the document to which each comment Coast Guard in a Boating Public Safety E. Unfunded Mandates Reform Act applies, and provide a reason for each Notice at least 24 hours in advance of The Unfunded Mandates Reform Act suggestion or recommendation. We encourage you to submit Competition day. of 1995 (2 U.S.C. 1531–1538) requires (c) Definitions. As used in this comments through the Federal Federal agencies to assess the effects of section— eRulemaking Portal at http:// their discretionary regulatory actions. In Competition day means the one day www.regulations.gov. If your material particular, the Act addresses actions between November 1 of each year and cannot be submitted using http:// that may result in the expenditure by a March 31 of the following year that www.regulations.gov, contact the person State, local, or tribal government, in the Mavericks Surf Competition will be in the FOR FURTHER INFORMATION aggregate, or by the private sector of held. The Mavericks Surf Competition CONTACT section of this document for $100,000,000 (adjusted for inflation) or will only be held if 15 to 20 foot waves alternate instructions. more in any one year. Though this are sustained for over 24 hours and are We accept anonymous comments. All proposed rule would not result in such combined with mild easterly winds of comments received will be posted an expenditure, we do discuss the no more than 5 to 10 knots. without change to http:// effects of this rule elsewhere in this Competitor means a surfer enrolled in www.regulations.gov and will include preamble. the Mavericks Surf Competition. any personal information you have F. Environment Patrol Commander or PATCOM provided. For more about privacy and means a Coast Guard Patrol We have analyzed this proposed rule the docket, you may review a Privacy Commander, including a Coast Guard under Department of Homeland Act notice regarding the Federal Docket coxswain, petty officer, or other officer, Security Management Directive 023–01 Management System in the March 24, or a Federal, State, or local officer and Commandant Instruction 2005, issue of the Federal Register (70 designated by the Captain of the Port M16475.lD, which guide the Coast FR 15086). San Francisco (COTP), to assist in the Documents mentioned in this NPRM Guard in complying with the National enforcement of the special local as being available in the docket, and all Environmental Policy Act of 1969 (42 regulation. U.S.C. 4321–4370f), and have made a public comments, will be in our online Regulated area means the area in preliminary determination that this docket at http://www.regulations.gov which the Mavericks Surf Competition action is one of a category of actions that and can be viewed by following that will take place. This area is bounded by do not individually or cumulatively Web site’s instructions. Additionally, if an arc extending 1000 yards from Sail have a significant effect on the human you go to the online docket and sign up Rock (37°29′34″ N., 122°30′02″ W.) environment. This proposed rule for email alerts, you will be notified excluding the waters within Pillar Point involves a regulated area of limited size when comments are posted or a final Harbor. All coordinates are North and duration. Normally such actions are rule is published. American Datum 1983. Within the categorically excluded from further List of Subjects in 33 CFR Part 100 regulated area, at least two zones will be review under paragraph 34(h) and 35(b) Marine safety, Navigation (water), established and marked by buoys on the of Figure 2–1 of Commandant Reporting and recordkeeping day of the competition. Due to the Instruction M16475.lD. A preliminary requirements, Waterways. dynamic and changing nature of the environmental analysis checklist surf, the exact size and location of the For the reasons discussed in the supporting this determination and a zones will not be made public until the preamble, the Coast Guard proposes to Categorical Exclusion Determination are competition day. The zones will be amend 33 CFR part 100 as follows: available in the docket where indicated prominently marked by at least 8 buoys, under ADDRESSES. We seek any PART 100—REGATTAS AND MARINE placed and maintained throughout the comments or information that may lead PARADES course of the event by the event sponsor to the discovery of a significant in a pattern approved by the PATCOM. environmental impact from this ■ 1. The authority citation for part 100 In addition, the Coast Guard will notify proposed rule. is revised to read as follows: the public of the zone locations via

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Broadcast Notice to Mariners on the day immediate stop and comply with the In addition, EPA reserves the right to of the event. lawful directions issued. Failure to make additional awards under this Spectator vessel means any vessel or comply with a lawful direction may announcement, consistent with Agency person, including human-powered craft, result in additional operating policy and guidance, if additional which is not designated by the sponsor restrictions, citation for failure to funding is available after the original as a support vessel. comply, or both. selections are made. Support vessel means a vessel, (9) During the events, vessel operators DATES: EPA will collect LOIs in two including jet skis, which is designated may contact the PATCOM on VHF–FM selection rounds in FY 2017. The first and conspicuously marked by the channel 16. LOI submittal period will begin on sponsor to provide direct support to the Dated: December 13, 2016. January 10, 2017, and end at midnight competitors. Support vessels must be in the time zone of the prospective pre-designated and approved to serve as Anthony J. Ceraolo, Captain, U.S. Coast Guard, Captain of the borrower on April 10, 2017. The second such for this event by the Officer in LOI submittal period, if needed, will Charge, Marine Inspection (OCMI) prior Port San Francisco. [FR Doc. 2017–00175 Filed 1–9–17; 8:45 am] begin on August 1, 2017 and end at to the competition. midnight in the time zone of the BILLING CODE 9110–04–P Zone 1 means the competition area prospective borrower on September 29, within the regulated area. Zone 1 will 2017. generally be located to the northwest of ADDRESSES: Prospective borrowers a line drawn between Sail Rock ENVIRONMENTAL PROTECTION should submit all LOIs electronically (37°29′34″ N., 122°30′02″ W.) and AGENCY via email at: [email protected]. Prospective 37°29′10.410″ N., 122°30′21.904″ W. borrowers will receive a confirmation Zone 2 means the area within the [FRL 9957–79–OW] email and are advised to request a regulated area where the Coast Guard 40 CFR Part 35 return receipt to confirm transmission. may direct the movement of all vessels, Only LOIs received by email, as including restricting vessels from this Notice of Funding Availability (NOFA) provided above, shall be considered for area. Zone 2 will generally be located to for Applications for Credit Assistance funding. the southeast of a line drawn between Under the Water Infrastructure Finance Prospective borrowers can access Sail Rock (37°29′34″ N., 122°30′02″ W.) and Innovation Act (WIFIA) Program additional information, including the and 37°29′10.410″ N., 122°30′21.904″ W. WIFIA program handbook and (d) Special local regulations. The AGENCY: Environmental Protection application materials, on the WIFIA following regulations apply between 6 Agency (EPA). Web site: https://www.epa.gov/wifia/. a.m. and 6 p.m. on the competition day. ACTION: Notice of funding availability. (1) Only support vessels may be SUPPLEMENTARY INFORMATION: In the first authorized by the Patrol Commander SUMMARY: In the Further Continuing and selection round, EPA will make (PATCOM) to enter Zone 1 during the Security Assistance Appropriations Act, available the full $17 million of budget competition. 2017, signed by the President on authority appropriated for the WIFIA (2) Entering the water in Zone 1 by December 10, 2016, Congress provided program to provide credit assistance. any person other than the competitors is $20 million in budget authority for the This $17 million in Federal funding can prohibited. Competitors may enter the Water Infrastructure Finance and help finance total project costs of more water in Zone 1 from authorized Innovation Act of 2014 (WIFIA) than $2 billion. If funding remains after support vessels only. program. This funding covers the the first selection round, EPA will hold (3) Spectator vessels and support Federal government’s anticipated cost of a second round. The second LOI vessels within Zone 2 must maneuver as providing a much larger amount of submittal period, if needed, will begin directed by PATCOM. Given the credit assistance. Environmental on August 1, 2017 and end at midnight changing nature of the surf in the Protection Agency (EPA) estimates that in the time zone of the prospective vicinity of the competition, PATCOM current budget authority may provide borrower on September 29, 2017. Late may close Zone 2 to all vessels due to more than $1 billion in credit assistance proposals will not be considered for hazardous conditions. Due to weather and may finance over $2 billion in water funding. and sea conditions, the Captain of the infrastructure investment. The purpose EPA will announce the amount Port may deny access to Zone 2 and the of this notice of funding availability available in the second selection round remainder of the regulated area to all (NOFA) is to solicit letters of interest through a notice in the Federal Register, vessels other than competitors and (LOIs) from prospective borrowers as well as on EPA’s WIFIA program Web support vessels on the day of the event seeking credit assistance from EPA. site. In the event that EPA changes the (4) Entering the water in Zone 2 by EPA will evaluate and select proposed application or selection process to any person is prohibited. projects described in the LOIs using the incorporate best practices from the (5) Rafting and anchoring of vessels selection criteria established in initial round, a new NOFA will be are prohibited within the regulated area. regulation at 40 CFR 35.10055,1 and published. (6) Only vessels authorized by the further described in this NOFA as well For a project to be considered during PATCOM will be permitted to tow other as the WIFIA program handbook. This a selection round, EPA must receive a watercraft within the regulated area. NOFA establishes relative weights that complete LOI electronically via email (7) Spectator and support vessels in will be used in the current LOI before the corresponding deadline listed Zones 1 and 2 must operate at speeds submittal period for the selection above. EPA is only able to accept emails which will create minimum wake, in criteria and outlines the process that of 25 MB or smaller with unzipped general, 7 miles per hour or less. applicants must follow to be considered attachments. If necessary due to size (8) If granted permission to enter the for WIFIA credit assistance. restrictions, prospective borrowers may regulated area, when hailed or signaled submit attachments separately, as long by the PATCOM by a succession of 1 81 FR 91822, https://www.federalregister.gov/ as they are received by the deadline. sharp, short signals by whistle or horn, documents/2016/12/19/2016–30194/credit- When writing a LOI, prospective the hailed vessel must come to an assistance-for-water-infrastructure-projects borrowers must also fill out the form

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and follow the guidelines contained on the risk is relatively low, this funding B. Eligible Projects the WIFIA program Web site: https:// can be leveraged into a much larger The WIFIA statute authorizes EPA to www.epa.gov/wifia/. Prospective amount of credit assistance. EPA provide credit assistance for a wide borrowers should provide the LOI and estimates that this appropriation will variety of projects. Projects must be one any attachments as searchable PDF files, allow it to provide approximately $1 of the following in order to be eligible 2 whenever possible, to facilitate EPA’s billion in long-term, low-cost financing for WIFIA credit assistance: review. Additionally, prospective to water and wastewater projects and (i) One or more activities that are borrowers should ensure that financial accelerate more than $2 billion in eligible for assistance under section information, including the pro forma infrastructure investment around the 603(c) of the Federal Water Pollution financial statement, is in a formula- country. Control Act (33 U.S.C. 1383(c)), based Microsoft Excel document Recognizing the need that exists in notwithstanding the public ownership whenever possible. Section V of this both small and large communities to requirement under paragraph (1) of that NOFA provides additional details on invest in infrastructure, Congress subsection; the contents of the LOIs. stipulated in WIFIA that EPA set aside (ii) One or more activities described EPA will invite final applications 15% of the budget authority in section 1452(a)(2) of the Safe from prospective borrowers whose appropriated each year for small Drinking Water Act (42 U.S.C. 300j– project proposals are selected for communities, defined as systems that 12(a)(2)); continuation in the application process. serve a population of less than 25,000. (iii) A project for enhanced energy EPA must receive final applications Of the funds set aside, any amount not efficiency in the operation of a public within 365 days of the invitation to obligated by June 1 of the fiscal year for water system or a publicly owned apply. If EPA does not receive an which budget authority is set aside may treatment works; application within this timeframe, it is be used for any size community. (iv) A project for repair, rehabilitation, considered withdrawn and the Regardless of whether EPA obligates or replacement of a treatment works, prospective borrower will need to these funds by June 1 of the fiscal year community water system, or aging water resubmit a LOI to be considered in any for which budget authority is set aside, distribution or waste collection facility subsequent rounds of project selection. EPA will endeavor to use 15% of its (including a facility that serves a budget authority for small communities. Table of Contents population or community of an Indian In addition to assisting both large and reservation); I. Background small projects and communities, WIFIA (iv) A brackish or sea water II. Program Funding will be an attractive borrowing desalination project, including chloride III. Eligibility Requirements mechanism for a variety of different control, a managed aquifer recharge IV. Types of Credit Assistance borrower and credit types. EPA V. Letters of Interest and Applications project, a water recycling project, or a VI. Fees anticipates that WIFIA’s low cost project to provide alternative water VII. Selection Criteria combined with the debt structuring supplies to reduce aquifer depletion; flexibilities offered by the program will (v) A project to prevent, reduce, or I. Background be of benefit to municipalities, private mitigate the effects of drought, Congress enacted WIFIA as part of the entities, project financings, and to the including projects that enhance the Water Resources Reform and State Revolving Fund programs. resilience of drought-stricken Development Act of 2014 (WRRDA). III. Eligibility Requirements watersheds; Codified at 33 U.S.C. 3901–3914, as (vi) Acquisition of real property or an amended by sec. 5008 of the Water The WIFIA statute and implementing interest in real property— Infrastructure Improvements for the rules set forth eligibility requirements (a) If the acquisition is integral to a Nation (WIIN) Act, signed into law by for prospective borrowers, projects, and project described in paragraphs (i) the President on December 16, 2016, project costs. The requirements outlined through (v); or WIFIA establishes a new federal credit below are described in greater detail in (b) Pursuant to an existing plan that, program for water infrastructure projects the WIFIA program handbook. in the judgment of the Administrator, to be administered by EPA. WIFIA A. Eligible Applicants would mitigate the environmental authorizes EPA to provide federal credit impacts of water resources assistance in the form of secured (direct) Prospective borrowers must be one of infrastructure projects otherwise eligible loans or loan guarantees for eligible the following in order to be eligible for for assistance under this section; water infrastructure projects. WIFIA credit assistance: (vii) A combination of projects, each The WIFIA program’s mission is to (i) A corporation; of which is eligible under paragraph (i) accelerate investment in our nation’s (ii) A partnership; or (ii), for which a State infrastructure water and wastewater infrastructure by (iii) A joint venture; (iv) A trust; financing authority submits to the providing long-term, low-cost, (v) A Federal, State, or local Administrator a single application; or supplemental credit assistance under governmental entity, agency, or (viii) A combination of projects customized terms to creditworthy instrumentality; secured by a common security pledge, drinking water and wastewater (vi) A tribal government or a each of which is eligible under infrastructure projects of national and consortium of tribal governments; or paragraph (i), (ii), (iii), (iv), (v), or (vi), regional significance. (vii) A State infrastructure financing for which an eligible entity, or a combination of eligible entities, submits II. Program Funding authority. a single application. Congress appropriated $20 million in 2 This estimated loan volume is provided for C. Eligible Costs funding to cover the subsidy cost of reference only. Consistent with the Federal Credit providing WIFIA credit assistance. The Reform Act of 1990 and the requirements of the As defined under 33 U.S.C. 3906 and subsidy cost represents the Federal Office of Management and Budget, the actual described in the WIFIA program subsidy cost of providing credit assistance is based handbook, eligible project costs are government’s risk that the loan may not on individual project characteristics and calculated be paid back, and since EPA anticipates on a project-by-project basis. Thus, actual lending costs associated with the following that on average for the water industry, capacity may vary. activities:

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(i) Development-phase activities, E. Federal Requirements (xv) Magnuson-Stevens Fishery including planning, feasibility analysis All projects receiving WIFIA Conservation and Management Act, 16 (including any related analysis U.S.C. 1801 et seq., http:// assistance must comply with Federal _ necessary to carry out an eligible requirements and regulations, including www.nmfs.noaa.gov/sfa/laws policies/ project), revenue forecasting, (but not limited to): msa/; environmental review, permitting, (i) American Iron and Steel (xvi) National Historic Preservation preliminary engineering and design Requirement, 33 U.S.C. 3914, https:// Act, 16 U.S.C. 470 et seq., https:// work, and other preconstruction www.epa.gov/cwsrf/state-revolving- www.nps.gov/archeology/tools/laws/ activities; fund-american-iron-and-steel-ais- NHPA.htm; (ii) Construction, reconstruction, requirement; (xvii) Safe Drinking Water Act, 42 rehabilitation, and replacement (ii) Labor Standards, 33 U.S.C. 1372, U.S.C. 300f et seq., https:// activities; https://www.dol.gov/whd/govcontracts/ www.epa.gov/ground-water-and- (iii) The acquisition of real property dbra.htm; drinking-water; or an interest in real property (including (iii) National Environmental Policy (xviii) Wild and Scenic Rivers Act, 16 water rights, land relating to the project, Act of 1969, 42 U.S.C. 4321 et seq., U.S.C. 1271 et seq., https://rivers.gov/; and improvements to land), https://www.epa.gov/nepa; (xix) Debarment and Suspension, environmental mitigation (including (iv) Floodplain Management, Executive Order 12549, 51 FR 6370, acquisitions pursuant to section 5026(7) Executive Order 11988, 42 FR 26951, https://www.archives.gov/federal- of the statute), construction May 24, 1977, as amended by Executive register/codification/executive-order/ contingencies, and acquisition of Order 13690, 80 FR 6425, February 4, 12549.html; equipment; and 2015, https://www.archives.gov/federal- (xx) Demonstration Cities and (iv) Capitalized interest necessary to register/codification/executive-order/ Metropolitan Development Act, 42 meet market requirements, reasonably 11988.html, https:// U.S.C. 3301 et seq., as amended, and required reserve funds, capital issuance www.whitehouse.gov/the-press-office/ Executive Order 12372, 47 FR 30959, expenses, and other carrying costs http://portal.hud.gov/hudportal/ 2015/01/30/executive-order- _ _ during construction. Capitalized interest establishing-federal-flood-risk- HUD?src=/program offices/comm on WIFIA credit assistance may not be management-standard-and-https:// planning; included as an eligible project cost. www.fema.gov/media-library/assets/ (xxi) Drug-Free Workplace Act, 41 U.S.C. 8101 et seq., https:// D. Threshold Requirements documents/110377; (v) Archeological and Historic webapps.dol.gov/elaws/asp/drugfree/ In order for a project to be considered Preservation Act, 16 U.S.C. 469–469c, screen4.htm; for WIFIA credit assistance, a project https://www.nps.gov/archeology/tools/ (xxii) New Restrictions on Lobbying, must meet the following six criteria: laws/ahpa.htm; 31 U.S.C. 1352, https://www.epa.gov/ (i) The project and obligor shall be (vi) Clean Air Act, 42 U.S.C. 7401 et grants/lobbying-and-litigation- creditworthy; seq., https://www.epa.gov/clean-air-act- information-federal-grants-cooperative- (ii) A project shall have eligible overview; agreements-contracts-and-loans; project costs that are reasonably (vii) Clean Water Act, 33 U.S.C. 1251 (xxiii) Prohibitions relating to anticipated to equal or exceed $20 et seq., https://www.epa.gov/aboutepa/ violations of the Clean Water Act or million, or for a project eligible under about-office-water; Clean Air Act with respect to Federal paragraphs (2) or (3) of 33 U.S.C. 3905 (viii) Coastal Barrier Resources Act, contracts, grants, or loans under 42 serving a community of not more than 16 U.S.C. 3501 et seq., https:// U.S.C. 7606 and 33 U.S.C. 1368, and 25,000 individuals, project costs that are www.fws.gov/ecological-services/ Executive Order 11738, 38 FR 25161, reasonably anticipated to equal or habitat-conservation/cbra/Act/ September 12, 1973, https:// exceed $5 million; index.html; www.archives.gov/federal-register/ (iii) Project financing shall be (ix) Coastal Zone Management Act, 16 codification/executive-order/ repayable, in whole or in part, from U.S.C. 1451 et seq., https:// 11738.html; State or local taxes, user fees, or other coast.noaa.gov/czm/about/; (xxiv) The Uniform Relocation dedicated revenue sources that also (x) Endangered Species Act, 16 U.S.C. Assistance and Real Property secure the senior project obligations of 1531 et seq., https://www.fws.gov/ Acquisition Policies Act of 1970, 42 the project; shall include a rate endangered/; U.S.C. 4601 et seq., https:// covenant, coverage requirement, or (xi) Federal Actions to Address www.gpo.gov/fdsys/pkg/FR-2005-01-04/ similar security feature supporting the Environmental Justice in Minority pdf/05-6.pdf; project obligations; and may have a lien Populations and Low-Income (xxv) Age Discrimination Act, 42 on revenues subject to any lien securing Populations, Executive Order 12898, 59 U.S.C. 6101 et seq., https:// project obligations; FR 7629, February 16, 1994, https:// www.eeoc.gov/laws/statutes/adea.cfm; (iv) In the case of a project that is www.archives.gov/files/federal-register/ (xxvi) Equal Employment undertaken by an entity that is not a executive-orders/pdf/12898.pdf; Opportunity, Executive Order 11246, 30 State or local government or an agency (xii) Protection of Wetlands, FR 12319, September 28, 1965, https:// or instrumentality of a State or local Executive Order 11990, 42 FR 26961, www.dol.gov/ofccp/regs/compliance/ government, or a tribal government or May 25, 1977, as amended by Executive ca_11246.htm; consortium of tribal governments, the Order 12608, 52 FR 34617, September (xxvii) Section 13 of the Clean Water project that the entity is undertaking 14, 1987, https://www.epa.gov/cwa-404; Act, Pub. L. 92–500, codified in 42 shall be publicly sponsored. (xiii) Farmland Protection Policy Act, U.S.C. 1251, https://www.epa.gov/ocr/ (v) The applicant shall have 7 U.S.C. 4201 et seq., https:// section-13-federal-water-pollution- developed an operations and www.nrcs.usda.gov/wps/portal/nrcs/ control-act-amendments-1972; maintenance plan that identifies detail/?cid=nrcs143_008275; (xxviii) Section 504 of the adequate revenues to operate, maintain, (xiv) Fish and Wildlife Coordination Rehabilitation Act, 29 U.S.C. 794, and repair the project during its useful Act, 16 U.S.C. 661–666c, as amended, supplemented by Executive Orders life. https://www.fws.gov/; 11914, 41 FR 17871, April 29, 1976 and

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11250, 30 FR 13003, October 13, 1965, described in Section III of this NOFA the project post-completion, discusses https://www.epa.gov/ocr/section-504- and based on the information provided the sources of revenue used to finance rehabilitation-act-1973; in the LOI. these activities, and provides an (xxix) Title VI of the Civil Rights Act Below is guidance on what should be estimate of the useful life of the project. of 1964, 42 U.S.C. 2000d et seq., https:// included in the LOI. D. Financing Plan. The prospective www.epa.gov/environmentaljustice/title- A. Prospective Borrower Information. borrower details the proposed sources vi-and-environmental-justice; In this section, the prospective borrower and uses of funds for the project and (xxx) Participation by Disadvantaged describes its project’s organizational states the type and amount of credit Business Enterprises in Procurement structure, financial condition and assistance it is seeking from the WIFIA under Environmental Protection Agency experience, and project’s readiness to program. The discussion of proposed (EPA) Financial Assistance Agreements, proceed. Also, the prospective borrower financing should identify the source(s) 73 FR 15904, https://www.epa.gov/ provides basic information such as its of revenue or other security that would resources-small-businesses. address, Web site, Dun and Bradstreet be pledged to the WIFIA assistance. Detailed information about some of Data Universal Number System (DUNS) Additionally, the prospective borrower these requirements is outlined in the number, and employer/taxpayer describes the credit characteristics of WIFIA program handbook. Further identification number numbers. As part the project and how the senior information can be found at the links of the description of its financial obligations of the project will achieve an above. condition, the prospective borrower investment-grade rating as well as the should include the year-end audited anticipated rating on the WIFIA IV. Types of Credit Assistance financial statements for the past three instrument. It also includes a summary Under WIFIA, EPA is permitted to years, as available. financial pro forma as well as revenue provide credit assistance in the form of In the case of a project that is and expense projections for the life of secured (direct) loans or loan undertaken by an entity that is not a the WIFIA debt. guarantees. The maximum amount of State or local government or an agency E. Selection Criteria. The prospective WIFIA credit assistance to a project is or instrumentality of a State or local borrower describes the potential policy 49 percent of eligible project costs. Each government, or a tribal government or benefits achieved through the use of prospective borrower will list the consortium of tribal governments, the WIFIA assistance with respect to each of estimated total capital costs of the project that the entity is undertaking the WIFIA program selection criteria. project, broken down by activity type must be publicly sponsored. Public These criteria and their weights are and differentiating between eligible sponsorship means that the recipient enumerated in Section VII of this NOFA project costs and ineligible project costs can demonstrate, to the satisfaction of and further explained in the program in the LOI and application. the EPA, that the project applicant has handbook. consulted with the affected State, local, F. Contact Information.The V. Letters of Interest and Applications or tribal government in which the prospective borower identifies the point Each prospective borrower will be project is located, or is otherwise of contact with whom the WIFIA required to submit a LOI and, if invited, affected by the project and that such program should communicate regarding an application to EPA in order to be government supports the proposed the LOI. For the purpose of completing considered for approval. This section project. A prospective borrower can its evaluation, WIFIA program staff may describes the LOI submission and show support by including a certified contact a prospective borrower application submission. letter signed by the approving regarding specific information in the municipal department or similar A. Letter of Interest LOI. agency, mayor or other similar G. Certifications. The prospective Applicants seeking a WIFIA loan designated authority, local ordinance, or borrower certifies that it will abide by must submit a LOI describing the any other means by which local all applicable laws and regulations, project fundamentals and addressing the government approval can be evidenced. including NEPA, the Federal Water WIFIA selection criteria. B. Project Plan. The prospective Pollution Control Act, the American The primary purpose of the LOI is to borrower provides a general description Iron and Steel requirements, and provide adequate information to EPA to: of the project, including its location, Federal labor standards, among others if (i) Validate the eligibility of the population served, purpose, design selected to receive funding. prospective borrower and the features, estimated capital cost, and H. SRF Notification. The prospective prospective project, (ii) perform a development schedule. The prospective borrower acknowledges that EPA will preliminary creditworthiness borrower describes how the project can notify the State infrastructure financing assessment, (iii) perform a preliminary be categorized as one of the project authority in the State in which the engineering feasibility assessment, and types eligible for WIFIA assistance as project is located that it submitted a LOI (iv) evaluate the project against the described in the program handbook. The and provide the submitted LOI and selection criteria and identify which prospective borrower includes other source documents to that authority. The projects EPA will invite to submit relevant information that could affect prospective borrower may opt out of applications. Prospective borrowers are the development of the project, such as having its LOI and source documents encouraged to review the WIFIA community support, pending shared. program handbook to help create the legislation, or litigation. In this section, best justification possible for the project the prospective borrower summarizes B. Application and a cohesive and comprehensive LOI the status of the project’s environmental After the EPA concludes its submittal. review, engineering report, and other evaluation of the LOIs, a selection Prospective applicants should utilize approvals or analyses that are integral to committee will invite prospective the LOI form on the WIFIA Web site and the project’s development. borrowers to apply based on ensure that sufficient detail about the C. Project Operations and preliminary engineering feasibility project is provided for EPA’s review. Maintenance Plan. The prospective findings, the preliminary EPA will notify a prospective applicant borrower describes its plan for creditworthiness assessment, the if a project is deemed ineligible as operating, maintaining, and repairing amount of budget authority necessary to

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provide WIFIA credit assistance, and VI. Fees weighted based upon EPA’s mission and the scoring of the selection criteria in There is no fee to submit a LOI. EPA priorities as well as factors influencing accordance with Section VII of this has proposed in ‘‘Fees for Water the successful implementation of the NOFA. Infrastructure Project Applications WIFIA program. There is no threshold Applications must be submitted using under WIFIA’’, found at Docket ID No. score that must be achieved in order to the form provided on the WIFIA Web EPA–HQ–OW–2016–0568 at http:// be selected. Rather, the selection site: https://www.epa.gov/wifia/. The www.regulations.gov, that each invited committee will weigh each of the factors purpose of the application is to provide applicant must submit, concurrent with outlined above in making final the WIFIA program with the materials its application, a non-refundable determinations. An invitation to apply for WIFIA necessary to underwrite the loan. Application Fee of $25,000 for projects credit assistance does not guarantee Underwriting performed by the WIFIA serving communities of not more than EPA’s approval, which remains subject team will include a thorough evaluation 25,000 individuals or $100,000 for all to a project’s continued eligibility, of the project’s plan of finance and other projects. Applications will not be including creditworthiness, the underlying economics, including a evaluated until the Application Fee is successful negotiation of terms detailed assessment of the project’s cash paid. For successful applicants, this fee acceptable to EPA, and the availability flow and proposed credit terms. The will be credited toward final payment of of funds at the time at which all WIFIA team will review the inputs and a Credit Processing Fee, assessed necessary recommendations and assumptions in the financing plan, the following financial close, to reimburse evaluations have been completed. revenue and expenditures in the the EPA for actual engineering, However, the purpose of EPA’s LOI financing plan, the project’s ability to financial, and legal costs. In the event a review is to pre-screen prospective meet WIFIA loan repayment obligations, final credit agreement is not executed, borrowers to the extent practicable. In and project risks and mitigants, among the borrower is still required to doing this, it is expected that EPA will other things. An application fee may be reimburse EPA for the costs incurred. only invite projects to apply if it required, as determined by the final fee Typically, the amount of this credit anticipates that those projects are able to rule. processing fee is expected to range obtain WIFIA credit assistance. EPA will require a preliminary rating between $350,000 and $700,000, The selection criteria incorporate opinion letter indicating that the although it can be greater for projects statutory eligibility requirements as well project’s senior debt obligations have that require complex financial as EPA priorities. EPA has identified the the potential to attain an investment- structures and extended negotiations or following project priorities for the LOI grade rating, prior to approving a project lower for projects that require simpler for credit assistance. To demonstrate submittal period: financial structures and shorter (i) Adaptation to extreme weather and this potential, each application must negotiations. include a preliminary rating opinion climate change including enhanced Borrowers may finance any of the fees infrastructure resiliency, water recycling letter from a Nationally Recognized described above with WIFIA credit Statistical Rating Organization (NRSRO) and reuse, and managed aquifer assistance, in accordance with recent recovery; that addresses the creditworthiness of amendments to WIFIA found in section the senior debt obligations funding the (ii) Enhanced energy efficiency of 5008 of the Water Infrastructure treatment works, public water systems, project (i.e., debt obligations which have Improvements for the Nation (WIIN) a lien senior to that of the WIFIA credit and conveyance systems, including Act. Borrowers may not finance any innovative, energy efficient nutrient instrument on the pledged security) and other expenses associated with the the default risk of the WIFIA loan. The treatment; application process, such as charges (iii) Green infrastructure; and preliminary rating opinion letter must associated with obtaining the required (iv) Repair, rehabilitation, and be based on the financing structure preliminary rating opinion letter, with replacement of infrastructure and proposed by the prospective borrower, WIFIA credit assistance. conveyance systems. must conclude that there is a reasonable VII. Selection Process and Criteria EPA’s priorities reflect water sector probability for the senior debt challenges that require innovative tools obligations to receive an investment This section specifies the criteria and to assist municipalities in managing and grade rating, and should opine on the process that EPA will use to evaluate adapting to our most pressing public default risk of the WIFIA credit and award applications for WIFIA health and environmental challenges. assistance itself. If the WIFIA credit assistance. These priorities are reflected in the assistance is proposed as the senior After EPA concludes its evaluation of relative weights of the thirteen selection obligation, then it must receive the the LOIs, a selection committee will criteria below, described in greater investment grade rating. A project that invite prospective borrowers to apply detail in the WIFIA program handbook. does not demonstrate the potential for based on the scoring of the selection Listed in order of relative weight for its senior obligations to receive an criteria, the initially estimated amount this LOI submittal period, the WIFIA investment grade rating will not be of budget authority consumed by the selection criteria are as follows: considered for a WIFIA loan. project, the preliminary (i) The extent to which the project is Finally, prior to execution of a WIFIA creditworthiness assessment, and the nationally or regionally significant, with loan agreement, each prospective preliminary engineering feasibility respect to the generation of economic borrower must obtain two investment assessment. In addition, the selection and public health benefits: 10 percent. grade ratings on its project’s senior debt committee will take into consideration (ii) The likelihood that assistance obligations (which may be the WIFIA geographic and project diversity when under WIFIA would enable the project credit instrument) and revised opinions identifying which projects should be to proceed at an earlier date than the on the default risk of the WIFIA loan. invited to submit complete applications. project would otherwise be able to Detailed information requirements for To maintain consistency throughout proceed: 5 percent. the application are listed in the the evaluation process, the criteria will (iii) The extent to which the project application form, and are described in receive a score on the rating scale of 1– uses new or innovative approaches such the WIFIA program handbook. 5, 1 being the lowest. Each criterion is as the use of energy efficient parts and

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systems, or the use of renewable or (viii) The extent to which the project communities, or pockets of alternate sources of energy; green addresses identified municipal, state, or economically stressed rate payers infrastructure; and the development of regional priorities: 5 percent. within otherwise non- communities: 10 alternate sources of drinking water (ix) The readiness of the project to percent. proceed towards development, through desalination, aquifer recharge The scoring scales and guidance used or water recycling: 10 percent. including a demonstration by the (iv) The extent to which the project prospective borrower that there is to evaluate each project against the protects against extreme weather events, reasonable expectation that the selection criteria are available in the such as floods or hurricanes, as well as contracting process for construction of WIFIA program handbook. Prospective the impacts of climate change: 10 the project can commence by not later borrowers considering WIFIA should percent. than ninety days after the date on which review the WIFIA program handbook (v) The extent to which the project a Federal credit instrument is obligated: and discuss how the project addresses helps maintain or protect the 5 percent. each of these selection criteria in the environment or public health: 10 (x) The extent to which the project LOI submission. percent. financing plan includes public or In the event that EPA changes the (vi) The extent to which the project private financing in addition to application or selection process to serves regions with significant energy assistance under WIFIA: 5 percent. incorporate best practices from the exploration, development, or (xi) The extent to which assistance initial round, a new NOFA will be production areas: 5 percent. under WIFIA reduces the contribution published. Any updates will also be (vii) The extent to which the project of Federal assistance to the project: 5 available on the WIFIA Web site: serves regions with significant water percent. https://www.epa.gov/wifia/. resource challenges, including the need (xii) The extent to which the project to address water quality concerns addresses needs for repair, Authority: 33 U.S.C. 3901–3914; 40 CFR related to groundwater, surface water, or rehabilitation, or replacement of a part 35. other resources, significant flood risk, treatment works, community water Dated: December 22, 2016. water resource challenges identified in system, or aging water distribution or Gina McCarthy, existing regional, state, or multistate wastewater collection system: 10 agreements, and water resources with percent. Administrator. exceptional recreational value or (xiii) The extent to which the project [FR Doc. 2016–31828 Filed 1–9–17; 8:45 am] ecological importance: 10 percent. serves economically stressed BILLING CODE 6560–50–P

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Notices Federal Register Vol. 82, No. 6

Tuesday, January 10, 2017

This section of the FEDERAL REGISTER Authority: 7 U.S.C. 71–87k. available for public inspection at the contains documents other than rules or Larry Mitchell, office above during regular business proposed rules that are applicable to the hours (7 CFR 1.27(c)). public. Notices of hearings and investigations, Administrator, Grain Inspection, Packers and FOR FURTHER INFORMATION CONTACT: committee meetings, agency decisions and Stockyards Administration. rulings, delegations of authority, filing of [FR Doc. 2017–00203 Filed 1–9–17; 8:45 am] Jacob Thein, 816–866–2223 or [email protected] petitions and applications and agency BILLING CODE 3410–KD–P statements of organization and functions are SUPPLEMENTARY INFORMATION: Section examples of documents appearing in this 79(f) of the United States Grain section. DEPARTMENT OF AGRICULTURE Standards Act (USGSA) authorizes the Secretary to designate a qualified Grain Inspection, Packers and applicant to provide official services in DEPARTMENT OF AGRICULTURE Stockyards Administration a specified area after determining that the applicant is better able than any Grain Inspection, Packers and Opportunity for Designation in the other applicant to provide such official Stockyards Administration (GIPSA) Casa Grande, Arizona, Area; Request services (7 U.S.C. 79(f)). Under section for Comments on the Official Agency 79(g) of the USGSA, designations of Designation of Fremont Grain Servicing This Area Inspection Department, Inc. To provide official agencies are effective for no Class X or Class Y Weighing Services AGENCY: Grain Inspection, Packers and longer than five years, unless terminated Stockyards Administration, USDA. by the Secretary, and may be renewed AGENCY: Grain Inspection, Packers and ACTION: Notice. according to the criteria and procedures Stockyards Administration, USDA. prescribed in section 79(f) of the ACTION: Notice. SUMMARY: The designation of the official USGSA. agency listed below will end on March SUMMARY: Areas Open for Designation GIPSA is announcing the 31, 2017. We are asking persons or designation of Fremont Grain Inspection governmental agencies interested in Farwell Southwest Department, Inc. (Fremont) to provide providing official services in the areas Class X or Class Y weighing services Pursuant to Section 79(f)(2) of the presently served by this agency to under the United States Grain Standards United States Grain Standards Act, the submit an application for designation. Act (USGSA), as amended. following geographic area in the States In addition, we are asking for comments DATES: Effective Date: November 9, of Arizona and California is assigned to on the quality of services provided by this official agency. 2016. the following designated agency: FOR FURTHER INFORMATION CONTACT: Farwell Commodity Grain Services, Inc. In Arizona Sharon Lathrop, 816–891–0415, or (Farwell Southwest). Maricopa, Pinal, Santa Cruz, and [email protected]. DATES: Applications and comments Yuma Counties. SUPPLEMENTARY INFORMATION: In the must be received by February 9, 2017. In California August 24, 2016, Federal Register (81 ADDRESSES: Submit applications and FR 57884), GIPSA announced the comments concerning this Notice using Imperial, Riverside, and San Diego designation of Fremont to provide any of the following methods: Counties. Farwell Southwest’s assigned official services under the USGSA, • Applying for Designation on the geographic area does not include the effective July 1, 2016, to June 30, 2021. Internet: Use FGISonline (https:// export port locations inside Farwell Subsequently, Fremont asked GIPSA to fgis.gipsa.usda.gov/default_home_ Southwest’s area which are serviced by amend their designation to include FGIS.aspx) and then click on the GIPSA. official weighing services. The USGSA Delegations/Designations and Export Opportunity for Designation authorizes the Secretary to designate Registrations (DDR) link. You will need authority to perform official weighing to to obtain an FGISonline customer Interested persons or governmental an agency providing official inspection number and USDA eAuthentication agencies may apply for designation to services within a specified geographic username and password prior to provide official services in the area, if such agency is qualified under applying. geographic areas specified above under 7 U.S.C. 79. Under 7 U.S.C. 79(a), • Submit Comments Using the the provisions of section 79(f) of the GIPSA evaluated information regarding Internet: Go to Regulations.gov (http:// USGSA and 7 CFR 800.196. Designation the designation criteria in section 7 www.regulations.gov). Instructions for in the specified geographic areas in U.S.C. 79 and determined that Fremont submitting and reading comments are Arizona and California is for the period is qualified to provide official weighing detailed on the site. beginning April 1, 2017, to March 31, services in their currently assigned • Mail, Courier or Hand Delivery: 2022. To apply for designation or to geographic area. Jacob Thein, Compliance Officer, USDA, request more information, contact Jacob Fremont’s designation is amended to GIPSA, FGIS, QACD, 10383 North Thein at the address listed above. include Class X or Class Y weighing Ambassador Drive, Kansas City, MO Request for Comments within their assigned geographic area, 64153 effective November 9, 2016, to June 30, • Fax: Jacob Thein, 816–872–1257 We are publishing this Notice to 2021. Interested persons may obtain • Email: [email protected] provide interested persons the official services by contacting Fremont Read Applications and Comments: opportunity to comment on the quality at (402) 721–1270. All applications and comments will be of services provided by the Farwell

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Southwest official agency. In the • If the submission deadline falls on areas. RUS will give priority to rural designation process, we are particularly Saturday, Sunday, or a Federal holiday, areas that demonstrate the greatest need interested in receiving comments citing the application is due the next business for broadband services, based on the reasons and pertinent data supporting or day. criteria contained herein. objecting to the designation of the ADDRESSES: Copies of the FY 2017 In addition to providing service to all applicant. Submit all comments to Jacob Application Guide and materials for the premises, the program’s ‘‘community- Thein at the above address or at http:// Community Connect Grant Program may oriented connectivity’’ concept will www.regulations.gov. be obtained through: stimulate practical, everyday uses and We consider applications, comments, (1) The Community Connect Web site applications of broadband by cultivating and other available information when at http://www.rd.usda.gov/programs- the deployment of new broadband determining which applicants will be services/community-connect-grants; and services that improve economic designated. (2) The RUS Office of Loan development and provide enhanced Authority: 7 U.S.C. 71–87k. Origination and Approval at 202–720– educational and health care 0800. opportunities in rural areas. Such an Larry Mitchell, Completed applications may be approach will also give rural Administrator, Grain Inspection, Packers and submitted the following ways: Stockyards Administration. communities the opportunity to benefit (1) Paper: Mail paper applications to from the advanced technologies that are [FR Doc. 2017–00205 Filed 1–9–17; 8:45 am] the Rural Utilities Service, necessary to achieve these goals. The BILLING CODE 3410–KD–P Telecommunications Program, 1400 regulation for the Community Connect Independence Ave. SW., Room 2844, Program can be found at 7 CFR part DEPARTMENT OF AGRICULTURE STOP 1597, Washington, DC 20250– 1739. 1597. Mark address with ‘‘Attention: As in years past, the FY 2017 Rural Utilities Service Deputy Assistant Administrator, Office Community Connect Grant Application of Loan Origination and Approval, Rural Guide has been updated based on Announcement of Grant Application Utilities Service.’’ program experience. All applicants Deadlines and Funding Levels (2) Electronic: Submit electronic should carefully review and prepare applications through Grants.gov. AGENCY: Rural Utilities Service, USDA. their applications according to Prospective applicants can access instructions in the FY 2017 Application ACTION: Notice of Solicitation of information on submitting electronic Guide and sample materials. Expenses Applications (NOSA). applications at any time, regardless of incurred in developing applications will SUMMARY: The Rural Utilities Service registration status, through the be at the applicant’s own risk. Grants.gov Web site at http:// (RUS), an agency of the United States B. Federal Award Information Department of Agriculture (USDA), www.grants.gov. However, in order to herein referred to as RUS or the Agency, use the electronic submission option, In accordance with 7 CFR 1739.2, the announces its Community Connect applicants must register with Administrator has established a Grant Program application window for Grants.gov. minimum grant request amount of Fiscal Year (FY) 2017. In addition, this FOR FURTHER INFORMATION CONTACT: $100,000 and a maximum grant request NOSA announces the minimum and Shawn Arner, Deputy Assistant amount of $3,000,000 per application maximum Community Connect grant Administrator, Office of Loan for FY 2017. amounts, the funding priority, the Origination and Approval, Rural The standard grant agreement, which application submission dates, the Utilities Service, U.S. Department of specifies the term of each award, is agency contact information, and the Agriculture, telephone: (202) 720–0800. available at http://www.rd.usda.gov/ procedures for submission of paper and SUPPLEMENTARY INFORMATION: files/UTP_Comm_ electronic applications. ConnectGrantAgreement.pdf. The RUS will publish the amount of Overview Agency will make awards, and funding received in the final Federal Agency: Rural Utilities successful applicants will be required to appropriations act on its Web site at Service (RUS). execute documents appropriate to the http://www.rd.usda.gov/newsroom/ Funding Opportunity Title: project before the Agency will advance notices-solicitation-applications-nosas. Community Connect Grant Program. funding. Applicants can review the Community Announcement Type: Initial While prior Community Connect Connect Grant Program regulation at 7 announcement. grants cannot be renewed, existing CFR part 1739 (Subpart A). Funding Opportunity Number: Community Connect awardees may DATES: Submit completed paper or RDRUS–CC–2017. submit applications for new projects. electronic grant applications by the Catalog of Federal Domestic The Agency will evaluate project following deadlines: Assistance (CFDA) Number: 10.863. proposals from existing awardees as • Paper submissions: Paper Dates: Applicants must submit the new applications. All grant applications submissions must be postmarked and paper or electronic grant applications by must be submitted during the mailed, shipped, or sent overnight no the deadlines found in this section and application window. later than March 13, 2017 to be eligible Section D(5). for FY 2017 grant funding. Late or C. Eligibility Information A. Program Description incomplete applications will not be 1. Eligible Applicants (See 7 CFR eligible for FY 2017 grant funding. The purpose of the Community 1739.10) • Electronic submissions: Electronic Connect Grant Program is to provide submissions must be received no later financial assistance in the form of grants a. Only entities legally organized as than March 13, 2017 to be eligible for to eligible applicants that will provide one of the following are eligible for FY 2017 grant funding. Late or service at the Broadband Grant Speed to Community Connect Grant Program incomplete applications will not be all premises in currently unserved, financial assistance: eligible for FY 2017 grant funding. lower-income, and extremely rural i. An incorporated organization.

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ii. An Indian tribe or tribal a. Grant applicants must demonstrate is served or unserved. Until otherwise organization, as defined in 25 U.S.C. matching contributions in cash of at revised in the Federal Register, the 450b. least fifteen percent (15%) of the minimum rate-of-data transmission that iii. A state or local unit of requested grant amount. Matching qualifies as Minimum Broadband government. contributions must be used solely for Service is four (4) megabits per second iv. Other legal entity, including a the Project and shall not include any downstream and one (1) megabit per cooperative, private corporation, or financial assistance from federal sources second upstream for both fixed and limited liability company organized on unless there is a federal statutory mobile broadband service. RUS will a for-profit or not-for-profit basis. exception specifically authorizing the determine that Broadband Service does b. Applicants must have the legal federal financial assistance to be not exist for areas with no broadband capacity and authority to enter into considered as such as discussed in 7 access or whose access is less than 4 contracts, to comply with applicable CFR 1739.14. Mbps downstream plus 1 Mbps federal statutes and regulations, and to b. Applications that do not provide upstream. own and operate the broadband sufficient documentation of the required b. Minimum Broadband Grant Speed. facilities as proposed in their fifteen percent match will be declared The minimum bandwidth that an application. ineligible. applicant must propose to deliver to every customer in the proposed funded c. Applicants must have an active 4. Funding Restrictions registration with current information in service area. Until otherwise revised in the System for Award Management a. Eligible grant purposes. the Federal Register, the minimum rate- Grant funds may be used to finance: (SAM) at https://www.sam.gov and have of-data transmission that qualifies as i. The construction, acquisition, or a Dun and Bradstreet (D&B) Data Minimum Broadband Grant Speed is ten leasing of facilities, including spectrum, Universal Numbering System (DUNS) (10) megabits downstream and one (1) land or buildings to deploy service at number. Further information regarding megabit upstream for both fixed and the Broadband Grant Speed to all SAM registration and DUNS number mobile service to the customer. participating Critical Community acquisition can be found in Sections c. Rural Area. A Rural Area refers to Facilities and all required facilities D(3) and D(4) of this NOSA. any area, as confirmed by the most needed to offer such service to all recent decennial Census of the United 2. Ineligible Applicants residential and business customers States, which is not located within: a. The following entities are not located within the Proposed Funded i. A city, town, or incorporated area eligible for Community Connect Grant Service Area; that has a population of greater than ii. The improvement, expansion, Program financial assistance: 20,000 inhabitants; or construction, or acquisition of a ii. An urbanized area contiguous and i. Individuals and partnerships. Community Center that furnishes free adjacent to a city or town that has a ii. Corporations that have been internet access at the Broadband Grant population of greater than 50,000 convicted of a Federal felony within the Speed and provides Computer Access inhabitants. For purposes of the past 24 months. Any corporation that Points. Grant funds provided for such definition of Rural Area, an urbanized has been assessed to have any unpaid costs shall not exceed the lesser of ten area means a densely populated federal tax liability, for which all percent (10%) of the grant amount territory as defined in the most recent judicial and administrative remedies requested or $150,000; and decennial Census. have been exhausted or have lapsed and iii. The cost of bandwidth to provide d. Proposed Funded Service Area is not being paid in a timely manner service free of charge at the Broadband (PFSA). Applicants must define a pursuant to an agreement with the Grant Speed to Critical Community contiguous geographic area within an authority responsible for collecting the Facilities for the first two (2) years of eligible Rural Area, in which Broadband tax liability, is not eligible for financial operation. Service does not currently exist, and assistance. b. Ineligible grant purposes. where the applicant proposes to offer b. In accordance with the Grant funds may not be used to service at the Broadband Grant Speed to Consolidated Appropriations Act, 2016, finance: all residential and business customers. Sections 743–4, no funds may be i. The duplication of any existing A PFSA must not overlap with Service available ‘‘for a contract, grant, or Broadband Service provided by another Areas of current RUS borrowers and cooperative agreement with an entity entity. grantees. that requires employees or contractors ii. Operating expenses other than the e. Critical Community Facilities. of such entity seeking to report fraud, cost of providing bandwidth at the Applicants must propose to offer waste, or abuse to sign internal Broadband Grant Speed to the Critical service, free of charge to users, at the confidentiality agreements or statements Community Facilities for two (2) years. Broadband Grant Speed to all Critical prohibiting or otherwise restricting such iii. Any other operating expenses not Community Facilities located within the employees or contractors from lawfully specifically permitted in 7 CFR 1739.12. Proposed Funded Service Area for at reporting such waste, fraud, or abuse to c. Other. For more information, see 7 least two (2) years. a designated investigative or law CFR 1739.3 for definitions, 7 CFR f. Community Center. Applicants enforcement representative of a Federal 1739.12 for eligible grant purposes, and must propose to provide a Community department or agency authorized to 7 CFR 1739.13 for ineligible grant Center, within the PFSA, with at least receive such information.’’ purposes. two (2) Computer Access Points and wireless access at the Broadband Grant 3. Cost Sharing or Matching 5. Other Speed free of charge to users for at least The Community Connect Grant Eligible projects must propose to two (2) years. Program requires matching fulfill the following requirements (see 7 contributions for grants. See 7 CFR CFR 1739.11 for more information): D. Application and Submission 1739.14 and the FY 2017 Application a. Minimum Broadband Service. RUS Information Guide for information on required uses this measurement to determine The FY 2017 Application Guide matching contributions. whether a proposed funded service area provides specific detailed instructions

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for each item in a complete application. 1. Address To Request Application b. Submission of Application Items. The Agency emphasizes the importance Package Given the high volume of program of including every required item and interest, applicants should submit the The FY 2017 Application Guide, strongly encourages applicants to follow required application items in the order copies of necessary forms and samples, the instructions carefully, using the indicated in the FY 2017 Application and the Community Connect Grant examples and illustrations in the FY Guide. Applications that are not Program Regulation are available in the 2017 Application Guide. Applications assembled and tabbed in the specified following locations: submitted by the application deadline, order impede timely determination of but have critical missing items will be a. Community Connect Grant Program eligibility. For applications with returned as ineligible. The Agency will Web page at http://www.rd.usda.gov/ inconsistencies among submitted not solicit or consider scoring or programs-services/community-connect- copies, the Agency will base its eligibility information that is submitted grants. evaluation on the original signed after the application deadline. However, b. The Office of Loan Origination and application received. depending on the specific scoring Approval in RUS; call 202–720–0800. criteria, applications that do not include c. Additional Information. The 2. Content and Form of Application Agency may ask for additional or all items necessary for scoring may still Submission be eligible applications, but may not clarifying information for applications receive full or any credit if the a. Carefully review the Community submitted by the deadline which appear information cannot be verified. See the Connect Application Guide and the 7 to meet the eligibility requirements, but FY 2017 Application Guide for a full CFR part 1739, which detail all require further review. discussion of each required item. For a necessary forms and worksheets. A table d. Table of Required Information in a comprehensive list of all information summarizing the necessary components Complete Grant Application. This table required in a grant application, refer to of a complete application can be found summarizes and categorizes the items 7 CFR 1739.15. in Section D(2)(d). required in a grant application.

Application item Regulation Comments

A ...... Application for Federal Assistance ...... Form provided in FY 2017 Application Guide. Form. SF–424 Standard Form. A–2 SAM Registration Information ...... Form provided in FY 2017 Application Guide. A–3 State Director Notification ...... Form provided in FY 2017 Application Guide. A–4 Equal Opportunity Survey ...... Form provided in FY 2017 Application Guide. B ...... Executive Summary of the Project ...... Narrative. C ...... Scoring Criteria Documentation ...... Narrative & Documentation. Special Considerations ...... Documentation. D ...... System Design ...... Narrative & Documentation. Network Diagram ...... Documentation. Environmental Questionnaire ...... 7 CFR part 1970 Narrative & Documentation. E ...... Service Area Map ...... Provided in RUS web-based Mapping Tool. Service Area Demographics ...... Documentation. F ...... Scope of Work ...... Narrative & Documentation. Construction Build-out and Project ...... Form provided in FY 2017 Application Guide. Milestones. Project Budget ...... Form provided in FY 2017 Application Guide. G ...... Community-oriented Connectivity ...... Narrative. Plan. H ...... Financial Information and Sustain- ...... Narrative & Documentation. ability. I ...... Statement of Experience ...... Narrative. J ...... Evidence of Legal Authority and Ex- ...... Documentation. istence. K ...... Additional Funding ...... Narrative & Documentation. L ...... Compliance with Other Statutes and Regulations. Equal Opportunity and Non- 7 CFR part 15 Form provided in FY 2017 Application Guide. discrimination. (Subpart A). Uniform Relocation Assistance and 49 CFR Part 24 Form provided in FY 2017 Application Guide. Real Property Acquisition Policies and 7 CFR Part Act of 1970. 21. Debarment, Suspension, and Other 7 CFR Part 3017 Form provided in FY 2017 Application Guide. Responsibility Matters. Lobbying for Contracts, Grants, 7 CFR Part 3018 Form provided in FY 2017 Application Guide. Loans, and Cooperative Agree- ments. Drug-Free Workplace ...... 7 CFR Part 3017 Form provided in FY 2017 Application Guide. Architectural Barriers ...... Form provided in FY 2017 Application Guide. Flood Hazard Area Precautions ...... 7 CFR 1970 ...... Form provided in FY 2017 Application Guide. Non-Duplication of Services ...... Form provided in FY 2017 Application Guide. Federal Collection Policies for Com- ...... Form provided in FY 2017 Application Guide. mercial Debt.

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Application item Regulation Comments

Assurance Regarding Felony Con- ...... Form provided in FY 2017 Application Guide (corporate applicants-only). viction or Tax Delinquent Status for Corporate Applicants.

e. Number of copies of submitted the application, and terminate all Section D(4) of this NOSA for more applications. further action. information. i. Applications submitted on paper. i. Address paper applications to the vi. RUS encourages applicants who Submit the original application and two Telecommunications Program, RUS, wish to apply through Grants.gov to (2) copies to RUS. U.S. Department of Agriculture, 1400 submit their applications in advance of ii. Applications submitted Independence Ave. SW., Room 2844, the deadline. electronically through Grants.gov. STOP 1597, Washington, DC 20250– vii. If system errors or technical Submit the electronic application once. 1597. Applications should be marked, difficulties occur, use the customer Carefully read the FY 2017 Application ‘‘Attention: Deputy Assistant support resources available at the Guide for guidance on submitting an Administrator, Office of Loan Grants.gov Web site. electronic application. Applicants Origination and Approval.’’ should identify and number each page ii. Paper applications must show E. Application Review Information in the same manner as the paper proof of mailing or shipping by the 1. Criteria application. deadline with one of the following: Grant applications are scored A. A legibly dated U.S. Postal Service 3. Dun and Bradstreet Universal competitively and are subject to the (USPS) postmark. Numbering System (DUNS) Number B. A legible mail receipt with the date criteria listed below. The maximum The grant applicant must supply a of mailing stamped by the USPS. number of points possible is 115. See 7 DUNS number as part of the C. A dated shipping label, invoice, or CFR 1739.17 and the FY 2017 application. The Standard Form 424 receipt from a commercial carrier. Application Guide for more information (SF–424) contains a field for the DUNS iii. Due to screening procedures at the on the scoring criteria. number. The applicant can obtain the USDA, packages arriving via regular a. Needs Category. The Agency DUNS number free of charge by calling mail through the USPS are irradiated, analyzes the challenges related to the Dun and Bradstreet. Go to http:// which can damage the contents and following criteria and the ways in which fedgov.dnb.com/webform for more delay delivery to the office. RUS the project proposes to address these information on DUNS number encourages applicants to consider the issues (up to 50 points): acquisition or confirmation. impact of this procedure when selecting i. Economic characteristics. their application delivery method. ii. Educational challenges. 4. System for Award Management b. Electronic grant applications iii. Health care needs. (SAM) submitted through Grants.gov must be iv. Public safety issues. Prior to submitting a paper or an received no later than March 13, 2017 b. Stakeholder Involvement Category. electronic application, the applicant to be eligible for FY 2017 funding. Late The Agency analyzes the extent of the must register in SAM at https:// or incomplete applications will not be project planning, development, and www.sam.gov/portal/public/SAM/. SAM eligible for FY 2017 grant funding. support from local residents, registration must be active with current i. Applications will not be accepted institutions, and Critical Community data at all times, from the application via fax or electronic mail. Facilities (up to 40 points). review throughout the active Federal ii. Electronic applications for grants c. Experience Category. The Agency grant funding period. To maintain active must be submitted through the federal analyzes the management team’s level of SAM registration, the applicant must government’s Grants.gov initiative at experience and past success of review and update the information in http://www.grants.gov/. Grants.gov broadband systems operation (up to 10 the SAM database annually from the contains full instructions on all required points). date of initial registration or from the passwords, credentialing, and software. d. Special Consideration Areas date of the last update. The applicant iii. Grants.gov requires some Category. In accordance with 7 CFR must ensure that the information in the credentialing and online authentication 1739.1(a), applicants may receive database is current, accurate, and procedures. These procedures may take special consideration if they submit complete. several business days to complete. documentation demonstrating that they Therefore, the applicant should will provide service at the Broadband 5. Submission Dates and Times complete the registration, credentialing, Grant Speed within the following areas a. Paper applications must be and authorization procedures at (15 points): postmarked and mailed, shipped, or Grants.gov before submitting an i. Tribal jurisdiction or trust areas. sent overnight no later than March 13, application. ii. Promise Zone (for further 2017 to be eligible for FY 2017 grant iv. Dun and Bradstreet Data Universal information, see the Promise Zone Web funding. Late applications, applications Numbering System (DUNS). The grant site at http://www.hud.gov/ which do not include proof of mailing applicant must supply a DUNS number promisezones/). or shipping, and incomplete as part of the application. See Section iii. Strike Force area (for further applications are not eligible for FY 2017 D(3) of this NOSA for more information. information, see the Strikeforce Web site grant funding. If the submission v. System for Award Management at http://www.usda.gov/wps/portal/ deadline falls on Saturday, Sunday, or (SAM). Grants.gov requires that the usda/usda?navid=STRIKE_FORCE). a Federal holiday, the application is due applicant’s organization is registered in e. In making a final selection among the next business day. In the event of an SAM. Be sure to obtain the and between applications with incomplete application, the Agency will organization’s SAM listing well in comparable rankings and geographic notify the applicant in writing, return advance of the application deadline. See distribution, the Administrator may take

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into consideration the characteristics of unique, and therefore may attach reports to RUS until the project is the Proposed Funded Service Area additional conditions to individual complete and the funds are expended. A (PFSA), as identified in 7 CFR award documents. An applicant must final performance report is also 1739.17(d). execute and return the grant agreement required. This report may serve as the with any additional items required by last annual report. The final report must 2. Review and Selection Process the agreement within the number of include an evaluation of the success of Grant applications are ranked days specified in the selection notice the project in meeting the Community according to their final scores. RUS letter. Connect Grant Program objectives. See 7 selects applications based on those CFR 1739.19 and 2 CFR 200.328 for 2. Administrative and National Policy rankings, subject to the availability of additional information on these Requirements funds and consistent with 7 CFR reporting requirements. 1739.17. In addition, it should be noted The items listed in this NOSA, the b. Financial reporting. All recipients that an application receiving fewer Community Connect Grant Program of Community Connect Grant Program points can be selected over an regulation, the FY 2017 Application financial assistance must provide an application receiving more points in the Guide, and accompanying materials annual audit, beginning with the first event that there are insufficient funds implement the appropriate year in which a portion of the financial available to cover the costs of the higher administrative and national policy assistance is expended. Audits are scoring application, as stated in 7 CFR requirements, which include, but are governed by USDA audit regulations. 1739.16(f). not limited to: See 7 CFR 1739.20 and 2 CFR part 200 a. In addition to the scoring criteria a. Executing a Community Connect (Subpart F) for a description of the that rank applications against each Grant Agreement. financial reporting requirements. other, the Agency evaluates grant b. Using Form SF 270, ‘‘Request for c. Recipient and Sub-recipient applications on the following items, in Advance or Reimbursement,’’ to request Reporting. The applicant must have the accordance with 7 CFR 1739.16: reimbursements (along with the necessary processes and systems in i. Financial feasibility. A proposal submission of receipts for expenditures, place to comply with the reporting that does not indicate financial timesheets, and any other requirements for first-tier sub-awards feasibility or that is not sustainable will documentation to support the request and executive compensation under the not be approved for an award. for reimbursement). Federal Funding Accountability and ii. Technical considerations. An c. Providing annual project Transparency Act of 2006 in the event application that contains flaws that performance activity reports until the the applicant receives funding unless would prevent the successful expiration of the award. such applicant is exempt from such implementation, operation, or d. Ensuring that records are reporting requirements pursuant to 2 sustainability of the project will not be maintained to document all activities CFR 170.110(b). The reporting approved for an award. and expenditures utilizing Community requirements under the Transparency b. Applications conforming with this Connect grant funds and matching Act pursuant to 2 CFR 170 are as part will then be evaluated funds (receipts for expenditures are to follows: be included in this documentation). competitively and ranked by a panel of i. First Tier Sub-Awards of $25,000 or e. Providing a final project RUS employees that the Administrator more (unless they are exempt under 2 of RUS selects, and will be awarded performance report. f. Complying with policies, guidance, CFR part 170) must be reported by the points as described in the scoring Recipient to https://www.fsrs.gov no criteria in 7 CFR 1739.17. Applications and requirements as described in the following applicable Code of Federal later than the end of the month will be ranked and grants awarded in following the month the obligation was order until all grant funds are expended. Regulations, and any successor regulations: made. Please note that currently c. The Agency reserves the right to underway is a consolidation of eight offer the applicant a lower amount than i. 2 CFR parts 200 and 400 (Uniform Administrative Requirements, Cost federal procurement systems, including the amount proposed in the application, the Federal Sub-award Reporting as stated in 7 CFR 1739.16(g). Principles, and Audit Requirements for Federal Awards). System (FSRS), into one system, the F. Federal Award Administration ii. 2 CFR part 417 (Nonprocurement System for Award Management (SAM). Information Debarment and Suspension). As a result, the FSRS will soon be consolidated into and accessed through 1. Federal Award Notices iii. 2 CFR part 180 (Government-wide Debarment and Suspension). https://www.sam.gov/portal/public/ a. Successful applications. RUS g. Signing Form AD–3031 SAM/. notifies applicants whose projects are (‘‘Assurance Regarding Felony ii. The Total Compensation of the selected for awards by mailing or Conviction or Tax Delinquent Status for Recipient’s Executives (the five most emailing a copy of the award letter. The Corporate Applicants’’) (for corporate highly compensated executives) must be receipt of an award letter does not applicants only). reported by the Recipient (if the authorize the applicant to commence h. Complying with Executive Order Recipient meets the criteria under 2 CFR performance under the award. 13166, ‘‘Improving Access to Services part 170) to https://www.sam.gov/ b. After sending the award letter, the for Persons with Limited English portal/public/SAM/ by the end of the Agency will send an agreement that Proficiency.’’ For information on limited month following the month in which contains all the terms and conditions, as English proficiency and agency-specific the award was made. referenced in 7 CFR 1739.18 and guidance, go to http://www.LEP.gov. iii. The Total Compensation of the Section B of this NOSA. A copy of the Sub-recipient’s Executives (the five standard agreement is posted on the 3. Reporting most highly compensated executives) RUS Web site at http:// a. Performance reporting. All must be reported by the Sub-recipient (if www.rd.usda.gov/programs-services/ recipients of Community Connect Grant the Sub-recipient meets the criteria community-connect-grants. RUS Program financial assistance must under 2 CFR part 170) to the Recipient recognizes that each funded project is provide annual performance activity by the end of the month following the

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month in which the sub-award was Washington, DC 20250–9410, or email The CSB is an independent federal made. at [email protected]. agency charged with investigating d. Record Keeping and Accounting. accidents and hazards that result, or 3. Persons With Disabilities The contract will contain provisions may result, in the catastrophic release of related to record keeping and Individuals who are deaf, hard of extremely hazardous substances. The accounting requirements. hearing, or have speech disabilities and agency’s Board Members are appointed wish to file either an EEO or program by the President and confirmed by the G. Federal Awarding Agency Contacts complaint may contact USDA through Senate. CSB investigations look into all 1. Web site: http://www.rd.usda.gov/ the Federal Relay Service at (800) 877– aspects of chemical accidents and programs-services/community-connect- 8339 (English) or (800) 845–6136 hazards, including physical causes such grants. This site maintains up-to-date (Spanish). as equipment failure as well as resources and contact information for Persons with disabilities who wish to inadequacies in regulations, industry the Community Connect Grant Program; file a program complaint, please see standards, and safety management 2. Telephone: 202–720–0800; information above on how to contact systems. 3. Email: community.connect@ USDA by mail or email. Individuals wdc.usda.gov; and who require alternative means of Public Comment 4. Main Point of Contact: Shawn communication for program information The time provided for public Arner, Deputy Assistant Administrator, (e.g., Braille, large print, audiotape, etc.) statements will depend upon the Office of Loan Origination and may contact USDA’s TARGET Center at number of people who wish to speak. Approval, Rural Utilities Service, U.S. 202–720–2600 (voice and TDD). Speakers should assume that their Department of Agriculture. Dated: December 6, 2016. presentations will be limited to three minutes or less, but commenters may H. Other Information Brandon McBride, Administrator, Rural Utilities Service. submit written statements for the 1. USDA Non-Discrimination Statement record. [FR Doc. 2017–00194 Filed 1–9–17; 8:45 am] CONTACT PERSON FOR FURTHER USDA prohibits discrimination BILLING CODE P against its customers, employees, and INFORMATION: Hillary Cohen, applicants for employment on the bases Communications Manager, at public@ of race, color, national origin, age, CHEMICAL SAFETY AND HAZARD csb.gov or (202) 446–8094. Further disability, sex, gender identity, religion, INVESTIGATION BOARD information about this public meeting reprisal, and where applicable, political can be found on the CSB Web site at: beliefs, marital status, familial or Sunshine Act Meeting www.csb.gov. parental status, sexual orientation, or all Dated: January 5, 2017. TIME AND DATE: January 25, 2017, 1:00 or part of an individual’s income is Kara A. Wenzel, p.m. EST derived from any public assistance Acting General Counsel, Chemical Safety and program, or protected genetic PLACE: U.S. Chemical Safety Board, Hazard Investigation Board. 1750 Pennsylvania Ave. NW., Suite 910, information in employment or in any [FR Doc. 2017–00403 Filed 1–6–17; 11:15 am] Washington, DC 20006. program or activity conducted or funded BILLING CODE 6350–01–P by USDA. (Not all prohibited bases will STATUS: Open to the public. apply to all programs and/or MATTERS TO BE CONSIDERED: The employment activities.) Chemical Safety and Hazard DEPARTMENT OF COMMERCE 2. How To File a Complaint Investigation Board (CSB) will convene a public meeting on January 25, 2017, Submission for OMB Review; a. Equal Employment Opportunity starting at 1:00 p.m. EST in Washington, Comment Request Complaint. Individuals who wish to file DC, at the CSB offices located at 1750 an employment complaint must contact Pennsylvania Avenue NW., Suite 910. The Department of Commerce will their Agency’s EEO Counselor within 45 The Board will discuss open submit to the Office of Management and days of the date of the alleged investigations, the status of audits from Budget (OMB) for clearance the discriminatory act, event, or in the case the Office of the Inspector General, following proposal for collection of of a personnel action. Additional financial and organizational updates, information under the provisions of the information can be found online at and review the agency’s action plan. Paperwork Reduction Act (44 U.S.C. _ http://www.ascr.usda.gov/complaint The Board will also review safety video chapter 35). _ filing file.html. animation related to the CSB Williams Agency: U.S. Census Bureau. b. Program Discrimination Complaint. Olefins investigation. An opportunity Title: 2018 End-to-End Census Test— Individuals who wish to file a Program for public comment will be provided. Address Canvassing Operation. Discrimination Complaint must OMB Control Number: 0607–xxxx. complete the USDA Program Additional Information Form Number(s): Discrimination Complaint Form (PDF), The meeting is free and open to the DH–31(E/S) Confidentiality Notice. found online at http:// public. If you require a translator or Listing and Mapping Application www.ascr.usda.gov/complaint_filing_ interpreter, please notify the individual Screenshots—screenshots are taken cust.html or at any USDA office, or call listed below as the ‘‘Contact Person for from the legacy tool, LiMA. Screens for (866) 632–9992 to request the form. A Further Information,’’ at least three the new, in-development tool (ECaSE– letter may also be written containing all business days prior to the meeting. ALM) will be comparable. of the information requested in the A conference call line will be Type of Request: New Collection. form. Send the completed complaint provided for those who cannot attend in Number of Respondents: 43,965. form or letter by mail to the U.S. person. Please use the following dial-in Average Hours Per Response: 5 Department of Agriculture, Director, number to join the conference: (888) minutes. Office of Adjudication, 1400 466–9863 Confirmation Number Burden Hours: 3,664 hours. Independence Avenue SW., 5690151#. Needs and Uses:

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During the years preceding the 2020 DEPARTMENT OF COMMERCE DATES: Effective January 10, 2017. Census, the Census Bureau is pursuing FOR FURTHER INFORMATION CONTACT: its commitment to reducing the cost of Foreign-Trade Zones Board Spencer Toubia or Gene Calvert, AD/ conducting the census while [S–134–2016] CVD Operations, Office VII, maintaining the quality of the results. Enforcement and Compliance, The 2018 End-to-End Census Test is the Approval of Subzone Status, Jos. A. International Trade Administration, last major test before the 2020 Census Bank Manufacturing Company, U.S. Department of Commerce, 1401 and will validate that the 2020 Census Hampstead and Eldersburg, Maryland Constitution Avenue NW., Washington, design is ready for production from a DC 20230; telephone (202) 482–0123 or system, operational and architectural On October 13, 2016, the Executive (202) 482–3586, respectively. Secretary of the Foreign-Trade Zones perspective. The Address Canvassing SUPPLEMENTARY INFORMATION: operation is the first operation in the (FTZ) Board docketed an application 2018 End-to-End Census Test, with field submitted by the Maryland Aviation Background activity beginning in the summer of Administration, on behalf of the The Department published the 2017. The purpose of the Address Maryland Department of Transportation, Preliminary Determination on June 20, grantee of FTZ 73, requesting subzone Canvassing operation is (1) to deliver a 2016.1 A summary of the events that status subject to the existing activation complete and accurate address list and occurred since the Department limit of FTZ 73, on behalf of Jos. A. spatial database for enumeration and published the Preliminary Bank Manufacturing Company in tabulation, and (2) to determine the type Determination, as well as a full Hampstead and Eldersburg, Maryland. discussion of the issues raised by parties and address characteristics for each The application was processed in for this final determination, may be living quarter. The Address Canvassing accordance with the FTZ Act and found in the Issues and Decision operation consists of two major Regulations, including notice in the Memorandum.2 The Issues and Decision components: In-Office Address Federal Register inviting public Memorandum is a public document and Canvassing and In-Field Address comment (81 FR 72037–72038, October is on file electronically via Enforcement Canvassing. Only the latter component 19, 2016). The FTZ staff examiner and Compliance’s Antidumping and involves collection of information from reviewed the application and Countervailing Duty Centralized residents at their living quarters. determined that it meets the criteria for Electronic Service System (ACCESS). The following objectives are crucial to approval. Pursuant to the authority ACCESS is available to registered users a successful Address Canvassing delegated to the FTZ Board Executive at http://access.trade.gov, and is operation: Secretary (15 CFR Sec. 400.36(f)), the available to all parties in the Central • application to establish Subzone 73D is Test the listing and mapping Records Unit, Room B8024 of the main capabilities required by In-Field approved, subject to the FTZ Act and Department of Commerce building. In Address Canvassing the Board’s regulations, including addition, a complete version of the • Validate the creation of In-Field Section 400.13, and further subject to Issues and Decision Memorandum can Address Canvassing workload by In- FTZ 73’s 67-acre activation limit. be accessed directly at http:// Office Address Canvassing. Dated: January 4, 2017. enforcement.trade.gov/frn/. The signed • Conduct a listing quality control Andrew McGilvray, Issues and Decision Memorandum and operation during In-Field Address Executive Secretary. the electronic version are identical in Canvassing. [FR Doc. 2017–00303 Filed 1–9–17; 8:45 am] content. The results of this test will inform the BILLING CODE 3510–DS–P Scope Comments Census Bureau’s final preparations for In accordance with the Preliminary the Address Canvassing Operation in DEPARTMENT OF COMMERCE Determination, the Department set aside advance of the 2020 Census. a period of time for parties to address Affected Public: Individuals or International Trade Administration scope issues in case briefs or other Households. written comments on scope issues.3 In [C–533–870] Frequency: One time. the Preliminary Determination, we did Respondent’s Obligation: Mandatory. Countervailing Duty Investigation of not modify the scope language as it Certain New Pneumatic Off-the-Road appeared in the Initiation Notice.4 No Legal Authority: Title 13, United interested party submitted scope States Code, Sections 141 and 193. Tires From India: Final Affirmative Determination, and Final Affirmative comments in case or rebuttal briefs. This information collection request Critical Circumstances Determination, Therefore, the scope of this may be viewed at www.reginfo.gov. in Part Follow the instructions to view 1 Certain New Pneumatic Off-the-Road Tires from Department of Commerce collections AGENCY: Enforcement and Compliance, India: Preliminary Affirmative Countervailing Duty currently under review by OMB. International Trade Administration, Determination, Preliminary Affirmative Critical Circumstances Determination, in Part, and Written comments and Department of Commerce. Alignment of Final Determination with Final recommendations for the proposed SUMMARY: The Department of Commerce Antidumping Determination 81 FR 39903 (June 20, information collection should be sent (the Department) determines that 2016) (Preliminary Determination). countervailable subsidies are being 2 See Memorandum, ‘‘Issues and Decision within 30 days of publication of this Memorandum for the Final Determination in the notice to OIRA_Submission@ provided to producers and exporters of Countervailing Duty Investigation of Certain New omb.eop.gov or fax to (202) 395–5806. certain new pneumatic off-the-road tires Pneumatic Off-the-Road Tires from India,’’ (Issues (off road tires) from India. For and Decision Memorandum), dated concurrently Sheleen Dumas, information on the estimated subsidy with this determination and hereby adopted by this PRA Departmental Lead, Office of the Chief notice. rates, see the ‘‘Final Determination’’ 3 Information Officer. See Preliminary Determination at 81 FR 39903, section of this notice. The period of and accompanying Preliminary Decision [FR Doc. 2017–00196 Filed 1–9–17; 8:45 am] investigation is January 1, 2015, through Memorandum at ‘‘Scope Comments.’’ BILLING CODE 3510–07–P December 31, 2015. 4 Id.

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investigation remains unchanged for Final Affirmative Determination of Disclosure 5 this final determination. Critical Circumstances, in Part We intend to disclose to parties in Scope of the Investigation In the Preliminary Determination, the this proceeding the calculations performed for this final determination The products covered by this Department found that critical within five days of the date of public investigation are certain new pneumatic circumstances exist with respect to off announcement of our final off-the-road tires from India. For a road tires from India for All Other determination, in accordance with 19 complete description of the scope of this exporters or producers not individually CFR 351.224(b). investigation, see the ‘‘Scope of the examined, but did not exist for ATC Investigation,’’ in Appendix I of this Tires Private Limited (ATC) and Continuation of Suspension Liquidation Balkrishna Industries Limited (BKT).8 notice. As a result of our Preliminary Upon further analysis of the data and Determination, and pursuant to section Analysis of Subsidy Programs and comments submitted by interested Comments Received 703(d) of the Act, we instructed U.S. parties following the Preliminary Customs and Border Protection (CBP) to The subsidy programs under Determination, we are modifying our suspend liquidation of entries of investigation and the issues raised in 9 findings for the Final Determination. merchandise under consideration from the case and rebuttal briefs by parties in Specifically, in accordance with section India that were entered or withdrawn this investigation are discussed in the 705(a)(2) of the Act, we find that critical from warehouse, for consumption, on or Issues and Decision Memorandum. A circumstances exist with respect to after June 20, 2016, which is the list of the issues that parties raised, and imports from ATC, and All Other publication date in the Federal Register to which we responded in the Issues producers or exporters, but do not exist of the Preliminary Determination. In and Decision Memorandum, is attached for BKT. accordance with section 703(d) of the to this notice at Appendix II. Final Determination Act, we issued instructions to CBP to Use of Adverse Facts Available discontinue the suspension of In accordance with section The Department, in making these liquidation for CVD purposes for subject 705(c)(1)(B)(i)(I) of the Act, we findings, relied, in part, on facts merchandise entered, or withdrawn determined a countervailable subsidy available and, because one or more from warehouse, on or after October 17, rate for each individually investigated respondent companies failed to 2016, but to continue the suspension of exporter/producer of the subject cooperate to the best of their ability in liquidation of all entries of subject merchandise (i.e., ATC and BKT). responding to the Department’s requests merchandise from March 22, 2016, Section 705(c)(5)(A)(i) of the Act states for information, we made adverse through October 16, 2016. that for companies not individually inferences.6 Further, because the If the U.S. International Trade investigated, we will determine an ‘‘all- Government of India did not cooperate Commission (ITC) issues a final others’’ rate equal to the weighted to the best of its ability in this affirmative injury determination, we average of the countervailable subsidy investigation, we also determine that will issue a CVD order and will reinstate adverse inferences are warranted, rates established for exporters and the suspension of liquidation under pursuant to section 776(b) of the Act. A producers individually investigated, section 706(a) of the Act and will full discussion of our decision to rely on excluding any de minimis require a cash deposit of estimated adverse facts available is presented in countervailable subsidy rates and rates CVDs for such entries of subject the ‘‘Use of Facts Otherwise Available determined entirely by adverse facts merchandise in the amounts indicated and Adverse Inferences’’ section of the available, under section 776 of the Act. above. If the ITC determines that Issues and Decision Memorandum. Accordingly, in this final determination, material injury, or threat of material we have calculated the ‘‘all-others’’ rate injury, does not exist, this proceeding Changes Since the Preliminary by weight-averaging the calculated will be terminated and all estimated Determination subsidy rates of the two individually duties deposited as a result of the Based on our review and analysis of investigated respondents, using the suspension of liquidation will be the comments received from parties, respondents’ publicly-ranged sales data refunded or canceled. and minor corrections presented at for exports of subject merchandise to the ITC Notification verification, we made certain changes to United States.10 the respondents’ subsidy rate We determine the estimated net In accordance with section 705(d) of the Act, we will notify the ITC of our calculations set forth in the Preliminary countervailable subsidy rates are as determination. In addition, we are Determination. For a discussion of these follows. changes, see the Issues and Decision making available to the ITC all non- Memorandum and the Final Analysis Subsidy rate privileged and non-proprietary information related to this investigation. Memoranda.7 Company (percent ad valorem) We will allow the ITC access to all 5 The Department has added two additional privileged and business proprietary ATC Tires Private Limited .... 4.90 information in our files, provided the subheadings from the Harmonized Tariff Schedule Balkrishna Industries Limited 5.36 of the United States to the list included for ITC confirms that it will not disclose All-Others ...... 5.06 convenience and customs purposes since the such information, either publicly or Preliminary Determination. No revisions were made to the written description of the subject under an administrative protective order merchandise. 8 See Preliminary Determination, 81 FR at 39903. (APO), without the written consent of 6 See sections 776(a) and (b) of the Tariff Act of 9 For a full description of the methodology and the Assistant Secretary for Enforcement 1930, as amended (the Act). results of our analysis, see the Issues and Decision and Compliance. 7 See Issues and Decision Memorandum; see also Memorandum. Memoranda, ‘‘Final Determination Analysis for 10 See Memorandum, ‘‘Countervailing Duty Notification Regarding Administrative ATC Tires Private Limited.,’’ and ‘‘Final Investigation of Certain New Pneumatic Off-the- Protective Orders Determination Analysis for Balkrishna Industries Road Tires from India: Final Determination Margin Limited,’’ both dated concurrently with this Calculation for All-Others,’’ dated concurrently In the event the ITC issues a final determination and hereby adopted by this notice. with this memorandum. negative injury determination, this

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notice serves as the only reminder to CFO—Cyclic Field Operation. T—Identifies a tire intended for one- parties subject to APO of their SS—Differentiates tires for off-highway position ‘‘temporary use’’ as a spare only; responsibility concerning the return or vehicles such as mini and skid-steer loaders and destruction of proprietary information from other tires which use similar size ST—Identifies a special tire for trailers in highway service. disclosed under APO in accordance designations such as 7.00–15TR and 7.00– 15NHS, but may use different rim bead seat Suffix letter designations: with 19 CFR 351.305(a)(3). Timely configurations. TR—Identifies a tire for service on trucks, written notification of the return/ All tires marked with any of the prefixes buses, and other vehicles with rims having destruction of APO materials or or suffixes listed above in their sidewall specified rim diameter of nominal plus conversion to judicial protective order is markings are covered by the scope regardless 0.156’’ or plus 0.250’’; hereby requested. Failure to comply of their intended use. MH—Identifies tires for Mobile Homes; with the regulations and terms of an In addition, all tires that lack any of the HC—Identifies a heavy duty tire designated APO is a violation that is subject to prefixes or suffixes listed above in their for use on ‘‘HC’’ 15’’ tapered rims used on sidewall markings are included in the scope, trucks, buses, and other vehicles. This suffix sanction. is intended to differentiate among tires for This determination is issued and regardless of their intended use, as long as the tire is of a size that is among the light trucks, and other vehicles or other published pursuant to sections 705(d) services, which use a similar designation. and 777(i) of the Act and 19 CFR numerical size designations listed in the following sections of the Tire and Rim Example: 8R17.5 LT, 8R17.5 HC; 351.210(c). Association Year Book, as updated annually, LT—Identifies light truck tires for service on trucks, buses, trailers, and multipurpose Dated: January 3, 2017. unless the tire falls within one of the specific passenger vehicles used in nominal highway exclusions set forth below. The sections of Paul Piquado, service; the Tire and Rim Association Year Book Assistant Secretary for Enforcement and ST—Special tires for trailers in highway listing numerical size designations of covered Compliance. service; and certain off road tires include: M/C—Identifies tires and rims for The table of mining and logging tires Appendix I motorcycles. included in the section on Truck-Bus tires; The following types of tires are also Scope of the Investigation The entire section on Off-the-Road tires; excluded from the scope: Pneumatic tires The scope of this investigation is certain The entire section on Agricultural tires; new pneumatic off-the-road tires (certain off that are not new, including recycled or and retreaded tires and used tires; non-pneumatic road tires). Certain off road tires are tires with The following tables in the section on an off road tire size designation. The tires tires, including solid rubber tires; aircraft Industrial/ATV/Special Trailer tires: tires; and turf, lawn and garden, and golf included in the scope may be either tube- • Industrial, Mining, Counterbalanced Lift type 11 or tubeless, radial, or non-radial, tires. Also excluded from the scope are Truck (Smooth Floors Only); mining and construction tires that have a rim regardless of whether for original equipment • Industrial and Mining (Other than manufacturers or the replacement market. diameter equal to or exceeding 39 inches. Smooth Floors); Such tires may be distinguished from other Subject tires may have the following prefix • Construction Equipment; or suffix designation, which appears on the • tires of similar size by the number of plies Off-the-Road and Counterbalanced Lift that the construction and mining tires sidewall of the tire: Truck (Smooth Floors Only); Prefix designations: • contain (minimum of 16) and the weight of Aerial Lift and Mobile Crane; and such tires (minimum 1500 pounds). DH—Identifies a tire intended for • Utility Vehicle and Lawn and Garden agricultural and logging service which must The subject merchandise is currently Tractor. classifiable under Harmonized Tariff be mounted on a DH drop center rim. Certain off road tires, whether or not VA—Identifies a tire intended for Schedule of the United States (HTSUS) mounted on wheels or rims, are included in subheadings: 4011.20.1025, 4011.20.1035, agricultural and logging service which must the scope. However, if a subject tire is be mounted on a VA multipiece rim. 4011.20.5030, 4011.20.5050, 4011.61.0000, imported mounted on a wheel or rim, only 4011.62.0000, 4011.63.0000, 4011.69.0050, IF—Identifies an agricultural tire to operate the tire is covered by the scope. Subject at 20 percent higher rated load than standard 4011.92.0000, 4011.93.4000, 4011.93.8000, merchandise includes certain off road tires 4011.94.4000, 4011.94.8000, 8431.49.9038, metric tires at the same inflation pressure. produced in the subject countries whether VF—Identifies an agricultural tire to 8431.49.9090, 8709.90.0020, and mounted on wheels or rims in a subject 8716.90.1020. Tires meeting the scope operate at 40 percent higher rated load than country or in a third country. Certain off road standard metric tires at the same inflation description may also enter under the tires are covered whether or not they are following HTSUS subheadings: pressure. accompanied by other parts, e.g., a wheel, Suffix designations: 4011.99.4550, 4011.99.8550, 8424.90.9080, rim, axle parts, bolts, nuts, etc. Certain off 8431.20.0000, 8431.39.0010, 8431.49.1090, ML—Mining and logging tires used in road tires that enter attached to a vehicle are intermittent highway service. 8431.49.9030, 8432.90.0005, 8432.90.0015, not covered by the scope. 8432.90.0030, 8432.90.0080, 8433.90.5010, DT—Tires primarily designed for sand and Specifically excluded from the scope are paver service. 8503.00.9560, 8708.70.0500, 8708.70.2500, passenger vehicle and light truck tires, racing 8708.70.4530, 8716.90.5035, 8716.90.5055, NHS—Not for Highway Service. tires, mobile home tires, motorcycle tires, all- TG—Tractor Grader, off-the-road tire for 8716.90.5056 and 8716.90.5059. While terrain vehicle tires, bicycle tires, on-road or use on rims having bead seats with nominal HTSUS subheadings are provided for on-highway trailer tires, and truck and bus +0.188’’ diameter (not for highway service). convenience and customs purposes, the tires. Such tires generally have in common K—Compactor tire for use on 5° drop written description of the subject that the symbol ‘‘DOT’’ must appear on the center or semi-drop center rims having bead merchandise is dispositive. sidewall, certifying that the tire conforms to seats with nominal minus 0.032 diameter. applicable motor vehicle safety standards. Appendix II IND—Drive wheel tractor tire used in Such excluded tires may also have the industrial service. following prefixes and suffixes included as List of Topics Discussed in the Issues and SL—Service limited to agricultural usage. part of the size designation on their Decision Memorandum FI—Implement tire for agricultural towed sidewalls: highway service. I. Summary Prefix letter designations: II. Background AT—Identifies a tire intended for service 11 III. Scope of the Investigation While tube-type tires are subject to the scope on All-Terrain Vehicles; IV. Scope Comments of this proceeding, tubes and flaps are not subject merchandise and therefore are not covered by the P—Identifies a tire intended primarily for V. Subsidies Valuation Information scope of this proceeding, regardless of the manner service on passenger cars; VI. Benchmarks and Interest Rates in which they are sold (e.g., sold with or separately LT—Identifies a tire intended primarily for VII. Use of Facts Otherwise Available and from subject merchandise). service on light trucks; Adverse Inferences

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VIII. Analysis of Programs DEPARTMENT OF COMMERCE Memorandum also details the changes IX. Analysis of Comments we made since the Preliminary Comment 1: Whether Tax and Import Duty International Trade Administration Determination to the subsidy rates Exemptions Under the Special Economic [C–542–801] calculated for the mandatory respondent Zone (SEZ) and Export-Oriented Unit and all other producers/exporters. The (EOU) Programs are Countervailable Certain New Pneumatic Off-the-Road Issues and Decision Memorandum is a Comment 2: Whether the Department Must Tires From Sri Lanka: Final Affirmative public document and is on file Eliminate Certain Duties Regarding Countervailing Duty Determination, electronically via Enforcement and ATC’s Tamil Nadu SEZ Location in the and Final Determination of Critical Compliance’s Antidumping and Final Determination Circumstances Countervailing Duty Centralized Comment 3: Whether the Advance Electronic Service System (ACCESS). Authorization Scheme (AAP) Is a AGENCY: Enforcement and Compliance, ACCESS is available to registered users Countervailable Program International Trade Administration, at http://access.trade.gov, and is Comment 4: Whether the Department Department of Commerce. available to all parties in the Central Should Apply Adverse Facts Available SUMMARY: The Department of Commerce Records Unit, room B8024 of the main (AFA) to Determine if the Government of (the Department) determines that Department of Commerce building. In Gujarat’s (GOG) Provision of Land to countervailable subsidies are being addition, a complete version of the BKT from the ‘‘Land Bank’’ was Specific provided to producers and exporters of Issues and Decision Memorandum can Comment 5: Whether the Department May certain new pneumatic off-the-road tires be accessed directly at http:// Use Land Purchased by BKT from (off road tires) from Sri Lanka. The enforcement.trade.gov/frn/index.html. Private Parties as Benchmarks and period of investigation (POI) is January The signed Issues and Decision Whether They Show the GOG, through 1, 2015, through December 31, 2015. For Memorandum and the electronic the ‘‘Land Bank’’ Did Not Provide Land information on the estimated subsidy version of the Issues and Decision to BKT at LTAR rates, see the ‘‘Final Determination’’ Memorandum are identical in content. Comment 6: Whether ATC Benefited from section of this notice. the Provision of Land for LTAR for its DATES: Effective January 10, 2017. Scope of the Investigation SEZ/EOU Locations and Whether the FOR FURTHER INFORMATION CONTACT: E. The scope of the investigation covers Provision of Land to ATC is Contingent Whitley Herndon, Office II, AD/CVD off road tires, which are tires with an off upon Export Performance Operations, Enforcement and road tire size designation. For a Comment 7: Whether the Department Compliance, International Trade complete description of the scope of the Should Revise the Benchmark for the Administration, U.S. Department of investigation, see Appendix I. Provision of Land Provided to ATC for Commerce, 14th Street and Constitution its SEZ/EOU Locations Analysis of Subsidy Programs and Avenue NW., Washington, DC 20230; Comment 8: Whether the Department Comments Received telephone: (202) 482–6274. Should Revise the Discount Rate Used to SUPPLEMENTARY INFORMATION: The subsidy programs under Allocate ATC’s Land-Use Rights Benefits investigation and the issues raised in for its SEZ/EOU Locations Background the case and rebuttal briefs by parties in Comment 9: Whether the Income Tax The petitioners in this investigation this investigation are discussed in the Deductions for Research and are Titan Tire Corporation and the Issues and Decision Memorandum. A Development Expenditures Is a Specific United Steel, Paper and Forestry, list of the issues that parties raised, and Subsidy Rubber, Manufacturing, Energy, Allied to which we responded in the Issues Comment 10: Whether the Department Industrial and Service Workers and Decision Memorandum, is attached Should Use a Six-Month Comparison to this notice as Appendix II. Period for Its Final Critical International Union, AFL–CIO, CLC. In Circumstances Determination addition to the Government of Sri Changes Since the Preliminary Comment 11: Whether the Department Lanka, the mandatory respondent in this Determination investigation is Camso Loadstar Should Correct Calculation Errors Based on our review and analysis of regarding ATC’s Preliminary (Private) Ltd. (Camso Loadstar). The events that occurred since the the comments received from parties, Determination Calculations and minor corrections presented at Comment 12: Whether the Department Department published the Preliminary 1 verification, we made certain changes to Should Apply AFA because of Determination on June 20, 2016, are discussed in the Issues and Decision Camso Loadstar’s subsidy rate Information Obtained at Verification calculations since the Preliminary Comment 13: Whether the Department Memorandum, which is hereby adopted by this notice.2 The Issues and Decision Determination. For a discussion of these Should Subtract BKT’s Sales of its Paper changes, see the Issues and Decision Division from its Total Sales and Total 1 Memorandum and the Final Analysis Export Sales Denominators See Certain New Pneumatic Off-the-Road Tires from Sri Lanka: Preliminary Affirmative Memorandum.3 Comment 14: Whether the Department Countervailing Duty Determination, Preliminary Should Subtract Sales from BKT’s Wind Affirmative Critical Circumstances Determination, Final Affirmative Determination of Divisions from its Total Sales and Total and Alignment of Final Determination with Final Critical Circumstances Antidumping Determination, 81 FR 39900 (June 20, Export Sales Denominators On May 24, 2016, the petitioners filed Comment 15: Whether the Department 2016) (Preliminary Determination), and accompanying Preliminary Decision Memorandum. a timely critical circumstances Should Use Total Sales Instead of Export 2 See Memorandum from Gary Taverman, allegation, pursuant to section 703(e)(1) Sales as the Denominator when Associate Deputy Assistant Secretary for of the Tariff Act of 1930, as amended Calculating the Rate for the Export Antidumping and Countervailing Duty Operations, (the Act) and 19 CFR 351.206(c)(1), Promotion of Capital Goods Scheme to Paul Piquado, Assistant Secretary for (EPCGS). Enforcement and Compliance, entitled, ‘‘Issues and Decision Memorandum for the Final Determination 3 See Memorandum ‘‘Final Determination X. Recommendation in the Countervailing Duty Investigation of Certain Calculation Memorandum for Camso Loadstar [FR Doc. 2017–00264 Filed 1–9–17; 8:45 am] New Pneumatic Off-The-Road Tires from Sri (Private) Ltd. and Loadstar (Private) Ltd. Lanka,’’ dated concurrently with this notice (Issues (collectively Camso Loadstar),’’ dated concurrently BILLING CODE 3510–DS–P and Decision Memorandum). with this notice (Final Analysis Memorandum).

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alleging that critical circumstances exist Sri Lanka which were entered or APO is a violation which is subject to with respect to imports of off road tires withdrawn from warehouse, for sanction. from Sri Lanka.4 We preliminarily consumption on or after March 22, This determination is issued and determined that critical circumstances 2016, which is 90 days before the date published pursuant to sections 705(d) exist for Camso Loadstar and the of the publication of the Preliminary and 777(i) of the Act. 5 companies covered by the ‘‘all others’’ Determination in the Federal Register. Dated: January 3, 2017. rate. For this final determination, in In accordance with section 703(d) of Paul Piquado, accordance with section 705(a) of the the Act, we later issued instructions to Assistant Secretary for Enforcement and Act, we continue to find that critical CBP to discontinue the suspension of Compliance. circumstances exist for Camso Loadstar liquidation for CVD purposes for subject and the companies covered by the ‘‘all merchandise entered, or withdrawn Appendix I others’’ rate. For a discussion, see the from warehouse, on or after October 18, Scope of the Investigation 2016, but to continue the suspension of ‘‘Critical Circumstances’’ section and The scope of this investigation is certain ‘‘Comment 7’’ of the Issues and Decision liquidation of all entries from March 22, new pneumatic off-the-road tires (certain off Memorandum. 2016, through October 17, 2016, as road tires). Certain off road tires are tires with appropriate. Final Determination an off road tire size designation. The tires We will issue a CVD order and included in the scope may be either tube- In accordance with section reinstate the suspension of liquidation type 6 or tubeless, radial, or non-radial, 705(c)(1)(B)(i)(I) of the Act, we in accordance with our final regardless of whether for original equipment calculated a rate for Camso Loadstar (the determination and under section 706(a) manufacturers or the replacement market. only individually investigated exporter/ of the Act if the United States Subject tires may have the following prefix producer of subject merchandise). International Trade Commission (ITC) or suffix designation, which appears on the Section 705(c)(5)(A)(i) of the Act states issues a final affirmative injury sidewall of the tire: Prefix designations: that, for companies not individually determination, and we will instruct CBP DH—Identifies a tire intended for investigated, we will determine an ‘‘all to require a cash deposit of estimated agricultural and logging service which must others’’ rate equal to the weighted- countervailing duties for such entries of be mounted on a DH drop center rim. average countervailable subsidy rates merchandise in the amounts indicated VA—Identifies a tire intended for established for exporters and producers above. If the ITC determines that agricultural and logging service which must individually investigated, excluding any material injury, or threat of material be mounted on a VA multipiece rim. zero and de minimis countervailable injury, does not exist, this proceeding IF—Identifies an agricultural tire to operate subsidy rates, and any rates determined will be terminated and all estimated at 20 percent higher rated load than standard entirely under section 776 of the Act. metric tires at the same inflation pressure. duties deposited as a result of the VF—Identifies an agricultural tire to Where the rates for investigated suspension of liquidation will be operate at 40 percent higher rated load than companies are zero or de minimis, or refunded. standard metric tires at the same inflation based entirely on facts otherwise pressure. available, section 705(c)(5)(A)(ii) of the ITC Notification Suffix designations: Act instructs the Department to In accordance with section 705(d) of ML—Mining and logging tires used in establish an ‘‘all others’’ rate using ‘‘any the Act, we will notify the ITC of our intermittent highway service. reasonable method.’’ determination. In addition, we are DT—Tires primarily designed for sand and Because the only individually making available to the ITC all non- paver service. calculated rate is not zero, de minimis, privileged and non-proprietary NHS—Not for Highway Service. TG—Tractor Grader, off-the-road tire for or based entirely on facts otherwise information related to this investigation. use on rims having bead seats with nominal available, in accordance with We will allow the ITC access to all +0.188’’ diameter (not for highway service). 705(c)(5)(A)(i) of the Act, the rate privileged and business proprietary K—Compactor tire for use on 5° drop calculated for Camso Loadstar is information in our files, provided the center or semi-drop center rims having bead assigned as the all-others rate. We ITC confirms that it will not disclose seats with nominal minus 0.032 diameter. determine the total estimated net such information, either publicly or IND—Drive wheel tractor tire used in countervailable subsidy rates to be: under an administrative protective order industrial service. (APO), without the written consent of SL—Service limited to agricultural usage. FI—Implement tire for agricultural towed Subsidy rate the Assistant Secretary for Enforcement Company (percent) highway service. and Compliance. CFO—Cyclic Field Operation. Camso Loadstar (Private), Return or Destruction of Proprietary SS—Differentiates tires for off-highway vehicles such as mini and skid-steer loaders Ltd...... 2.18 Information All Others ...... 2.18 from other tires which use similar size In the event that the ITC issues a final designations such as 7.00–15TR and 7.00– Suspension of Liquidation negative injury determination, this 15NHS, but may use different rim bead seat notice will serve as the only reminder configurations. As a result of our affirmative to parties subject to the APO of their All tires marked with any of the prefixes Preliminary Determination and our responsibility concerning the or suffixes listed above in their sidewall markings are covered by the scope regardless affirmative critical circumstances destruction of proprietary information determination, pursuant to sections of their intended use. disclosed under APO in accordance In addition, all tires that lack any of the 703(d) and 703(e)(2)(A) of the Act, we with 19 CFR 351.305(a)(3). Timely instructed U.S. Customs and Border prefixes or suffixes listed above in their written notification of the return/ sidewall markings are included in the scope, Protection (CBP) to suspend liquidation destruction of APO materials or of entries of subject merchandise from conversion to judicial protective order is 6 While tube-type tires are subject to the scope of hereby requested. Failure to comply this proceeding, tubes and flaps are not subject 4 See Letter from Petitioners, regarding Certain merchandise and therefore are not covered by the New Pneumatic Off-The-Road Tires from Sri with the regulations and terms of an scope of this proceeding, regardless of the manner Lanka—Petitioners’ Critical Circumstances in which they are sold (e.g., sold with or separately Allegation, dated May 24, 2016. 5 See Preliminary Determination. from subject merchandise).

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regardless of their intended use, as long as light trucks, and other vehicles or other Comment 6: Whether to Use Camso the tire is of a size that is among the services, which use a similar designation. Loadstar’s Revised FOB Sales Data for numerical size designations listed in the Example: 8R17.5 LT, 8R17.5 HC; Denominator following sections of the Tire and Rim LT—Identifies light truck tires for service Comment 7: Whether the Department Association Year Book, as updated annually, on trucks, buses, trailers, and multipurpose Should Continue to Find Critical unless the tire falls within one of the specific passenger vehicles used in nominal highway Circumstances exclusions set forth below. The sections of service; Comment 8: Whether to Terminate the the Tire and Rim Association Year Book ST—Special tires for trailers in highway Investigation listing numerical size designations of covered service; and VIII. Recommendation certain off road tires include: M/C—Identifies tires and rims for [FR Doc. 2017–00266 Filed 1–9–17; 8:45 am] The table of mining and logging tires motorcycles. BILLING CODE 3510–DS–P included in the section on Truck-Bus tires; The following types of tires are also The entire section on Off-the-Road tires; excluded from the scope: Pneumatic tires The entire section on Agricultural tires; that are not new, including recycled or DEPARTMENT OF COMMERCE and retreaded tires and used tires; non-pneumatic The following tables in the section on tires, including solid rubber tires; aircraft Industrial/ATV/Special Trailer tires: International Trade Administration • tires; and turf, lawn and garden, and golf Industrial, Mining, Counterbalanced Lift tires. Also excluded from the scope are Truck (Smooth Floors Only); Antidumping or Countervailing Duty • mining and construction tires that have a rim Industrial and Mining (Other than diameter equal to or exceeding 39 inches. Order, Finding, or Suspended Smooth Floors); Such tires may be distinguished from other Investigation; Opportunity To Request • Construction Equipment; Administrative Review • tires of similar size by the number of plies Off-the-Road and Counterbalanced Lift that the construction and mining tires AGENCY: Truck (Smooth Floors Only); contain (minimum of 16) and the weight of Enforcement and Compliance, • Aerial Lift and Mobile Crane; and International Trade Administration, • such tires (minimum 1500 pounds). Utility Vehicle and Lawn and Garden The subject merchandise is currently Department of Commerce. Tractor. classifiable under Harmonized Tariff FOR FURTHER INFORMATION CONTACT: Certain off road tires, whether or not Schedule of the United States (HTSUS) mounted on wheels or rims, are included in Brenda E. Waters, Office of AD/CVD subheadings: 4011.20.1025, 4011.20.1035, Operations, Customs Liaison Unit, the scope. However, if a subject tire is 4011.20.5030, 4011.20.5050, 4011.61.0000, imported mounted on a wheel or rim, only Enforcement and Compliance, 4011.62.0000, 4011.63.0000, 4011.69.0050, International Trade Administration, the tire is covered by the scope. Subject 4011.92.0000, 4011.93.4000, 4011.93.8000, merchandise includes certain off road tires 4011.94.4000, 4011.94.8000, 8431.49.9038, U.S. Department of Commerce, 14th produced in the subject countries whether 8431.49.9090, 8709.90.0020, and Street and Constitution Avenue NW., mounted on wheels or rims in a subject 8716.90.1020. Tires meeting the scope Washington, DC 20230, telephone: (202) country or in a third country. Certain off road description may also enter under the 482–4735. tires are covered whether or not they are following HTSUS subheadings: accompanied by other parts, e.g., a wheel, 4011.99.4550, 4011.99.8550, 8424.90.9080, Background rim, axle parts, bolts, nuts, etc. Certain off 8431.20.0000, 8431.39.0010, 8431.49.1090, road tires that enter attached to a vehicle are Each year during the anniversary 8431.49.9030, 8432.90.0005, 8432.90.0015, month of the publication of an not covered by the scope. 8432.90.0030, 8432.90.0080, 8433.90.5010, Specifically excluded from the scope are antidumping or countervailing duty 8503.00.9560, 8708.70.0500, 8708.70.2500, order, finding, or suspended passenger vehicle and light truck tires, racing 8708.70.4530, 8716.90.5035 and tires, mobile home tires, motorcycle tires, all- 8716.90.5055. While HTSUS subheadings are investigation, an interested party, as terrain vehicle tires, bicycle tires, on-road or provided for convenience and customs defined in section 771(9) of the Tariff on-highway trailer tires, and truck and bus purposes, the written description of the Act of 1930, as amended (‘‘the Act’’), tires. Such tires generally have in common subject merchandise is dispositive. may request, in accordance with 19 CFR that the symbol ‘‘DOT’’ must appear on the 351.213, that the Department of sidewall, certifying that the tire conforms to Appendix II applicable motor vehicle safety standards. Commerce (‘‘the Department’’) conduct Such excluded tires may also have the List of Topics Discussed in the Issues and an administrative review of that following prefixes and suffixes included as Decision Memorandum antidumping or countervailing duty part of the size designation on their I. Summary order, finding, or suspended sidewalls: II. Background investigation. Prefix letter designations: III. List of Issues All deadlines for the submission of AT—Identifies a tire intended for service IV. Subsidies Valuation Information comments or actions by the Department on All-Terrain Vehicles; V. Critical Circumstances discussed below refer to the number of P—Identifies a tire intended primarily for VI. Analysis of Programs calendar days from the applicable service on passenger cars; VII. Analysis of Comments starting date. LT—Identifies a tire intended primarily for Comment 1: Whether Camso Loadstar service on light trucks; Benefited from Exemptions/Concessions Respondent Selection T—Identifies a tire intended for one- for Fiscal Levies on Imports of Spare position ‘‘temporary use’’ as a spare only; Parts In the event the Department limits the and Comment 2: Whether the Provision of Tax number of respondents for individual ST—Identifies a special tire for trailers in Concession for Exporters of Non- examination for administrative reviews highway service. Traditional Products Program is initiated pursuant to requests made for Suffix letter designations: Countervailable the orders identified below, the TR—Identifies a tire for service on trucks, Comment 3: Whether the Nation Building Department intends to select buses, and other vehicles with rims having Tax Preferences Program is Specific and respondents based on U.S. Customs and specified rim diameter of nominal plus Constitutes a Financial Contribution Border Protection (‘‘CBP’’) data for U.S. 0.156’’ or plus 0.250’’; Comment 4: Whether Camso Loadstar MH—Identifies tires for Mobile Homes; Benefited from the Guaranteed Price imports during the period of review. We HC—Identifies a heavy duty tire designated Scheme for Rubber intend to release the CBP data under for use on ‘‘HC’’ 15’’ tapered rims used on Comment 5: Whether to Use U.S. Dollar Administrative Protective Order trucks, buses, and other vehicles. This suffix Amounts Recorded by Camso Loadstar to (‘‘APO’’) to all parties having an APO is intended to differentiate among tires for Determine Subsidy Rates within five days of publication of the

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initiation notice and to make our administrative review, new shipper withdraw that request within 90 days of decision regarding respondent selection review or changed circumstances the date of publication of the notice of within 21 days of publication of the review). For any company subject to this initiation of the requested review. The initiation Federal Register notice. review, if the Department determined, regulation provides that the Department Therefore, we encourage all parties or continued to treat, that company as may extend this time if it is reasonable interested in commenting on respondent collapsed with others, the Department to do so. In order to provide parties selection to submit their APO will assume that such companies additional certainty with respect to applications on the date of publication continue to operate in the same manner when the Department will exercise its of the initiation notice, or as soon and will collapse them for respondent discretion to extend this 90-day selection purposes. Otherwise, the thereafter as possible. The Department deadline, interested parties are advised Department will not collapse companies invites comments regarding the CBP that, with regard to reviews requested for purposes of respondent selection. data and respondent selection within on the basis of anniversary months on five days of placement of the CBP data Parties are requested to (a) identify or after January 2017, the Department on the record of the review. which companies subject to review previously were collapsed, and (b) does not intend to extend the 90-day In the event the Department decides deadline unless the requestor it is necessary to limit individual provide a citation to the proceeding in which they were collapsed. Further, if demonstrates that an extraordinary examination of respondents and circumstance prevented it from conduct respondent selection under companies are requested to complete submitting a timely withdrawal request. section 777A(c)(2) of the Act: the Quantity and Value Questionnaire for purposes of respondent selection, in Determinations by the Department to In general, the Department finds that general each company must report extend the 90-day deadline will be determinations concerning whether volume and value data separately for made on a case-by-case basis. particular companies should be itself. Parties should not include data The Department is providing this ‘‘collapsed’’ (i.e., treated as a single for any other party, even if they believe entity for purposes of calculating notice on its Web site, as well as in its they should be treated as a single entity ‘‘Opportunity to Request Administrative antidumping duty rates) require a with that other party. If a company was Review’’ notices, so that interested substantial amount of detailed collapsed with another company or information and analysis, which often companies in the most recently parties will be aware of the manner in require follow-up questions and completed segment of this proceeding which the Department intends to analysis. Accordingly, the Department where the Department considered exercise its discretion in the future. will not conduct collapsing analyses at collapsing that entity, complete quantity Opportunity To Request a Review: Not the respondent selection phase of this and value data for that collapsed entity later than the last day of January 2017,1 review and will not collapse companies must be submitted. interested parties may request at the respondent selection phase unless administrative review of the following there has been a determination to Deadline for Withdrawal of Request for Administrative Review orders, findings, or suspended collapse certain companies in a investigations, with anniversary dates in previous segment of this antidumping Pursuant to 19 CFR 351.213(d)(1), a January for the following periods: proceeding (i.e., investigation, party that requests a review may

Period of review

Antidumping Duty Proceedings Brazil: Prestressed Concrete Steel Wire Strand A–351–837 ...... 1/1/16–12/31/16 India: Prestressed Concrete Steel Wire Strand A–533–828 ...... 1/1/16–12/31/16 Mexico: Prestressed Concrete Steel Wire Strand A–201–831 ...... 1/1/16–12/31/16 Republic of Korea: Prestressed Concrete Steel Wire Strand A–580–852 ...... 1/1/16–12/31/16 South Africa: Ferrovanadium A–791–815 ...... 1/1/16–12/31/16 Thailand: Prestressed Concrete Steel Wire Strand A–549–820 ...... 1/1/16–12/31/16 The People’s Republic of China: Calcium Hypochlorite A–570–008 ...... 1/1/16–12/31/16 Carbon and Certain Alloy Steel Wire Rod A–570–012 ...... 1/1/16–12/31/16 Crepe Paper Products A–570–895 ...... 1/1/16–12/31/16 Ferrovanadium A–570–873 ...... 1/1/16–12/31/16 Folding Gift Boxes A–570–866 ...... 1/1/16–12/31/16 Potassium Permanganate A–570–863 ...... 1/1/16–12/31/16 Wooden Bedroom Furniture A–570–890 ...... 1/1/16–12/31/16 Countervailing Duty Proceedings Calcium Hypochlorite C–570–009 ...... 1/1/16–12/31/16 Carbon and Certain Alloy Steel Wire Rod C–570–013 ...... 1/1/16–12/31/16 Certain Oil Country Tubular Goods C–570–944 ...... 1/1/16–12/31/16 Circular Welded Carbon Quality Steel Line Pipe C–570–936 ...... 1/1/16–12/31/16 Suspension Agreements Mexico: Fresh Tomatoes A–201–820 ...... 1/1/16–12/31/16 Russia: Certain Cut-to-Length Carbon Steel A–821–808 ...... 1/1/16–12/31/16

1 Or the next business day, if the deadline falls on a weekend, federal holiday or any other day when the Department is closed.

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In accordance with 19 CFR in Department Practice for Respondent Antidumping or Countervailing Duty 351.213(b), an interested party as Selection in Antidumping Duty Order, Finding, or Suspended defined by section 771(9) of the Act may Proceedings and Conditional Review of Investigation’’ for requests received by request in writing that the Secretary the Nonmarket Economy Entity in NME the last day of January 2017. If the conduct an administrative review. For Antidumping Duty Proceedings, 78 FR Department does not receive, by the last both antidumping and countervailing 65963 (November 4, 2013), the day of January 2017, a request for duty reviews, the interested party must Department clarified its practice with review of entries covered by an order, specify the individual producers or regard to the conditional review of the finding, or suspended investigation exporters covered by an antidumping non-market economy (NME) entity in listed in this notice and for the period finding or an antidumping or administrative reviews of antidumping identified above, the Department will countervailing duty order or suspension duty orders. The Department will no instruct CBP to assess antidumping or agreement for which it is requesting a longer consider the NME entity as an countervailing duties on those entries at review. In addition, a domestic exporter conditionally subject to a rate equal to the cash deposit of (or interested party or an interested party administrative reviews. Accordingly, bond for) estimated antidumping or described in section 771(9)(B) of the Act the NME entity will not be under review countervailing duties required on those must state why it desires the Secretary unless the Department specifically entries at the time of entry, or to review those particular producers or receives a request for, or self-initiates, a withdrawal from warehouse, for exporters. If the interested party intends review of the NME entity.3 In consumption and to continue to collect for the Secretary to review sales of administrative reviews of antidumping the cash deposit previously ordered. merchandise by an exporter (or a duty orders on merchandise from NME For the first administrative review of producer if that producer also exports countries where a review of the NME any order, there will be no assessment merchandise from other suppliers) entity has not been initiated, but where of antidumping or countervailing duties which was produced in more than one an individual exporter for which a on entries of subject merchandise country of origin and each country of review was initiated does not qualify for entered, or withdrawn from warehouse, origin is subject to a separate order, then a separate rate, the Department will for consumption during the relevant the interested party must state issue a final decision indicating that the provisional-measures ‘‘gap’’ period of specifically, on an order-by-order basis, company in question is part of the NME the order, if such a gap period is which exporter(s) the request is entity. However, in that situation, applicable to the period of review. intended to cover. because no review of the NME entity This notice is not required by statute Note that, for any party the was conducted, the NME entity’s entries but is published as a service to the Department was unable to locate in were not subject to the review and the international trading community. prior segments, the Department will not rate for the NME entity is not subject to accept a request for an administrative Dated: January 3, 2017. change as a result of that review Gary Taverman, review of that party absent new (although the rate for the individual information as to the party’s location. Associate Deputy Assistant Secretary for exporter may change as a function of the Antidumping and Countervailing Duty Moreover, if the interested party who finding that the exporter is part of the files a request for review is unable to Operations. NME entity). [FR Doc. 2017–00252 Filed 1–9–17; 8:45 am] locate the producer or exporter for Following initiation of an BILLING CODE 3510–DS–P which it requested the review, the antidumping administrative review interested party must provide an when there is no review requested of the explanation of the attempts it made to NME entity, the Department will DEPARTMENT OF COMMERCE locate the producer or exporter at the instruct CBP to liquidate entries for all same time it files its request for review, exporters not named in the initiation International Trade Administration in order for the Secretary to determine notice, including those that were if the interested party’s attempts were suspended at the NME entity rate. U.S. Department of Commerce reasonable, pursuant to 19 CFR All requests must be filed Advisory Council on Trade 351.303(f)(3)(ii). electronically in Enforcement and Enforcement and Compliance As explained in Antidumping and Compliance’s Antidumping and AGENCY: International Trade Countervailing Duty Proceedings: Countervailing Duty Centralized Administration, U.S. Department of Assessment of Antidumping Duties, 68 Electronic Service System (‘‘ACCESS’’) Commerce. FR 23954 (May 6, 2003), and Non- on Enforcement and Compliance’s Market Economy Antidumping ACCESS Web site at http:// ACTION: Notice of establishment of the Proceedings: Assessment of access.trade.gov.4 Further, in U.S. Department of Commerce Advisory Antidumping Duties, 76 FR 65694 accordance with 19 CFR 351.303(f)(l)(i), Council on Trade Enforcement and (October 24, 2011), the Department a copy of each request must be served Compliance. clarified its practice with respect to the on the petitioner and each exporter or collection of final antidumping duties SUMMARY: The Secretary of Commerce producer specified in the request. (Secretary), having determined that it is on imports of merchandise where The Department will publish in the in the public interest in connection with intermediate firms are involved. The Federal Register a notice of ‘‘Initiation the performance of duties imposed on public should be aware of this of Administrative Review of clarification in determining whether to the Department of Commerce by law, and with the concurrence of the General request an administrative review of 3 In accordance with 19 CFR 351.213(b)(1), parties merchandise subject to antidumping should specify that they are requesting a review of Services Administration, announces findings and orders.2 entries from exporters comprising the entity, and to establishment of the U.S. Department of Further, as explained in Antidumping the extent possible, include the names of such Commerce Advisory Council on Trade exporters in their request. Enforcement and Compliance (ACTEC). Proceedings: Announcement of Change 4 See Antidumping and Countervailing Duty Proceedings: Electronic Filing Procedures; The ACTEC shall advise the Secretary 2 See also the Enforcement and Compliance Web Administrative Protective Order Procedures, 76 FR on laws and government policies that site at http://trade.gov/enforcement/. 39263 (July 6, 2011). deal with trade enforcement; identify

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and recommend programs, policies, and The ACTEC shall act as a liaison with chairs from among the members of the actions to help the Department in its the stakeholders represented by the ACTEC. The Executive Director may efforts to ensure that U.S. trading membership, and shall provide a forum establish subcommittees from among partners comply with their trade for stakeholders on current and the ACTEC members, in order to agreement commitments; and emerging issues concerning trade perform specific functions within the recommend ways that the Department’s enforcement and compliance matters. jurisdiction of the ACTEC, subject to the trade enforcement and compliance The ACTEC shall report to the provisions of the Federal Advisory policies and programs can better Secretary on its activities and Committee Act (FACA), the FACA support a strong trade and recommendations regarding the implementing regulations, and manufacturing agenda and enhance the Department’s trade enforcement and applicable Department of Commerce commercial competitiveness of the compliance efforts. In creating its guidance. Subcommittees must report United States. The ACTEC shall act as reports, the ACTEC should survey and back to the parent committee and do not a liaison with the stakeholders evaluate the trade enforcement and provide advice or work product directly represented by the membership, and compliance concerns of its stakeholders, to the Secretary. should identify and examine specific shall provide a forum for stakeholder III. Compensation input regarding current and emerging trade problems that require attention, issues in trade enforcement and and should examine the needs in this Members will not be compensated for compliance matters. The Department of area to inform the ACTEC’s efforts. The their services or reimbursed for their Commerce will publish a notice in ACTEC should recommend specific travel expenses. January soliciting nominations for solutions to the problems and needs it Dated: January 4, 2017. membership on the ACTEC. identifies. Steven Presing, DATES: Effective January 10, 2017. II. Structure, Membership, and Executive Director for Trade Agreements Operation Policy and Negotiations. FOR FURTHER INFORMATION CONTACT: [FR Doc. 2017–00254 Filed 1–9–17; 8:45 am] Meredith Rutherford, U.S. Department The ACTEC shall consist of no more BILLING CODE 3510–DS–P of Commerce, 1401 Constitution Avenue than twenty members appointed by the NW., Room 3089, Washington, DC Secretary. Members shall represent U.S. 20230; telephone: 202 482 6199; email: entities involved in and significantly DEPARTMENT OF COMMERCE [email protected]. affected by imports and/or those that heavily export to, or operate in, SUPPLEMENTARY INFORMATION: National Oceanic and Atmospheric countries with which the United States Administration I. Background and Authority has trade agreements. All members must be U.S. Nationals RIN 0648–XE909 The ACTEC is established in and shall be selected based on their accordance with the provisions of the ability to carry out the objectives of the Taking of Threatened or Endangered Federal Advisory Committee Act, as ACTEC, in accordance with applicable Marine Mammals Incidental to Commercial Fishing Operations; amended, 5 U.S.C. App., to advise the Department of Commerce guidelines, in Proposed Issuance of Permit Secretary on matters relating to relating a manner that ensures the ACTEC is to the Department’s statutory missions balanced in terms of points of view, AGENCY: National Marine Fisheries to enforce U.S. trade remedy laws and demographics, industry sector, Service (NMFS), National Oceanic and seek foreign government compliance geography of both production Atmospheric Administration (NOAA), with trade agreements. The Department infrastructure and product inputs, and Commerce. affirms that the creation of the ACTEC company size. Members shall also ACTION: Notice; request for comments. is necessary and in the public interest. represent a broad range of products and The Assistant Secretary for Enforcement services and shall be drawn from large, SUMMARY: We, the National Marine and Compliance, U.S. Department of medium, and small enterprises, private Fisheries Service (NMFS), are proposing Commerce, shall serve as the Executive sector organizations, and other entities, to issue a permit for a period of three Director of the ACTEC. The Executive such as, non-governmental years to authorize the incidental, but not Director shall designate both the organizations, associations, and intentional, take of two stocks of marine Designated Federal Officer (DFO) and a economic development organizations. mammals listed as threatened or Secondary DFO from among the Members shall serve in a representative endangered under the Endangered employees of the International Trade capacity, representing the views and Species Act (ESA), under the Marine Administration’s Enforcement and interests of their sponsoring entities and Mammal Protection Act (MMPA), by the Compliance unit. The DFO serves as the those of their particular industrial and California (CA) thresher shark/ ACTEC Executive Secretary. regional sector (as applicable); they are, swordfish drift gillnet fishery (>14 inch The ACTEC shall advise the Secretary therefore, not Special Government mesh) and the Washington (WA)/ on laws and government policies that Employees. Appointments to the Oregon (OR)/CA sablefish pot fishery. In deal with trade enforcement; identify ACTEC shall be made without regard to accordance with the MMPA, NMFS and recommend programs, policies, and political affiliation. issues this permit provided that it can actions to help the Department in its Members serve for a term of two years make the determination that: The efforts to ensure that U.S. trading and will serve at the pleasure of the incidental take will have a negligible partners comply with their trade Secretary. The Secretary may at his/her impact on the affected stocks; a recovery agreement commitments; and discretion reappoint any member to an plan for all affected stocks of threatened recommend ways that the Department’s additional term or terms, provided that or endangered marine mammals has enforcement and compliance activities the member proves to work effectively been developed or is being developed; can better support a strong trade and on the ACTEC and his/her knowledge and as required by the MMPA, a take manufacturing agenda and advance the and advice are still needed. reduction plan and monitoring program commercial competitiveness of U.S. The Secretary shall designate the have been implemented, and vessels in firms and workers. ACTEC chair and vice chair or vice the CA thresher shark/swordfish drift

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gillnet fishery (>14 inch mesh) and the A’’ in the required fields if you wish to here. The data for considering these WA/OR/CA sablefish pot fisheries are remain anonymous). Attachments to authorizations were reviewed registered. We have made a preliminary electronic comments will be accepted in coincident with the 2016 MMPA List of determination that incidental taking Microsoft Word, Excel, or Adobe PDF Fisheries (LOF; 81 FR 20550, April 8, from commercial fishing will have a file formats only. 2016), the final 2015 U.S. Pacific Marine negligible impact on the ESA-listed FOR FURTHER INFORMATION CONTACT: Mammal Stock Assessment Report humpback whale (CA/OR/WA stock) Christina Fahy, NMFS West Coast (SAR) (Carretta et al. 2016), Carretta and and sperm whale (CA/OR/WA stock). Region, (562) 980–4023 or Moore (2014), Moore and Barlow (2014), Recovery plans have been completed for [email protected]; or Shannon the Fishery Management Plan (FMP) for humpback and sperm whales. We solicit Bettridge, NMFS Office of Protected U.S. West Coast Fisheries for Highly public comments on the draft negligible Resources, (301) 427–8402 or Migratory Species (HMS), recovery impact determination (NID) and on the [email protected]. plans for these species (available on the Internet at: http://www.nmfs.noaa.gov/ proposal to issue a permit to vessels that SUPPLEMENTARY INFORMATION: operate in these fisheries for the taking pr/recovery/plans.htm#mammals), the of affected endangered stocks of marine Background best available scientific information and mammals. Section 101(a)(5)(E) of the MMPA, 16 available data, and other relevant DATES: Comments on this action and U.S.C. 1361 et seq., states that NMFS, as sources. Based on observer data and marine supporting documents must be received delegated by the Secretary of Commerce, mammal injury reporting forms, vessels by February 9, 2017. shall for a period of up to three years operating in the Category I CA thresher allow the incidental taking of marine ADDRESSES: You may submit comments shark/swordfish drift gillnet fishery mammal species listed under the ESA, on this document and the draft (>14 inch mesh) and the Category II 16 U.S.C. 1531 et seq., by persons using negligible impact determination, which WA/OR/CA sablefish pot fishery are the vessels of the United States and those are available on the Internet at the two Federally-managed Category I and II vessels which have valid fishing permits following address: http:// fisheries that operate in the ranges of issued by the Secretary in accordance www.westcoast.fisheries.noaa.gov/ affected stocks, namely the CA/OR/WA protected_species/marine_mammals/ with section 204(b) of the Magnuson- _ stocks of humpback whale and sperm fisheries interactions.html. Recovery Stevens Fishery Conservation and whale, and are currently considered for plans for these two species are available Management Act, 16 U.S.C. 1824(b), authorization. A brief description of on the Internet at the following address: while engaging in commercial fishing these fisheries can be found below. The http://www.nmfs.noaa.gov/pr/recovery/ operations, if NMFS makes certain CA thresher shark/swordfish drift plans.htm#mammals. determinations. NMFS must determine, gillnet fishery (>14 inch mesh), is the You may submit comments on this after notice and opportunity for public only Federally-managed Category I document or the draft negligible impact comment, that: (1) Incidental mortality fishery operating off the coast of determination, identified by NOAA– and serious injury (M/SI) will have a California. The WA/OR/CA sablefish NMFS–2016–0129, by either of the negligible impact on the affected species pot fishery is the only Federally- following methods: or stock; (2) a recovery plan has been managed Category II fishery operating • Electronic Submissions: Submit all developed or is being developed for off the coasts of California, Oregon, and electronic public comments via the such species or stock under the ESA; Washington. All other Category II Federal eRulemaking Portal. Go to and (3) where required under section fisheries that may interact with the www.regulations.gov/ 118 of the MMPA, a monitoring program marine mammal stocks observed off the #!docketDetail;D=NOAA-NMFS-2016- has been established, vessels engaged in coasts of California, Oregon, and 0129, click the ‘‘Comment Now!’’ icon, such fisheries are registered in Washington are state-managed and are complete the required fields, and enter accordance with section 118 of the not considered for authorization under or attach your comments. MMPA, and a take reduction plan has this permit; however, M/SI related to • Mail: Send written comments to: been developed or is being developed these fisheries and all other human Chris Yates, Assistant Regional for such species or stock. sources was evaluated in the draft NID. Administrator, Protected Resources We propose to issue a permit under Participants in Category III fisheries are Division, West Coast Region, 501 W. MMPA section 101(a)(5)(E) to vessels not required to obtain incidental take Ocean Blvd., Suite 4200; Long Beach, registered in the CA thresher shark/ permits under MMPA section CA 90802. Comments may also be faxed swordfish drift gillnet fishery (>14 inch 101(a)(5)(E) but are required to report to (562) 980–4027. Include the identifier mesh) to incidentally take individuals any mortality or injury of marine ‘‘NOAA–NMFS–2016–0129’’ in the from two stocks of endangered marine mammals incidental to their operations. comments. mammals: The CA/OR/WA stock of Instructions: Comments sent by any humpback whales (Megaptera Basis for Determining Negligible Impact other method, to any other address or novaeangliae) and the CA/OR/WA stock Prior to issuing a permit to take ESA- individual, or received after the end of of sperm whales (Physeter listed marine mammals incidental to the comment period, may not be macrocephalus); and to vessels commercial fishing, NMFS must considered by NMFS. All comments registered in WA/OR/CA sablefish pot determine if the M/SI incidental to received are a part of the public record fishery to incidentally take individuals commercial fisheries will have a and will generally be posted for public from the CA/OR/WA stock of humpback negligible impact on the affected species viewing on www.regulations.gov whales. A history of MMPA section or stocks of marine mammals. NMFS without change. All personal identifying 101(a)(5)(E) permits related to these satisfies this requirement through information (e.g., name, address, etc.), stocks was included in previous notices completion of a NID. We clarify that for confidential business information, or for other permits to take threatened or purposes of the draft negligible impact otherwise sensitive information endangered marine mammals incidental analysis, incidental M/SI from submitted voluntarily by the sender will to commercial fishing (e.g., 72 FR commercial fisheries includes M/SI be publicly accessible. NMFS will 60814, October 26, 2007; 78 FR 54553, from entanglement in fishing gear or accept anonymous comments (enter ‘‘N/ September 4, 2013) and is not repeated ingestion of fishing gear. Indirect effects,

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such as the effects of removing prey to individual review and certainty of as having been rarely incidentally killed from habitat, are not included in this data. Criterion 4 stipulates that if the or seriously injured in the WA/OR/CA analysis. A biological opinion prepared population abundance of a stock is sablefish pot fishery. under ESA section 7 considers direct declining, the threshold level of 10 In 2001, a time/area closure of the and indirect effects of Federal actions percent of PBR will continue to be used. drift gillnet fishery off central and (available at http:// Criterion 5 states that if total northern California/southern Oregon to www.westcoast.fisheries.noaa.gov/), and commercial fisheries-related M/SI is protect leatherback sea turtles was thus, contains a broader scope of greater than PBR, permits may not be implemented through regulations, and analysis than is required by MMPA issued for that species or stock. resulted in a decrease in overall fishing section 101(a)(5)(E). We considered two time frames for effort and a shift in effort to southern Although the MMPA does not define this analysis: 5 years (2010–2014) and California. Therefore, the post-2000 time ‘‘negligible impact,’’ NMFS has issued 14 years (2001–2014). The first time period best represents the current regulations providing a qualitative frame we considered for both stocks of spatial state of the fishery, so we used definition of ‘‘negligible impact’’ (50 whales is the most recent five-year the 14-year period post-2000 to CFR 216.103), and through scientific period for which data are available and calculate mean annual mortality analysis, peer review, and public notice have been analyzed (here, January 1, estimate for these two stocks of whales, developed a quantitative approach for 2010 through December 31, 2014) and is based on recommendations contained in determining negligible impact. As it typically used for NID analyses. A five- the GAMMS and Carretta and Moore applies here, the definition of year time frame in many cases provides (2014). This time frame also provides a ‘‘negligible impact’’ is ‘‘an impact enough data to adequately capture year- comprehensive look at the WA/OR/CA resulting from the specified activity that to-year variations in take levels, while sablefish pot fishery, given changes in cannot be reasonably expected to, and is reflecting current environmental and oceanographic conditions, fishing not reasonably likely to adversely affect fishing conditions, as they may change practices, and reporting and stranding the species or stock through effects on over time. However, NMFS’ Guidelines records. annual rates of recruitment or survival.’’ for Assessing Marine Mammal Stocks A conservative, or precautionary, The development of the approach is (GAMMS) suggest that mortality approach is taken in these analyses for outlined in detail in the current draft estimates could be averaged over as evaluating the negligible impact of NID made available through this notice many years as necessary to achieve a fisheries and other sources of injury or and was described in previous notices coefficient of variation of less than or mortality, such as recreational fisheries for other permits to take threatened or equal to 0.3. and ship strikes, on these stocks. In endangered marine mammals incidental In addition, Carretta and Moore (2014) certain cases, the maximum estimate of to commercial fishing (e.g., 72 FR recommend pooling longer time series M/SI was used for the calculations. For 60814, October 26, 2007; 78 FR 54553, of data when bycatch is a rare event. For example, if a ship strike occurred, but September 4, 2013). example, pooling 10 years of fishery M/SI was not observed on scene or data resulted in bycatch estimates confirmed by necropsy of the stranded Criteria for Determining Negligible within 25 percent of the true bycatch Impact animal, and if further review of reports rate over 50 percent of the time (i.e., and other sources then confirmed M/SI, In 1999 NMFS adopted criteria for estimates were within 25 percent of the it was assumed for purposes of this making NIDs for MMPA 101(a)(5)(E) true value more often than not). Key to analysis, that M/SI occurred. permits (64 FR 28800, May 27, 1999). In this approach was that the fishery must Additionally, M/SI from unknown or applying the 1999 criteria to determine have had sufficiently constant unidentified fisheries was whether M/SI incidental to commercial characteristics (e.g., effort, gear, conservatively considered to be from fisheries will have a negligible impact locations) to support the inference of commercial fisheries. Furthermore, in on a listed marine mammal stock, consistent results across years such as using two time frames for the negligible Criterion 1 is whether total human- with the CA thresher shark/swordfish impact analyses (2001–2014 and 2010– ≥ related M/SI is less than 10 percent of drift gillnet fishery ( 14 inch mesh). 2014), we took a precautionary the stock’s potential biological removal Rare bycatch events typically involve approach by ensuring that a NID could level (PBR). If total human-related M/SI smaller populations paired with low be made for both time frames is less than 10 percent of PBR, the observer coverage in a fishery. If true considered. analysis would be concluded, and the bycatch mortality is low, but near PBR, impact would be determined to be then estimation bias needs to be Negligible Impact Determinations negligible. If Criterion 1 is not satisfied, reduced to allow reliable evaluation of Below is a summary of our NMFS may use one of the other criteria the bycatch estimate against a low application of the negligible impact as appropriate. The remaining criteria removal threshold. criteria and determination regarding the describe alternatives under certain Currently, the humpback whale and effects of commercial fisheries off the conditions. Criterion 2 is satisfied if the the sperm whale stocks are the only U.S. west coast on the CA/OR/WA total human-related M/SI is greater than ESA-listed marine mammal species stocks of humpback whale and sperm PBR, but commercial fisheries-related interacting with the CA thresher shark/ whale. M/SI is less than 10 percent of PBR. If swordfish drift gillnet fishery (≥14 inch Criterion 2 is satisfied, vessels operating mesh) that meet the conditions Criterion 1 Analysis in individual fisheries may be permitted described in Carretta and Moore (2014): Criterion 1 would be satisfied if the if management measures are being taken These stocks have relatively small total human-related M/SI is less than 10 to address non-fisheries-related minimum population estimates and percent of PBR. mortality and serious injury. Criterion 3 have been recorded as having been The 5-year (2010–2014) average is satisfied if total commercial fisheries- incidentally killed or seriously injured annual human-related M/SI to the CA/ related M/SI is greater than 10 percent in rare events (in the CA thresher shark/ OR/WA stock of humpback whales is of PBR and less than PBR, and the swordfish drift gillnet fishery (≥14 inch 6.8 or 62.0 percent of the PBR (11.0). population is stable or increasing. mesh). The CA/OR/WA stock of The 14-year (2001–2014) average annual Fisheries may then be permitted subject humpback whale has also been recorded human-related M/SI to the CA/OR/WA

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stock of humpback whales is 5.1 or 46.4 addition, the stock has experienced a 101(a)(5)(E) permit. Specifically, NMFS percent of the PBR. The total annual positive growth rate (6–7 percent per proposes that vessels operating in these human-related M/SI for this stock of year). Accordingly, Criterion 3 is identified commercial fisheries within humpback whales is not less than 10 satisfied in determining that M/SI of the the range of the CA/OR/WA humpback percent of PBR for both time frames CA/OR/WA humpback whale stock and sperm whale stocks may be considered. incidental to commercial fishing would permitted subject to individual review The 5-year (2010–2014) average have a negligible impact on the stock. of the fishery and the certainty of annual human-related M/SI of the CA/ In 2015, there was a significant relevant data, and provided that the OR/WA stock of sperm whales is 0.6 or increase in reports of entangled other provisions of section 101(a)(5)(E) 22.2 percent of the PBR (2.7). The 14- humpback whales off the U.S. west are met. year (2001–2014) average annual coast, primarily in the state-managed human-related M/SI to the CA/OR/WA pot/trap fisheries. In addition, there Description of Fisheries stock of sperm whales from all human were two fatal ship strikes of humpback The following is an individual review sources is 0.9 or 33.3 percent of the whales. We evaluated the 2015 of the two Federally-authorized fisheries PBR. The total annual human-caused preliminary raw entanglement and ship classified as Category I and II in the M/SI for this stock of sperm whales is strike data to understand how future 2016 LOF (81 FR 20550) which are not less than 10 percent of the PBR for data may impact this type of analysis. known through observer records, fisher both time frames considered. Serious injury determinations for 2015 self-reports, and confirmed Criterion 1 was not satisfied because will be completed in early 2017. If not entanglement reports to kill or seriously the total annual human-related M/SI for all entanglements or ship strikes are injure ESA-listed marine mammals these stocks is not less than 10 percent determined to be M/SI, it is possible to incidental to commercial fishing of PBR for the time periods considered. conclude there is a negligible impact operations. Detailed descriptions of As a result, the other criteria must be under Criterion 3 for both the 15-year those fisheries can be found in the examined. and five-year time frames. Based on past NMFS (2011) Biological Opinion on the humpback whale injury determinations operation of the Pacific groundfish Criterion 2 Analysis from 2007 through 2014, 84 percent fishery, which includes the WA/OR/CA Criterion 2 would be satisfied if total were determined to be M/SI. sablefish pot fishery; the NMFS (2013) human-related M/SI is greater than PBR Criterion 3 was satisfied for the CA/ Biological Opinion for the CA thresher and the total fisheries-related mortality OR/WA sperm whale stock as the total shark/swordfish drift gillnet fishery (≥14 is less than 10 percent of PBR. This fishery-related M/SI is greater than 10 inch mesh); the 2015 SAR (Carretta et al. criterion was not satisfied because total percent of and less than 100 percent of 2016); and the draft NID. human-related M/SI (detailed above) is PBR, and the population is stable. The California Thresher Shark/Swordfish less than PBR, and total fisheries-related 5-year (2010–2014) annual average Drift Gillnet Fishery (>14 Inch Mesh) mortality (detailed below) is greater fishery-related M/SI from all than 10 percent of PBR for each stock commercial fisheries for the CA/OR/WA Participants in the CA thresher shark/ (both time frames analyzed). As a result, sperm whale stock is estimated at 0.4 or swordfish drift gillnet fishery (≥14 inch the other criteria were examined. 14.8 percent of PBR and 0.6 or 22.2 mesh) are required to have a valid percent of PBR for the 14-year average permit issued annually by the California Criterion 3 Analysis (2001–2014), which is between 10 Department of Fish and Wildlife. In Unlike Criteria 1 and 2, which percent and 100 percent of PBR. The accordance with MMPA section 118(c), examine total human-related M/SI population is considered to be stable. only those vessels participating in the relative to PBR, Criterion 3 compares In 2015, there were no reports of CA thresher shark/swordfish drift total fisheries-related M/SI to PBR. entangled or ship-struck sperm whales. gillnet fishery (≥14 inch mesh) that have Criterion 3 would be satisfied if the total Therefore, the addition of one more year registered with the Marine Mammal commercial fisheries-related M/SI of data would not change the conclusion Authorization Program are authorized to (including state and Federal fisheries) is reached in the draft NID. take marine mammals incidental to their greater than 10 percent of and less than Accordingly, Criterion 3 is satisfied in fishing operations. Vessels holding this 100 percent of PBR for each stock for the determining that M/SI of the CA/OR/ authorization must comply with the respective time frame considered, and WA sperm whale stock incidental to Pacific Offshore Cetacean Take the populations of these stocks are commercial fishing would have a Reduction Plan and implementing considered to be stable or increasing. If negligible impact on the stock. regulations. Any vessel that violates the Criterion is met, vessels may be In conclusion, based on the criteria regulations will be subject to permitted subject to individual review outlined in 1999 (64 FR 28800), the final enforcement action. The estimated and certainty of data. 2015 U.S. Pacific SAR (Carretta et al,. number of vessels in the fishery is based Criterion 3 was satisfied for the CA/ 2016), Carretta and Moore (2014), Moore upon the number of vessels that OR/WA humpback whale stock as the and Barlow (2014), and the best indicated intent to participate in the annual average fishery-related M/SI available scientific information, fishery according to historical reference from all commercial fisheries is greater available data and other sources, NMFS and may not be an accurate estimate of than 10 percent of and less than 100 has determined that the M/SI incidental the number of vessels actively engaged percent of PBR, and the population is to the CA thresher shark/swordfish drift in fishing in any given year. The CA increasing (6–7 percent per year). The 5- gillnet fishery (≥14 inch mesh) and the thresher shark/swordfish drift gillnet year (2010–2014) average annual WA/OR/CA sablefish pot fishery will fishery (≥14 inch mesh) is a limited fishery-related M/SI from all have a negligible impact on the CA/OR/ entry program, managed with gear, commercial fisheries for the CA/OR/WA WA stock of humpback whales and the seasons, and area closures. The number humpback whale stock is estimated at CA thresher shark/swordfish drift of vessels participating in the CA 5.6 or 51.0 percent of PBR and 4.1 or gillnet fishery (≥14 inch mesh) will have thresher shark/swordfish drift gillnet 37.3 percent of PBR for the 14-year a negligible impact on the CA/OR/WA fishery (≥14 inch mesh) has decreased period (2001–2014), which is between stock of sperm whales. NMFS therefore from 148 permits issued and 98 active 10 percent and 100 percent of PBR. In proposes to issue the MMPA vessels in 1998 to 72 permits issued and

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18 active vessels in 2016. Information west coast of the U.S. The fishery is called ‘‘gear switching.’’ Vessels fishing on the number of active permit holders managed under regulations in the Shore-based IFQ Program under was obtained from the ‘‘Status of the implementing the Pacific Coast gear switching provisions are subject to U.S. west coast fisheries for HMS Groundfish FMP developed by the most of the same requirements as those through 2004; Stock Assessment and Pacific Fishery Management Council. vessels fishing trawl gear to harvest Fishery Evaluation’’ report, available There are four distinct segments of the their groundfish quota, including 100 from the Pacific Fishery Management Pacific coast groundfish fishery where percent observer coverage, fishing on Council Web site (www.pcouncil.org). sablefish may be harvested, by some or their own individual quota, etc. The fishery targets swordfish and all of the participants, with pot gear: However, regulations that apply thresher shark. It operates outside of Limited entry fixed gear sablefish specifically to non-trawl gears, like gear- state waters to about 150 nautical miles primary fishery and daily trip limit specific area and depth restrictions, (nm) offshore ranging from the U.S./ fishery; the trawl individual fishing apply to vessels gear switching. Mexico border in the south to the quota (IFQ) fishery when vessels are The open access fishery is comprised Oregon border in the north, depending ‘‘gear switching’’ (allowed since 2011); of vessels not registered to limited entry on sea surface temperature conditions. and the open access sablefish daily trip permits, is available to fishermen year Regulations restrict the fishery to waters limit fishery. Further information about round, and managed throughout the outside 200 nm from February 1 through each of these segments of the groundfish year with daily, weekly, and two-month April 30, and outside 75 nm from May fishery that may harvest sablefish with trip limits. NOAA’s Northwest Fisheries 1 through August 14, while allowing pot gear is provided below. Science Center estimates 204 fishermen fishing inside 75 nm from August 15 The limited entry fixed gear sablefish (number of state-issued permits, not through January 31. Vessels in this primary fishery occurs between 36° N. reflective of number of active fishery targeting swordfish tend to set latitude (lat.) and the U.S.—Canada fishermen), participating in the open on warm ocean water temperature border and requires at least one limited access sector in 2014 based on a query, breaks, which do not appear along the entry permit, with both a fixed gear conducted on June 17, 2014 of the California coast until late summer. endorsement and a sablefish NMFS groundfish Web site (https:// Because of these restrictions, vessels are endorsement, be registered to a vessel. www.webapps.nwfsc.noaa.gov/apex_ifq/ not active during February, March, and The primary fishery is composed of a f?p=112:23). April, and very little fishing effort three-tier system of cumulative landing Participants in the sablefish fishery occurs during the months of May, June, quotas within a restricted season, from are required to keep daily logs of fishing and July. April 1 to October 31. Permits were activities. Depending on the area of the In 2001, a seasonal (15 August–15 assigned to a tier based on landing coast, fishing for sablefish with non- November) area closure was history when the system originally trawl gear (e.g. pot gear, etc.) is implemented in the CA thresher shark/ began in 1998. There are 32 Limited prohibited in certain depths by the swordfish drift gillnet fishery (≥14 inch Entry Permits issued for the sablefish Groundfish Non-Trawl Rockfish mesh) north of Point Conception, to trap fishery on the West Coast. Fishing Conservation Area. Specific depth protect leatherback turtles that feed in outside of the primary season or after restrictions vary, and may be modified the area and were observed entangled in fulfillment of tier quota is allowed, during the year, but generally prohibit previous fishing seasons. Additional subject to limited entry fixed gear setting sablefish pots between 30 seasonal/area closures in southern weekly and two-month cumulative fathoms and 100 fathoms (from California have been established in the limits. The limited entry permits are Washington to central California) and CA thresher shark/swordfish drift currently associated with vessels spread between 60 fathoms and 150 fathoms gillnet fishery to protect loggerhead throughout the Pacific Northwest from (southern California). Federal turtles during a forecast or occurring El Northern California through regulations pertaining to depth-based Nin˜ o event during the months of June, Washington, and some vessels closures for limited entry fixed gear can July and/or August. registered to limited entry permits also be found in Table 2 (North and South) The NMFS West Coast Region has fish in waters off Alaska. Up to three of 50 Code of Federal Regulations (CFR) operated an at-sea observer program in sablefish-endorsed permits may be part 660, subpart E, and open access the CA thresher shark/swordfish drift stacked for cumulative landings on one closures can be found in Table 3, 50 gillnet fishery (≥14 inch mesh) since vessel and may include both trap and CFR part 660, subpart F. The state July 1990 to the present. The objectives longline gear endorsements. management agencies may close of the NMFS observer program are to The limited entry fixed gear daily trip additional areas. For example, south of record, among other things, information limit fishery occurs coast wide, year- Point Arguello, near Santa Barbara, the on non-target fish species and protected round. Vessels registered to limited minimum depth for setting traps species interactions. NMFS typically entry permits with pot/trap gear targeting sablefish is 200 fathoms. targets 20 percent observer coverage of endorsements may harvest sablefish Multiple traps are connected to a the annual sets by the CA thresher with pot/trap gear year round, according common ground line made of nylon or shark/swordfish drift gillnet fishery (≥14 to the applicable weekly and two-month nylon blend and 5⁄16th or 3⁄8th inch inch mesh) fleet, with close to 100 cumulative limits, applicable to their wide. Limited entry permit holders percent of net retrievals monitored on time/area. Accounting for stacking of commonly fish 20 to 50 traps per string, observed trips for, among other things, permits, there were 41 vessels using as opposed to open access fishermen species identification and enumeration. traps only and five using a combination who generally fish several smaller of traps and longline to harvest sablefish strings; up to eight strings with one to WA/OR/CA Sablefish Pot Fishery in 2014. four traps per string, each with a float The WA/OR/CA sablefish pot fishery The vessels participating in the line and buoy stick. targets sablefish using trapezoid, limited entry trawl Shore-based IFQ conical, or rectangular steel frame traps, Program may choose to harvest their Conclusions for Proposed Permit wrapped with ≥2 inch nylon webbing. sablefish quota with non-trawl gear, Based on the individual review of the The fishery generally sets gear at depths including pot gear, under provisions of fisheries and the certainty of relevant between 80 and 300 fathoms off the the Program that allow for an activity data, and as described in the

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accompanying draft NID, NMFS recovery plans in place or being Pacific Offshore Cetacean TRP was concludes that the M/SI incidental to developed is satisfied. implemented through regulations in the CA thresher shark/swordfish drift October, 1997 (62 FR 51813) and has Vessel Registration gillnet fishery (≥14 inch mesh) and the been in place ever since. Although a WA/OR/CA sablefish pot fishery will MMPA section 118(c) requires that TRP is in place for the gillnet fishery, have a negligible impact on the CA/OR/ vessels participating in Category I and II there is currently not one in place for WA stock of humpback whales and the fisheries register to obtain an the sablefish pot fishery. CA thresher shark/swordfish drift authorization to take marine mammals The short- and long-term goals of a gillnet fishery (≥14 inch mesh) will have incidental to fishing activities. Further, TRP are to reduce mortality and serious a negligible impact on the CA/OR/WA section 118(c)(5)(A) provides that injury of marine mammals incidental to stock of sperm whales. registration of vessels in fisheries commercial fishing to levels below PBR The National Environmental Policy should, after appropriate consultations, and to a zero mortality rate goal, defined Act (NEPA) requires Federal agencies to be integrated and coordinated to the by NMFS as 10 percent of PBR. MMPA maximum extent feasible with existing evaluate the impacts of alternatives for section 118(b)(2) states that fisheries fisher licenses, registrations, and related their actions on the human maintaining such M/SI levels are not programs. Participants in the CA environment. The impacts on the required to further reduce their M/SI thresher shark/swordfish drift gillnet human environment of continuing and rates. However, the obligations to fishery (≥14 inch mesh) and WA/OR/CA modifying the CA thresher shark/ develop and implement a TRP are sablefish pot fisheries provide the swordfish drift gillnet fishery (≥14 inch subject to the availability of funding. information needed by NMFS to register mesh) (as part of the HMS fisheries) and MMPA section 118(f)(3) (16 U.S.C. their vessels for the MMPA incidental the WA/OR/CA sablefish pot fishery (as 1387(f)(3)) contains specific priorities take authorization through the Federal part of the West Coast groundfish for developing TRPs. NMFS has limited entry permit process. Therefore, insufficient funding available to fisheries), including the taking of vessel registration for an MMPA simultaneously develop and implement threatened and endangered species of authorization is integrated through TRPs for all strategic stocks that interact marine mammals, were analyzed in: the those programs in accordance with with Category I or Category II fisheries. Pacific Fishery Management Council MMPA section 118. As provided in MMPA section Highly Migratory Species FMP final 118(f)(6)(A) and (f)(7), NMFS uses the environmental impact statement Monitoring Program most recent SAR and LOF as the basis (August 2003); the Pacific Fishery The CA thresher shark/swordfish drift to determine its priorities for Management Council Proposed Harvest gillnet fishery (≥14 inch mesh) has been establishing TRTs and developing TRPs. Specifications and Management observed by NMFS since 1990. Levels of Through this process for developing Measures for the 2013–2014 Pacific observer coverage vary over years but TRTs, in 2015, NMFS evaluated the CA/ Coast Groundfish Fishery and are adequate to produce reliable OR/WA stock of humpback whales and Amendment 21–2 to the Pacific Coast estimates of M/SI of listed species (e.g., the WA/OR/CA sablefish pot fishery FMP (September 2012); Risk assessment from 2001–2014, coverage ranged from and identified it as a lower priority of U.S. West Coast groundfish fisheries approximately 12.0 to 37 percent). As compared to other marine mammal to threatened and endangered marine part of the West Coast groundfish stocks and fisheries for establishing species (NWFSC, 2012); and in the Final fishery and Magnuson-Stevens Fishery TRTs, based on population trends of the Biological Opinion prepared for the Conservation and Management Act stock and M/SI levels incidental to that West Coast groundfish fisheries (NMFS, objectives, the WA/OR/CA limited entry commercial fishery. In addition, NMFS 2011) and the Biological Opinion for the sablefish pot fishery, as managed under continues to collect data to categorize CA thresher shark/swordfish drift ≥ the groundfish FMP, has been observed fixed gear fisheries and assess their risk gillnet fishery ( 14 inch mesh) (NMFS, between 13 percent and 57 percent to large whales off the U.S. west coast. 2013), pursuant to the ESA. Because this between 2002 and 2014. Accordingly, as Accordingly, given these factors and proposed permit would not modify any required by MMPA section 118, a NMFS’ priorities, implementation of a fishery operation and the effects of the monitoring program is in place for both TRP for the WA/OR/CA sablefish pot fishery operations have been evaluated fisheries. trap fishery and other similar Category fully in accordance with NEPA, no II fisheries will be currently deferred Take Reduction Plans additional NEPA analysis is required for under section 118 as other stocks/ this permit. Issuing the proposed permit Subject to available funding, MMPA fisheries are a higher priority for any would have no additional impact to the section 118 requires the development available funding for establishing new human environment or effects on and implementation of a Take TRPs. threatened or endangered species Reduction Plan (TRP) in cases where a As noted in the summary above, all of beyond those analyzed in these strategic stock interacts with a Category the requirements to issue a permit to the documents. NMFS now reviews the I or II fishery. The two stocks following Federally-authorized fisheries remaining requirements to issue a considered for this permit are have been satisfied: the CA thresher permit to take the subject listed species designated as strategic stocks under the shark/swordfish drift gillnet fishery (≥14 incidental to the CA thresher shark/ MMPA because they are listed as inch mesh) and WA/OR/CA sablefish swordfish drift gillnet fishery (≥14 inch endangered under the ESA (MMPA pot fishery. Accordingly, NMFS mesh) and WA/OR/CA sablefish pot section 3(19)(C)). proposes to issue a permit to fisheries. In 1996, NMFS convened a take participants in these Category I and II reduction team (TRT) to develop a TRP Recovery Plans fisheries for the taking of CA/OR/WA to address the incidental taking of humpback whales and CA/OR/WA Recovery Plans for humpback whales several strategic marine mammal stocks, sperm whales incidental to the fisheries’ and sperm whales have been completed including CA/OR/WA stocks of sperm operations. As noted under MMPA (see http://www.nmfs.noaa.gov/pr/ whales and humpback whales, in the section 101(a)(5)(E)(ii), no permit is recovery/plans.htm#mammals). CA thresher shark/swordfish drift required for vessels in Category III Accordingly, the requirement to have gillnet fishery (≥14 inch mesh). The fisheries. For incidental taking of

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marine mammals to be authorized in • Facsimile: 808–725–5215. now seeking nominations for these Category III fisheries, any mortality or FOR FURTHER INFORMATION CONTACT: Zora appointments. serious injury must be reported to McGinnis, NMFS Pacific Islands In addition to the 15–20 appointed NMFS. NMFS solicits public comments Regional Office; telephone: 808–725– members, the Permanent Advisory on the proposed permit and the 5037 facsimile: 808–725–5215; email: Committee includes the chair of the preliminary determinations supporting [email protected]. Western Pacific Fishery Management Council’s Advisory Committee (or the permit. SUPPLEMENTARY INFORMATION: designee), and officials of the fisheries Dated: January 4, 2017. The Convention and the Commission management authorities of American Donna S. Wieting, Samoa, Guam, and the Northern The objective of the Convention is to Director, Office of Protected Resources, Mariana Islands (or their designees). National Marine Fisheries Service. ensure, through effective management, Members of the Permanent Advisory [FR Doc. 2017–00265 Filed 1–9–17; 8:45 am] the long-term conservation and Committee will be invited to attend all sustainable use of highly migratory fish BILLING CODE 3510–22–P non-executive meetings of the United stocks in the western and central Pacific States Commissioners to the Ocean in accordance with the United Commission and at such meetings will DEPARTMENT OF COMMERCE Nations Convention on the Law of the be given opportunity to examine and be Sea of 10 December 1982 (UNCLOS) and heard on all proposed programs of National Oceanic and Atmospheric the Agreement for the Implementation investigation, reports, Administration of the Provisions of the UNCLOS recommendations, and regulations of RIN 0648–XF128 Relating to the Conservation and the Commission. Management of Straddling Fish Stocks Each appointed member of the Nominations for the Western and and Highly Migratory Fish Stocks. The Permanent Advisory Committee will Central Pacific Fisheries Commission Convention establishes the Commission, serve for a term of 2 years and is eligible Permanent Advisory Committee the secretariat of which is based in for reappointment. This request for Pohnpei, Federated States of AGENCY: National Marine Fisheries nominations is for the term to begin on Micronesia. August 3, 2017, and is for a term of 2 Service (NMFS), National Oceanic and The Convention applies to all highly Atmospheric Administration (NOAA), consecutive years. migratory fish stocks (defined as all fish The Secretaries of Commerce and Commerce. stocks of the species listed in Annex I State will furnish the Permanent ACTION: Notice of request for of the UNCLOS occurring in the Advisory Committee with relevant nominations. Convention Area, and such other information concerning fisheries and species of fish as the Commission may SUMMARY: NMFS, on behalf of the international fishery agreements. determine), except sauries. Secretary of Commerce, is seeking NMFS, on behalf of the Secretary of The United States actively supported nominations for the advisory committee Commerce, will provide to the the negotiations and the development of established under the Western and Permanent Advisory Committee the Convention and signed the Central Pacific Fisheries Convention administrative and technical support Convention when it was opened for Implementation Act (Act). The services as are necessary for its effective signature in 2000. It participated as a Permanent Advisory Committee, functioning. cooperating non-member of the composed of individuals from groups Appointed members of the Permanent Commission since it became operational concerned with the fisheries covered by Advisory Committee will serve without in 2005. The United States became a the Western and Central Pacific pay, but while away from their homes Contracting Party to the Convention and Fisheries Convention (Convention), will or regular places of business in the a full member of the Commission when be given the opportunity to provide performance of services for the advisory it ratified the Convention in January input to the United States committee will be allowed travel 2007. Under the Act, the United States Commissioners to the Western and expenses, including per diem in lieu of is to be represented on the Commission Central Pacific Fisheries Commission subsistence, in the same manner as by five United States Commissioners, (Commission) regarding the persons employed intermittently in the appointed by the President. deliberations and decisions of the Government service are allowed Commission. Permanent Advisory Committee expenses under section 5703 of title 5, United States Code. They will not be DATES: Nominations must be received The Act (16 U.S.C. 6902) provides (in considered Federal employees while no later than February 24, 2017. section 6902(d)) that the Secretary of performing service as members of the Nominations received after the deadline Commerce, in consultation with the advisory committee except for the will not be accepted. United States Commissioners to the purposes of injury compensation or tort ADDRESSES: Nominations should be Commission, will appoint individuals claims liability as provided in chapter directed to Michael Tosatto, Regional as members of the advisory committee 81 of title 5, United States Code and Administrator, NMFS Pacific Islands established under the Act, referred to Chapter 171 of title 28, United States Regional Office, and may be submitted here as the ‘‘Permanent Advisory Code. by any of the following means: Committee’’. • Email: [email protected]. Include The appointed members of the Procedure for Submitting Nominations in the subject line the following Permanent Advisory Committee are to Nominations for the Permanent document identifier: ‘‘Permanent include not less than 15 or more than Advisory Committee should be Advisory Committee nominations’’. 20 individuals selected from the various submitted to NMFS (see ADDRESSES). Email comments, including groups concerned with the fisheries This request for nominations is for first- attachments, are limited to 5 megabytes. covered by the Convention, providing, time nominees as well as previous and • Mail or hand delivery: 1845 Wasp to the extent practicable, an equitable current Permanent Advisory Committee Boulevard, Bldg 176, Honolulu, HI balance among such groups. On behalf members. Self nominations are 96818 of the Secretary of Commerce, NMFS is acceptable. Nominations should include

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the following information: (1) Full rule establishes conditions for injury is ‘‘remote’’ by evaluating name, address, telephone, and email evaluating a harvesting nation’s information concerning factors such as address of nominee; (2) nominee’s regulatory program to address incidental fishing techniques, gear used, methods organization(s) or professional and intentional mortality and serious used to deter marine mammals, target affiliation(s) serving as the basis for the injury of marine mammals in fisheries species, seasons and areas fished, nomination, if any; and (3) a that export fish and fish products to the qualitative data from logbooks or fisher background statement, not to exceed United States. reports, stranding data, the species and one page in length, describing the Under this rule, fish and fish products distribution of marine mammals in the nominee’s qualifications, experience from fisheries identified by the area, or other factors at the discretion of and interests, specifically as related to Assistant Administrator for Fisheries in the Assistant Administrator. the fisheries covered by the Convention. the List of Foreign Fisheries can only be A foreign fishery will not be classified imported into the United States if the as an exempt fishery unless the Authority: 16 U.S.C. 6902. harvesting nation has applied for and Assistant Administrator has reliable Dated: January 4, 2017. received a comparability finding from information from the harvesting nation, Emily H. Menashes, NMFS. The rule establishes procedures or other information to support such a Acting Director, Office of Sustainable that a harvesting nation must follow and finding. Fisheries, National Marine Fisheries Service. conditions to meet to receive a Commercial fishing operations that [FR Doc. 2017–00259 Filed 1–9–17; 8:45 am] comparability finding for a fishery. The NMFS determines meet the definition of BILLING CODE 3510–22–P rule also establishes provisions for an exempt fishery would still be intermediary nations to ensure that required to obtain a comparability intermediary nations do not import and finding by having the harvesting nation DEPARTMENT OF COMMERCE re-export to the United States fish or demonstrate that it has either prohibited fish products subject to an import the intentional mortality or serious National Oceanic and Atmospheric prohibition. injury of marine mammals in the course Administration NMFS will identify harvesting nations of commercial fishing operations in these exempt fisheries, unless the RIN 0648–XF139 with commercial fishing operations that export fish and fish products to the intentional mortality or serious injury of List of Foreign Fisheries United States and classify those a marine mammal is imminently fisheries based on the frequency of necessary in self-defense or to save the AGENCY: National Marine Fisheries marine mammal interactions. NMFS life of a person in immediate danger; or Service (NMFS), National Oceanic and will classify foreign commercial fishing that it has procedures to reliably certify Atmospheric Administration (NOAA), operations exporting fish and fish that exports of fish and fish products to Commerce. products to the United States as either the United States are not the product of ACTION: Notice; request for information. an ‘‘exempt fishery’’ or ‘‘export fishery’’ an intentional killing or serious injury based on the reliable information of a marine mammal unless the SUMMARY: NMFS is seeking information provided by the harvesting nation or intentional mortality or serious injury of on foreign commercial fishing other readily available information. a marine mammal is imminently operations that export fish and fish NMFS defines ‘‘exempt fishery’’ as a necessary in self-defense or to save the products to the United States and the foreign commercial fishing operation life of a person in immediate danger. level of incidental and intentional determined by the Assistant Exempt fisheries would not have to mortality and serious injury of marine Administrator to be the source of meet the comparability finding mammals in those fisheries. NMFS will exports of commercial fish and fish requirement to have a regulatory use this information to identify products to the United States that have program for incidental mortality and harvesting nations with commercial a remote likelihood of, or no known, serious injury comparable in fishing operations that export fish and incidental mortality and serious injury effectiveness to the U.S. regulatory fish products to the United States and of marine mammals in the course of program. classify those fisheries based on their commercial fishing operations. A NMFS defines ‘‘export fishery’’ as a frequency of marine mammal commercial fishing operation that has a foreign commercial fishing operation interactions as either ‘‘exempt’’ or remote likelihood of causing incidental determined by the Assistant ‘‘export’’ fisheries. mortality and serious injury of marine Administrator to be the source of DATES: Information should be received mammals is one that collectively with exports of commercial fish and fish on or before March 1, 2017. other foreign fisheries exporting fish products to the United States and to and fish products to the United States have more than a remote likelihood of ADDRESSES: Information may be incidental mortality and serious injury submitted by mail to: NMFS Office of causes the annual removal of: (1) Ten percent or less of any marine of marine mammals (as defined in the International Affairs and Seafood definition of an ‘‘exempt fishery’’) in the Inspection, Attn: MMPA List of Foreign mammal stock’s bycatch limit, or (2) More than 10 percent of any course of its commercial fishing Fisheries Information, F/IS 1315 East- marine mammal stock’s bycatch limit, operations. Where reliable information West Highway, Silver Spring, MD yet that fishery by itself removes 1 has not been provided by the harvesting 20910, or electronically to: percent or less of that stock’s bycatch nation on the frequency of incidental [email protected]. limit annually, or mortality and serious injury of marine FOR FURTHER INFORMATION CONTACT: (3) Where reliable information has not mammals caused by the commercial Nina Young, phone 301–427–8383, or been provided by the harvesting nation fishing operation, the Assistant email [email protected]. on the frequency of incidental mortality Administrator may determine whether SUPPLEMENTARY INFORMATION: NMFS and serious injury of marine mammals the likelihood of incidental mortality published a final rule (81 FR 54390, caused by the commercial fishing and serious injury is more than August 15, 2016) implementing the operation, the Assistant Administrator ‘‘remote’’ by evaluating information import provisions of the Marine may determine whether the likelihood concerning factors such as fishing Mammal Protection Act (MMPA). This of incidental mortality and serious techniques, gear used, methods used to

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deter marine mammals, target species, similar U.S. fisheries and gear types RFMO or intergovernmental agreement seasons and areas fished, qualitative interacting with similar marine mammal documents, reports, and statistical data from logbooks or fisher reports, stocks using readily available document programs; appropriate catch stranding data, and the species and information or available observer or certification programs; and published distribution of marine mammals in the logbook information per the procedures literature and reports on commercial area, or other factors at the discretion of outlined in 50 CFR 229.2. Where no fishing operations with intentional or the Assistant Administrator that may information or analogous fishery or incidental mortality and serious injury inform whether the likelihood of fishery information exists, NMFS will of marine mammals. incidental mortality and serious injury classify the commercial fishing NMFS will consider all available of marine mammals caused by the operation as an export fishery until such information, as appropriate, when commercial fishing operation is more time as the harvesting nation provides making a classification. Information than ‘‘remote.’’ reliable information to classify the should be as specific as possible as this Commercial fishing operations not fishery or such information is readily will assist NMFS in its review. NMFS specifically identified in the current List available to the Assistant Administrator will consider several criteria when of Foreign Fisheries as either exempt or in the course of preparing the List of determining whether information is export fisheries are deemed to be export Foreign Fisheries. appropriate for use in making fisheries until the next List of Foreign In revising the list, NMFS may identifications, including: Fisheries is published unless the reclassify a fishery if new substantive • Corroboration of information; Assistant Administrator has reliable information indicates the need to re- • Whether multiple sources have information from the harvesting nation examine and possibly reclassify a been able to provide information in to classify the foreign commercial fishery. The List of Foreign Fisheries support of an identification; fishing operation. Additionally, the will be organized by harvesting nation • The methodology used to collect Assistant Administrator may request and other defining factors including the information; additional information from the geographic location of harvest, gear- • Specificity of the information harvesting nation and may consider type, target species or a combination provided; other relevant information about such thereof. Based upon the List of Foreign • Susceptibility of the information to commercial fishing operations and the Fisheries, the Assistant Administrator falsification and alteration; and frequency of incidental mortality and will consult with harvesting nations, • Credibility of the individuals or serious injury of marine mammals, to informing them of the regulatory organization providing the information. properly classify the foreign commercial requirements for exempt and export Dated: January 4, 2017. fishing operation. fisheries to import fish and fish John Henderschedt, NMFS will publish in the Federal products into the United States. More Register a List of Foreign Fisheries by Director, Office for International Affairs and information regarding this process can Seafood Inspection, National Marine harvesting nation, their fisheries, and be found in the regulations codified at their classifications. NMFS will publish Fisheries Service. 50 CFR 216.24. [FR Doc. 2017–00201 Filed 1–9–17; 8:45 am] a proposed List of Foreign Fisheries for NMFS is soliciting information from BILLING CODE 3510–22–P public comment and a subsequent final harvesting nations; other foreign, List. To develop this list, NMFS has regional, and local governments; notified each harvesting nation with regional fishery management DEPARTMENT OF COMMERCE fisheries that export to the United States organizations; nongovernmental and requested that within 90 days of organizations; industry organizations; National Oceanic and Atmospheric notification the harvesting nation academic institutions; and citizens and Administration submit reliable information about the citizen groups to identify commercial commercial fishing operations fishing operations with intentional or Submission for OMB Review; identified, including the number of incidental mortality and serious injury Comment Request participants, number of vessels, gear of marine mammals. For each item we The Department of Commerce will type, target species, area of operation, are requesting you identify the submit to the Office of Management and fishing season, and any information exporting nation as the harvesting regarding the frequency of marine Budget (OMB) for clearance the nation, the processing or intermediary mammal incidental mortality and following proposal for collection of nation, or both. For fisheries exporting serious injury, including programs to information under the provisions of the fish and fish products to the United assess marine mammal populations. Paperwork Reduction Act (44 U.S.C. States NMFS is requesting the following Harvesting nations will also be Chapter 35). requested to submit copies of any laws, information: • Number of participants, Agency: National Oceanic and decrees, regulations, or measures to • Number of vessels, Atmospheric Administration (NOAA). reduce incidental mortality and serious • Gear type, Title: Educational Partnership injury of marine mammals in those • Target species, Program (EPP), Ernest F. Hollings fisheries or prohibit the intentional • Area of operation, Undergraduate Scholarship Program, Dr. killing or injury of marine mammals. • Fishing season, and Nancy Foster Scholarship Program, NMFS will evaluate each harvesting • Information regarding the frequency Recruitment, Training, and Research nation’s submission, any readily of marine mammal incidental and Program. available information, request intentional mortality and serious injury. OMB Control Number: 0648–0568. additional information from the Such information may include fishing Form Number(s): None. harvesting nations, as necessary, and vessel records; reports of on-board Type of Request: Regular (revision use this information to classify the fishery observers; information from off- and extension of a current information fisheries. In the absence of quantifiable loading facilities, port-side government collection). information or reliable information from officials, enforcement agents, Number of Respondents: 1,754. the harvesting nation, NMFS will transshipment vessel workers and fish Average Hours per Response: Student classify fisheries by analogy with importers; government vessel registries; Performance Achievement Reporting

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(SPAR) database form, 8; undergraduate COMMODITY FUTURES TRADING intended to ensure that the Commission application form, 600; reference forms, COMMISSION is aware of any existing conflict of 1200; alumni update form, 200. interest. The rule generally requires Agency Information Collection Burden Hours: 7,822. former members and employees who are Activities Under OMB Review employed or retained to represent any Needs and Uses: This request is for person before the Commission within revision and extension of a current AGENCY: Commodity Futures Trading two years of the termination of their information collection. Commission. ACTION: Notice. CFTC employment, to file a brief written The National Oceanic and statement with the Commission’s Office Atmospheric Administration (NOAA) SUMMARY: In compliance with the of the General Counsel. The proposed Office of Education (OEd) collects, Paperwork Reduction Act (PRA), this rule was promulgated pursuant to the evaluates and analyzes student data for notice announces that the Information Commission’s rulemaking authority the purpose of selecting successful Collection Request (ICR) abstracted contained in Section 8a(5) of the candidates, and for generating reports below has been forwarded to the Office Commodity Exchange Act, 7 U.S.C. and news articles to communicate the of Management and Budget (OMB) for 12a(5) (1994), as amended. success of its program. The OEd review and comment. The ICR describes An agency may not conduct or requires applicants to its undergraduate the nature of the information collection sponsor, and a person is not required to scholarship programs to complete an and its expected costs and burden. respond to, a collection of information application in order to be considered. DATES: Comments must be submitted on unless it displays a current valid OMB The application package requires two or before February 9, 2017. control number. The OMB control faculty and/or academic advisors to ADDRESSES: Comments regarding the numbers for the CFTC’s regulations complete a NOAA student scholar burden estimated or any other aspect of were published on December 30, 1981. reference form in support of the the information collection, including See 46 FR 63035 (Dec. 30, 1981). The scholarship application. NOAA OEd suggestions for reducing the burden, Federal Register notice with a 60-day student scholar alumni are also may be submitted directly to the Office comment period soliciting comments on requested to provide information to of Information and Regulatory Affairs this collection of information was NOAA for internal tracking purposes. (OIRA) to OMB within 30 days of the published on December 11, 2013 (78 FR NOAA OEd grant recipients are required notice’s publication, by email at 75333). to update the student tracker database [email protected]. Please with the required student information. identify comments by OMB Control No. Burden statement: The respondent There is also a revised alumni form 3038–0025. Please provide the burden for this collection is estimated to whose use has extended to two more of Commission with a copy of all average 0.10 hours per response to file the programs. The collected student submitted comments at the address the brief written statement. This data supports NOAA OEd’s program listed below. Please refer to OMB estimate includes the time needed to performance measures. The Dr. Nancy Reference No. 3038–0025 found on review instructions; develop, acquire, Foster Scholarship Program and the http://reginfo.gov. Comments also may install, and utilize technology and be mailed to the Office of Information NMFS Recruiting, Training, and systems for the purposes of collecting, and Regulatory Affairs, Office of Research Program also collect student validating, and verifying information, Management and Budget, Attention: data for their programs and are also processing and maintaining information Desk Officer for the Commodity Futures covered by this notice. and disclosing and providing Trading Commission, 725 17th Street information; adjust the existing ways to Affected Public: Individuals or NW., Washington, DC 20503 and to comply with any previously applicable households; business or other for-profit; Christopher Kirkpatrick, Secretary of the instructions and requirements; train not-for-profit institutions; State, Local or Commission, Commodity Futures personnel to be able to respond to a Tribal Government. Trading Commission, 1155 21st Street collection of information; and transmit NW., Washington, DC 20581, or by Frequency: Annually and on occasion. or otherwise disclose the information. Hand Deliver/Courier at the same Respondent’s Obligation: Required to address; or through the Agency’s Web Respondents/Affected Entities: obtain or retain benefits. site at http://comments.cftc.gov. Follow Former Employees and their employers. This information collection request the instructions for submitting Estimated number of respondents: 30. may be viewed at reginfo.gov. Follow comments through the Web site. Estimated annual burden hours per the instructions to view Department of FOR FURTHER INFORMATION CONTACT: respondent: 0.10 hours. Commerce collections currently under Bianca Gomez, Counsel, Office of the review by OMB. General Counsel, Commodity Futures Estimated total annual responses: 30. Written comments and Trading Commission, (202) 418–5627; Estimated total annual burden on recommendations for the proposed email: [email protected], and refer to respondents: 3 hours. information collection should be sent OMB Control No. 3038–0025. Frequency of collection: On occasion. SUPPLEMENTARY INFORMATION: within 30 days of publication of this (Authority: 44 U.S.C. 3501 et seq.) notice to OIRA_Submission@ Title: Practice by Former Members omb.eop.gov or fax to (202) 395–5806. and Employees of the Commission Dated: January 5, 2017. (OMB Control No. 3038–0025). This is Robert N. Sidman, Dated: January 5, 2017. a request for an extension of a currently Deputy Secretary of the Commission. Sarah Brabson, approved information collection. [FR Doc. 2017–00281 Filed 1–9–17; 8:45 am] NOAA PRA Clearance Officer. Abstract: Commission Rule 140.735–6 BILLING CODE 6351–01–P [FR Doc. 2017–00276 Filed 1–9–17; 8:45 am] governs the practice before the BILLING CODE 3510–00–P Commission of former members and employees of the Commission and is

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DEPARTMENT OF DEFENSE Agenda: The following topics are Dated: January 5, 2017. listed on the National Intelligence Aaron Siegel, Office of the Secretary University Board of Visitors meeting Alternate OSD Federal Register Liaison agenda: Welcome/Tour of New Campus; Officer, Department of Defense. National Intelligence University Board Accreditation Update; Faculty [FR Doc. 2017–00253 Filed 1–9–17; 8:45 am] of Visitors; Notice of Federal Advisory Conversation; Strategic Initiatives; BILLING CODE 5001–06–P Committee Meeting Faculty Performance/Workload; AGENCY: National Intelligence Programing, Budgeting, and Faculty University, Defense Intelligence Agency, Hiring; Certificate Program Review; NIU DEPARTMENT OF DEFENSE Department of Defense. President Search; Board Business; Executive Session; Working Lunch with Office of the Secretary ACTION: Notice of closed meeting. IC Senior Leaders. SUMMARY: The Department of Defense is The entire meeting is devoted to the [Transmittal No. 16–71] publishing this notice to announce that discussion of classified information as the following Federal Advisory defined in 5 U.S.C. 552b(c)(1) and 36(b)(1) Arms Sales Notification therefore will be closed. Pursuant to 41 Committee meeting of the National AGENCY: Defense Security Cooperation CFR 102–3.105(j) and 102–3.140, and Intelligence University Board of Visitors Agency, Department of Defense. has been scheduled. The meeting is section 10(a)(3) of the Federal Advisory ACTION: Notice. closed to the public. Committee Act of 1972, the public or interested organizations may submit DATES: Tuesday, January 24, 2017 (7:30 SUMMARY: The Department of Defense is a.m. to 5:15 p.m.) and Wednesday, written statements to the National publishing the unclassified text of a January 25, 2017 (7:30 a.m. to 1:00 Intelligence University Board of Visitors section 36(b)(1) arms sales notification. p.m.). about its mission and functions. Written This is published to fulfill the statements may be submitted at any requirements of section 155 of Public ADDRESSES: Defense Intelligence time or in response to the stated agenda Law 104–164 dated July 21, 1996. Agency, 7400 Pentagon, ATTN: NIU, of a planned meeting of the National Washington, DC 20301–7400. Intelligence University Board of FOR FURTHER INFORMATION CONTACT: Pamela Young, DSCA/SA&E–RAN, (703) FOR FURTHER INFORMATION CONTACT: Dr. Visitors. All written statements shall be David R. Ellison, President, DIA submitted to the Designated Federal 697–9107. National Intelligence University, Officer for the National Intelligence The following is a copy of a letter to Bethesda, MD 20816, Phone: (301) 243– University Board of Visitors, and this the Speaker of the House of 2120. individual will ensure that the written Representatives, Transmittal 16–71 with Purpose: The Board will discuss statements are provided to the attached Policy Justification and several current critical intelligence membership for their consideration. Sensitivity of Technology. issues and advise the Director, DIA, as Contact information for the Designated Dated: January 5, 2017. to the successful accomplishment of the Federal Officer can be obtained from the Aaron Siegel, mission assigned to the National GSA’s FACA Database—http:// Alternate OSD Federal Register Liaison Intelligence University. www.facadatabase.gov/. Officer, Department of Defense.

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Transmittal No. 16–71 United States, and provide an enhanced 5. All defense articles and services Notice of Proposed Issuance of Letter of capability with a valued partner in a listed in this transmittal are have been Offer Pursuant to Section 36(b)(1) of the geographic region of critical importance authorized for release and export to the Arms Export Control Act, as amended to the U.S. government. Government of the Philippines. The AN/SPS–77 Air Search Radars [FR Doc. 2017–00241 Filed 1–9–17; 8:45 am] (i) Prospective Purchaser: Government will be used to provide an enhanced BILLING CODE 5001–06–P of the Philippines ability to detect and track air contacts. (ii) Total Estimated Value: The radars will be installed on two Major Defense Equipment* $20 million Hamilton-class cutters acquired through DEPARTMENT OF DEFENSE Other ...... $ 5 million the Excess Defense Articles (EDA) program. The Philippines will have no Office of the Secretary TOTAL ...... $25 million difficulty absorbing this equipment into Charter Amendment of Department of (iii) Description and Quantity or its armed forces. Defense Federal Advisory Committees Quantities of Articles or Services under The proposed sale of this equipment Consideration for Purchase: and support will not alter the basic AGENCY: Department of Defense. Major Defense Equipment (MDE): military balance in the region. ACTION: Amendment of Federal Two (2) AN/SPS–77 Sea Giraffe 3D The principal contractor will be VSE Advisory Committee. Air Search Radars and Saab. There are no known offset Non-Major Defense Equipment (MDE): agreements proposed in connection SUMMARY: The Department of Defense Support services, including with this potential sale. (DoD) is publishing this notice to installation services, operator Implementation of this proposed sale announce that it is amending the charter training, system operational testing, will not require the assignment of any for the United States Naval Academy and documentation. U.S. or contractor representatives to the Board of Visitors. (iv) Military Department: Navy (LFK) Philippines. U.S. contractors, under FOR FURTHER INFORMATION CONTACT: Jim (v) Prior Related Cases, if any: U.S. government oversight, will be in Freeman, Advisory Committee PI–P–SBV—$4.7M, Excess Defense the Philippines for installation and Management Officer for the Department Article (EDA) transfer of ex-USCG associated support of this new radar on of Defense, 703–692–5952. cutter Hamilton, now PF–15, BRP these Philippine Navy ships. SUPPLEMENTARY INFORMATION: This Gregorio Del Pilar There will be no adverse impact on committee’s charter is being amended in PI–P–SBW—$15.1M, EDA transfer of U.S. defense readiness as a result of this accordance with the Federal Advisory ex-USCG cutter Dallas, PF–16, now proposed sale. Committee Act (FACA) of 1972 (5 BRP Ramon Alcaraz Transmittal No. 16–71 U.S.C., Appendix, as amended) and 41 CFR 102–3.50(d). The amended charter (vi) Sales Commission, Fee, etc., Paid, Notice of Proposed Issuance of Letter of and contact information for the Offered, or Agreed to be Paid: None Offer Pursuant to Section 36(b)(l) of the Designated Federal Officer (DFO) can be (vii) Sensitivity of Technology Arms Export Control Act obtained at http:// Contained in the Defense Article or www.facadatabase.gov/. The DoD is Defense Services Proposed to be Sold: Annex Item No. vii amending the charter for the United See Annex Attached. (vii) Sensitivity of Technology: States Naval Academy Board of Visitors (viii) Date Report Delivered to 1. A completely assembled AN/SPS– previously announced in the Federal Congress: December 12, 2016 77 radar, which is a commercial product Register on Wednesday, June 22, 2016 *as defined in Section 47(6) of the that is outfitted on USN LCS class ships, (81 FR 40679). Specifically, the DoD is Arms Export Control Act. will be tailored for release to the amending the charter to update the Policy Justification Philippine Navy under this program. estimated number of annual meetings of The operating characteristics and the United States Naval Academy Board The Philippines—AN/SPS–77 Sea capability of this system as it will be of Visitors. Giraffe 3D Air Search Radars delivered to the Philippines Navy will Dated: January 5, 2017. The Government of the Philippines be UNCLASSIFIED. Aaron Siegel, has requested a possible sale of two (2) 2. AN/SPS–77 operation and AN/SPS–77 Sea Giraffe 3D Air Search maintenance documentation, software, Alternate OSD Federal Register Liaison Officer, Department of Defense. Radars, support services, including and support is UNCLASSIFIED. installation services, operator training, 3. If a technologically advanced [FR Doc. 2017–00239 Filed 1–9–17; 8:45 am] system operational testing, and adversary were to obtain knowledge of BILLING CODE 5001–06–P documentation. The total estimated the specific hardware and software elements, the information could be used program cost is $25 million. DEPARTMENT OF DEFENSE The Philippines seeks to increase its to develop countermeasures that might Maritime Domain Awareness (MDA) reduce weapon system effectiveness or Office of the Secretary capabilities in order to improve be used in the development of a system monitoring of its vast territorial seas and with similar or advanced capabilities. [Transmittal No. 16–57] Exclusive Economic Zones (EEZ). An 4. A determination has been made 36(b)(1) Arms Sales Notification effective Philippine MDA capability that the Philippines can provide strengthens its self-defense capabilities substantially the same degree of AGENCY: Defense Security Cooperation and supports regional stability and U.S. protection for the sensitive technology Agency, Department of Defense. national interests. This sale is consistent being released as the U.S. Government. ACTION: Notice. with U.S. regional objectives and will This sale is necessary in furtherance of further enhance interoperability with the U.S. foreign policy and national SUMMARY: The Department of Defense is the U.S. Navy, build upon a security objectives outlined in the publishing the unclassified text of a longstanding cooperative effort with the Policy Justification. section 36(b)(1) arms sales notification.

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This is published to fulfill the The following is a copy of a letter to Dated: January 5, 2017. requirements of section 155 of Public the Speaker of the House of Aaron Siegel, Law 104–164 dated July 21, 1996. Representatives, Transmittal 16–57 with Alternate OSD Federal Register Liaison FOR FURTHER INFORMATION CONTACT: attached Policy Justification and Officer, Department of Defense. Pamela Young, DSCA/SA&E–RAN, (703) Sensitivity of Technology. 697–9107.

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Transmittal No. 16–57 *as defined in Section 47(6) of the force to the P–8A and absorbing these Notice of Proposed Issuance of Letter of Arms Export Control Act. aircraft into its armed forces. The proposed sale of this equipment Offer Pursuant to Section 36(b)(1) of the Policy Justification and support will not alter the basic Arms Export Control Act, as amended Norway—P–8A Aircraft and Associated military balance in the region. (i) Prospective Purchaser: Government Support The prime contractor involved in this of Norway sale is The Boeing Company, Seattle, (ii) Total Estimated Value: Norway has requested a possible sale WA. Additional contractors include: Air Major Defense Equipment * $1.40 billion of up to five (5) P–8A Patrol Aircraft, Cruisers Co, LLC; Arnprior Aerospace, Other ...... $ .35 billion each includes: Commercial Engines, Canada; AVOX Zodiac Aerospace; BAE; Tactical Open Mission Software Canadian Commercial Corporation TOTAL ...... $1.75 billion (TOMS), Electro-Optical (EO) and (CCC)/EMS; Compass David Clark; DLS/ (iii) Description and Quantity or Infrared (IO) MX–20HD, AN/AAQ– ViaSat, Carlsbad, CA; DRS; Exelis, Quantities of Articles or Services under 2(V)1 Acoustic System, AN/APY–10 McLean, VA; GC Micro, Petaluma, CA; Consideration for Purchase: Radar, ALQ–240 Electronic Support General Electric, UK; Harris; Joint Major Defense Equipment (MDE): Measures. Also included are eleven (11) Electronics; Martin Baker; Northrop Multifunctional Distribution System Five (5) P–8A Patrol Aircraft, each Grumman Corp, Falls Church, VA; Pole Joint Tactical Radio Systems (MIDS includes: Commercial Engines, Zero, Cincinnati, OH; Raytheon, JTRS); eight (8) Guardian Laser Tactical Open Mission Software Waltham, MA; Raytheon, UK; Rockwell Transmitter Assemblies (GLTA) for the (TOMS), Electro-Optical (EO) and Collins, Cedar Rapids, IA; Spirit Aero, AN/AAQ–24(V)N; eight (8) System Infrared (IO) MX–20HD, AN/AAQ– Wichita, KS; Symmetries Telephonies, Processors for AN/AAQ–24(V)N; forty- 2(V)1 Acoustic System, AN/APY–10 Farmingdale, NY; Terma, Arlington, VA; two (42) AN/AAR- 54 Missile Warning Radar, ALQ–240 Electronic Support Viking; and WESCAM. Norway does Sensors for the AN/AAQ–24(V)N; Measures require an offset agreement. Any offset fourteen (14) LN–251 with Embedded Eleven (11) Multifunctional Distribution agreement will be defined in Global Positioning Systems (GPS)/ System Joint Tactical Radio Systems negotiations between the purchaser and Inertial Navigation Systems (EGIs); and (MIDS JTRS) the prime contractor. two thousand (2,000) AN/SSQ–125 Eight (8) Guardian Laser Transmitter Implementation of the proposed sale Multi-Static Active Coherent (MAC) Assemblies (GLTA) for the AN/AAQ– will require approximately five (5) Source Sonobouys; spares; spare engine; 24(V)N Eight (8) System Processors contractor personnel to support the support equipment; operational support for AN/AAQ–24(V)N program in Norway. systems; training; maintenance trainer/ Forty-two (42) AN/AAR–54 Missile There will be no adverse impact on classrooms; publications; software; Warning Sensors for the AN/AAQ– U.S. defense readiness as a result of this engineering and logistics technical 24(V)N proposed sale. assistance; Foreign Liaison Officer Fourteen (14) LN–251 with Embedded support; contractor engineering Transmittal No. 16–57 Global Positioning Systems (GPS)/ technical services; repair and return; Inertial Navigations Systems (EGIs) Notice of Proposed Issuance of Letter of transportation; aircraft ferry; and other Two thousand (2,000) AN/SSQ–125 Offer Pursuant to Section 36(b)(1) of the associated training and support. The Multi-Static Active Coherent (MAC) Arms Export Control Act total estimated program cost is $1.75 Source Sonobuoys Annex Item No. vii billion. Non-MDE includes: Spares, spare (vii) Sensitivity of Technology: engine, support equipment, operational This proposed sale will contribute to 1. The P–8A aircraft is a militarized support systems for Tactical Operations the foreign policy and national security version of the Boeing 737–800 Next Center and Mobile Tactical Operations of the United States by helping to Generation (NG) commercial aircraft. Center (ToC/MToC), training, improve the security of a NATO ally The P–8A is replacing the P–3C as the maintenance trainer/classrooms, which has been, and continues to be, an Navy’s long-range anti submarine publications, software, engineering and important force for political stability warfare (ASW), anti-surface warfare logistics technical assistance, Foreign throughout the world. The proposed (ASuW), intelligence, surveillance and Liaison Officer support, contractor sale will allow Norway to maintain its reconnaissance (ISR) aircraft capable of engineering technical services, repair Maritime Patrol Aircraft (MPA) broad-area, maritime, and littoral and return, transportation, aircraft ferry, capability following retirement of its P– operations. The overall highest and other associated training and 3C MPA. This sale will strengthen classification of the P–8A weapon support. collective NATO defense and enhance system is SECRET. The P–8A mission (iv) Military Department: Navy (SAN) Norway’s regional and global allied systems hardware is largely (v) Prior Related Cases, if any: This contributions. unclassified, while individual software would be Norway’s first purchase of the Norway has procured and operated elements (mission systems, acoustics, P–8A Patrol Aircraft. Norway has one U.S. produced P–3 Orion MPAs for over ESM, etc.) are classified up to SECRET. related P–8A case, NO–P–GEN, which 40 years, providing critical capabilities 2. P–8A mission systems include: provides P–8A study and technical to NATO and coalition maritime a. Tactical Open Mission Software analysis support. operations. Norway has maintained a (TOMS). TOMS functions include (vi) Sales Commission, Fee, etc., Paid, close MPA acquisition and sustainment environment planning, tactical aids, Offered, or Agreed to be Paid: None relationship with the U.S. Navy over weapons planning aids, and data (vii) Sensitivity of Technology this period. The proposed sale will correlation. TOMS includes an Contained in the Defense Article or allow Norway to recapitalize, algorithm for track fusion which Defense Services Proposed to be Sold: modernize, and sustain its MPA automatically correlates tracks produced See Annex Attached capability for the next 30 years. As a by on board and off board sensors. (viii) Date Report Delivered to long-time P–3 operator, Norway will b. Electro-Optical (EO) and Infrared Congress: December 20, 2016 have no difficulty transitioning its MPA (IR) MX–20HD. The EO/IR system

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processes visible EO and IR spectrum to DEPARTMENT OF DEFENSE Comments and recommendations on detect and image objects. the proposed information collection c. AN/AQQ–2(V)1 Acoustic System. Office of the Secretary should be emailed to Ms. Jasmeet _ The Acoustic sensor system is [Docket ID: DOD–2016–OS–0058] Seehra, DoD Desk Officer, at Oira integrated within the mission system as [email protected]. Please the primary sensor for the aircraft ASW Submission for OMB Review; identify the proposed information missions. The system has multi-static Comment Request collection by DoD Desk Officer and the active coherent (MAC) 64 sonobuoy Docket ID number and title of the processing capability and acoustic ACTION: Notice. information collection. sensor prediction tools. You may also submit comments and SUMMARY: The Department of Defense d. AN/APY–10 Radar. The aircraft recommendations, identified by Docket has submitted to OMB for clearance, the radar is a direct derivative of the legacy ID number and title, by the following following proposal for collection of AN/APS- 137(V) installed in the P–3C. method: information under the provisions of the The radar capabilities include GPS • Federal eRulemaking Portal: http:// Paperwork Reduction Act. selective availability anti-spoofing, SAR www.regulations.gov. Follow the and ISAR imagery resolutions, and DATES: Consideration will be given to all instructions for submitting comments. periscope detection mode. comments received by February 9, 2017. Instructions: All submissions received e. ALQ–240 Electronic Support FOR FURTHER INFORMATION CONTACT: Fred must include the agency name, Docket Measures (ESM). This system provides Licari, 571–372–0493. ID number and title for this Federal real time capability for the automatic SUPPLEMENTARY INFORMATION: Register document. The general policy detection, location, measurement, and Title, Associated Form and OMB for comments and other submissions analysis of RF-signals and modes. Real Number: Improving Caregiver Outcomes from members of the public is to make time results are compared with a library through Structured Support Via Military these submissions available for public of known emitters to perform emitter Caregiver Peer Forums; OMB Control viewing on the Internet at http:// classification and specific emitter Number 0704–XXXX. www.regulations.gov as they are identification (SEI). Type of Request: New. received without change, including any f. Electronic Warfare Self Protection Number of Respondents: 90. personal identifiers or contact (EWSP). The aircraft EWSP consists of Responses per Respondent: 1. information. the ALQ–213 Electronic Warfare Annual Responses: 90. Dod Clearance Officer: Mr. Frederick Management System (EWMS), ALE–47 Average Burden per Response: 1 hour. Licari. Countermeasures Dispensing System Annual Burden Hours: 90. Needs and Uses: The information Written requests for copies of the (CMDS), and the AN/AAQ–24 collection requirement is necessary to information collection proposal should Directional Infrared Countermeasure assess how participants are using the be sent to Mr. Licari at WHS/ESD (DIRCM)/AAR–54 Missile Warning Military Caregiver PEER (Personalized Directives Division, 4800 Mark Center Sensors (MWS). The EWSP includes Experiences, Engagement and Drive, East Tower, Suite 03F09, threat information. Resources) Forums, how participating in Alexandria, VA 22350–3100. 3. If a technologically advanced the PEER Forums benefits them, and the Dated: January 5, 2017. adversary was to obtain access of the P– role that PEER Forums play in the Aaron Siegel, SA specific hardware and software landscape of social support services elements, systems could be reverse Alternate OSD Federal Register Liaison available to caregivers. Military Officer, Department of Defense. engineered to discover USN capabilities Caregiver PEER Forums are located on and tactics. The consequences of the [FR Doc. 2017–00267 Filed 1–9–17; 8:45 am] military bases across the country where loss of this technology, to a BILLING CODE 5001–06–P caregivers can convene, converse among technologically advanced or competent their peers, share resources and best adversary, could result in the practices, and provide support for the DEPARTMENT OF DEFENSE development of countermeasures or challenges they face. The results will be equivalent systems, which could reduce used to determine how the PEER Office of the Secretary system effectiveness or be used in the Forums are currently improving and development of a system with similar [Transmittal No. 16–66] might better continue to improve advanced capabilities. caregiver well-being by reducing 36(b)(1) Arms Sales Notification 4. A determination has been made caregiver burden and addressing that the recipient government can caregiver isolation. DoD will use the AGENCY: Defense Security Cooperation provide substantially the same degree of information gathered by this project to Agency, Department of Defense. protection, for the technology being assess the implementation of PEER ACTION: Notice. released as the U.S. Government. Forums and implement improvements, Support of the P–8A Patrol Aircraft to SUMMARY: if needed. A complementary objective is The Department of Defense is the Government of the Norway is to use the information gathered by this publishing the unclassified text of a necessary in the furtherance of U.S. project to provide DoD with a section 36(b)(1) arms sales notification. foreign policy and national security framework for ongoing monitoring and This is published to fulfill the objectives. evaluation of PEER Forums. requirements of section 155 of Public 5. All defense articles and services Affected Public: Individuals or Law 104–164 dated July 21, 1996. listed in this transmittal have been Households. FOR FURTHER INFORMATION CONTACT: authorized for release and export to the Frequency: On occasion. Pamela Young, DSCA/SA&E–RAN, (703) Government of Norway. Respondent’s Obligation: Voluntary. 697–9107. [FR Doc. 2017–00248 Filed 1–9–17; 8:45 am] OMB Desk Officer: Ms. Jasmeet The following is a copy of a letter to BILLING CODE 5001–06–P Seehra. the Speaker of the House of

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Representatives, Transmittal 16–66 with Dated: January 5, 2017. attached Policy Justification and Aaron Siegel, Sensitivity of Technology. Alternate OSD Federal Register Liaison Officer, Department of Defense.

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36(b)i 1) Control

your

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Transmittal No. 16–66 Policy Justification agreements proposed in connect with Notice of Proposed Issuance of Letter of Government of Kuwait— this potential sale. Implementation of this proposed sale Offer Pursuant to Section 36(b)(1) of the Recapitalization of 218 M1A2 Tanks is estimated to require five to seven Arms Export Control Act, as amended and Related Equipment and Support contractors and twenty-five to thirty (i) Prospective Purchaser: Government The Government of Kuwait has U.S. Government representatives to of Kuwait requested a possible sale in support of Kuwait. its recapitalization of 218 M1A2 tanks, There will be no adverse impact on (ii) Total Estimated Value: to include two hundred and forty (240) U.S. defense readiness as a result of this proposed sale. Major Defense Equipment* $ .04 billion .50 Cal M2A1 machine guns; four hundred and eighty (480) 7.62mm M240 Other ...... $1.66 billion Transmittal No. 16–66 machine guns; two hundred and forty TOTAL ...... $1.70 billion (240) AN/VRC–92E SINCGARS radios; Notice of Proposed Issuance of Letter of and one thousand and eight five (1,085) Offer Pursuant to Section 36(b)(1) of the (iii) Description and Quantity or AN/PVS–7B Night Vision Goggles. Also Arms Export Control Act Quantities of Articles or Services under included is the incorporation of cooling Annex Item No. vii Consideration for Purchase: system/thermal management systems; Common Remotely Operated Weapons (vii) Sensitivity of Technology: Major Defense Equipment (MDE): 1. Components considered to contain Station (CROWS) II—Low Profile Two hundred and forty (240) .50 Cal sensitive technology in the proposed Stabilized Weapon Stations; special M2A1 Machine Guns sale are as follows: armor; 120mm gun tubes; 2nd a. M1A2 Thermal Imaging System Four hundred and eighty (480) generation Forward Looking Infrared (TIS)—The TIS constitutes a target 7.62mm M240 Machine Guns (FLIR) sights; embedded diagnostics; acquisition system which, when Two hundred and forty (240) AN/ gunner’s primary sights; Counter Sniper operated with other tank systems gives VRC–92E SINCGARS Radios and Anti-Materiel Mount (CSAMM) the tank crew a substantial advantage hardware; upgrade/maintenance of One thousand and eight five (1,085) over the potential threat. The TIS engines and transmissions; depot level AN/PVS–7B Night Vision Goggles provides the crew with the ability to support; training devices; spare and effectively aim and fire the tank main Non-MDE includes: Incorporation of repair parts; support equipment; tools armament system under a broad range of cooling system/thermal management and test equipment; technical data and adverse battlefield conditions. The systems; Common Remotely Operated publications; personnel training and hardware itself is UNCLASSIFIED. The Weapons Station (CROWS) II—Low training equipment; U.S. Government engineering design and manufacturing Profile Stabilized Weapon Stations; and contractor engineering, technical, data associated with the detector and special armor; 120mm gun tubes; 2nd and logistics support services, and other infrared (IR) optics and coatings are generation Forward Looking Infrared related elements of logistics support. considered sensitive. The technical data (FLIR) sights; embedded diagnostics; Total estimated program cost is $1.7 package is UNCLASSIFIED with the gunner’s primary sights; Counter Sniper billion. and Anti-Materiel Mount (CSAMM) exception of the specifications for target This proposed sale will contribute to acquisition range which is hardware; upgrade/maintenance of the foreign policy and national security engines and transmissions; depot level CONFIDENTIAL and hardening data is of the United States by helping to classified up to SECRET. The support; training devices; spare and improve the security of a friendly repair parts; support equipment; tools consequences of such compromise country which has been and continues would increase potential enemy and test equipment; technical data and to be an important force for political publications; personnel training and capabilities to neutralize effectiveness of stability and economic progress in the the tank main armament system by training equipment; U.S. Government Middle East. and contractor engineering, technical, denying the crew ability to acquire Kuwait intends to use this equipment targets. and logistics support services, and other to recapitalize its fleet of M1A2 full related elements of logistics support. b. Special Armor—Major components track tanks in order to modernize and of special armor are fabricated in sealed (iv) Military Department: Army (UXA) extend the service of the tanks. Kuwait modules and in serialized removable (v) Prior Related Cases, if any: FMS will have no difficulty absorbing this subassemblies. Special armor Case KU–B–JAT (9 July 1993, $1.9 equipment into its armed forces. vulnerability data for both chemical and billion), FMS Case KU–B–UKO (20 July The proposed sale of this equipment kinetic energy rounds are classified 2001, $44.3 million), FMS Case KU–B– and support will not alter the basic SECRET. Engineering design and UKN (23 July 2001, $42 million), FMS military balance in the region. manufacturing data related to special Case KU–B–ULB (19 May 2006, $36.8 The principal contractors involved in armor are also classified SECRET. The million), FMS Case KU–B–ULX (20 July this program are: General Dynamics consequences of such compromise of 2011, $34.8 million). Land Systems, Sterling Heights, MI; classified information would be the (vi) Sales Commission, Fee, etc., Paid, Joint Services Manufacturing Center capability to neutralize or defeat the Offered, or Agreed to be Paid: None (JSMC), Lima, OH; Konsberg Defense armor. The sale or transfer of armor Systems, Alexandria, VA, and (vii) Sensitivity of Technology modules are done on a government-to- Johnstown, PA; Raytheon, McKinney, Contained in the Defense Article or government basis. This serves to TX; Meggitt Defense Systems, Irvine, Defense Services Proposed To Be Sold: minimize, but not eliminate, the danger CA; Palomar, Carlsbad, CA; Northrop See Annex Attached of compromise. Grumman, West Falls Church, VA; DRS c. 120mm Gun—the gun is composed (viii) Date Report Delivered to Technologies, Arlington, VA; Lockheed of a 120mm smoothbore gun (cannon) Congress: December 12, 2016 Martin, Bethesda, MD; Honeywell, manufactured at Watervliet Arsenal; *as defined in Section 47(6) of the Morristown, NJ; Miltope, Hope Hull, ‘‘long rod’’ APFSDS warheads; and Arms Export Control Act. AL. There are no known offset combustible cartridge case ammunition.

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There may be a need to procure/produce thermal camera (TIM 1500), and laser tactical vehicle movement in support of new gun cannon tubes from Watervliet range finder (STORM/STORM–PI). operational missions in all environment Arsenal. New cannons inducted at Engineering design and manufacturing conditions (day/night and all weather) Anniston Army Depot would be data would provide potential enemy and provides enhanced driving inspected according to established with the means to increase small arms capability during limited visibility criteria and shipped to Lima Army Tank fire control from under armor. The conditions (darkness, smoke, dust, fog, Plant for tank upgrade process. Gun consequences of this would be etc.). The DVE program provides night production and technology are generally improved enemy equipment in the field vision targeting capabilities for armored known. Disclosure of gun production and decrease technological fire control vehicles and long-range night vision and technology specific to the 120mm advantages. reconnaissance capability to the (advance materials and tolerances) 2. The M1 tank will include the warfighter. Engineering design and would degrade the advantage. following communications suite: manufacturing data would provide a d. AGT–1500 Gas Turbine Propulsion Defense Advanced Global Positioning potential enemy with the means to System—The use of a gas turbine System (GPS) Receiver (DAGR); AN/ upgrade the quality of efficiency of propulsion system in the M1A2 is a VAS–5 Driver’s Vision Enhancer (DVE) thermal devices production. The unique application of armored vehicle and Rear View Sensor System (RVSS); consequences of this would be power pack technology. The hardware is and Single Channel Ground and improved enemy equipment of the field. composed of the AGT–1500 engine and Airborne Radio System (SINCGARS). Technical information regarding DVE transmission and is not a. Defense Advanced Global and RVSS, including UNCLASSIFIED UNCLASSIFIED. Manufacturing Positioning System (GPS) Receiver information, should generally not be processes associated with the (DAGR)—DAGR is a lightweight (less considered for release. The highest level production of turbine blades, than two pounds) hand-held or host of information that must be disclosed recuperator, bearings and shafts, and platform-mounted, dual frequency, for production, operation or sale of the hydrostatic pump and motor are Selective Availability Anti-Spoofing end item is UNCLASSIFIED/FOR propriety and therefore commercially Module (SAASM) based, Precise OFFICIAL USE ONLY. competition sensitive. Unauthorized Positioning Service (PPS) device. The c. Single Channel Ground and release and exploitation of sensitive DAGR provides real-time positioning, Airborne Radio System (SINCGARS)— propulsion information would adversely velocity (ground speed), navigation, and The AN/VRC–92E and RT–1702 impact U.S. commercial interests. timing (PVNT) information, in stand- SINCGARS provides war-fighting Acquisition of production data by a alone (dismounted) and mounted commanders and troops with a highly potential enemy could enhance its (ground facilities, sea, air, and land reliable, secure, easily maintained ability to design and produce gas vehicles) configurations. The DAGR can Combat Net Radio (CNR) that has both turbine engine propulsion system with support missions involving land-based voice and data handling capability in application to land vehicles. war-fighting and non-war fighting support of command and control e. Compartmentation—A major operations. The DAGR can also be used operations. SINCGARS, with the survivability feature of the M1 tank is as a secondary or supplemental aid to Internet Controller, provides the the compartmentation of fuel and aviation-based missions which involve communications link for the digitized ammunition. Compartmentation is the operations in low-dynamic aircraft, and force. SINCGARS is a radio fielded to positive separation of the crew and as an aid to navigation in water-borne tactical field elements. It facilitates the critical components from combustible operations. DAGR AN/PSN–13(A) is transmission of voice and/or data materials such that in the event that the fitted with the Selective Availability information, which allows for the fuel or ammunition is ignited or Anti-Spoofing Module (SAASM) 3.7 and conducting of a myriad of missions deteriorated by an incoming threat can accept cryptographic keys for across the operational continuum. round, the crew is fully protected. increased PVNT accuracy and SINCGARS is available for the Sensitive information includes the protection from intentional false or dismounted soldier, ground and performance of the ammunition spoofed satellite signals. The AN/PSN– aviation platforms. Training will vary compartments as well as the 13(A) DAGR does not output classified for the radio (RT–1702) and spare and compartment design parameters. The information. If a technology advanced repair parts for the RT–1702 model are design of the compartments cannot be adversary were to obtain knowledge of not supported by the Standard Army protected, however the guidelines, the specific hardware and software Supply Systems. There is sensitive or parametric inductions and test data elements, the information could be used restricted information contained in the used to develop the compartments do to identify ways of countering the AN/VRC–92E or software. There would not have to be disclosed to permit a sale. detection capabilities of the DAGR or be adverse consequences of the AN/ f. Common Remotely Operated improve the performance of their GPS VRC–92E and software were to be lost Weapons Station—Low Profile receivers; however, information to a technically advanced adversary. If (CROWS–LP)—The CROWS–LP available for the SAASM would not be a technology advances adversary were (M153A2E1) is a commanders’ weapon obtainable. SAASM is a tamper-resistant to obtain knowledge of the specific station. It allows for under armor security module. The remaining hardware and software elements, the operation of weapons—M2HB, M2A1, hardware used in the DAGR is information could be used to identify M250B, and M240. The CROWS–LP is considered mature and available in ways of countering the Electronic an updated version of the M153A2 other industrial nation’s comparable Counter-Counter Measures (ECCM). The CROWS that is approximately 10 inches performance thresholds. hardware used in the AN/VRC–92E and shorter; the CROWS–LP M153A2E1 b. Drivers Vision Enhancer (DVE) AN/ RT–1702 is considered mature. increases visibility over the weapon VAS–5 and Rear View Sensor System 3. This sale is necessary in station. The fire control system of the (RVSS)—The AN/VAS–5 and RVSS are furtherance of the U.S. foreign policy CROWS–LP allows the ‘‘first-burst’’ on un-cooled thermal imaging systems and national security objectives target capability from stationary and developed for use while driving Combat outlined in the Policy Justification. moving platforms. The CROWS–LP Vehicles and Tactical Wheeled Moreover, the benefits to be derived ingratiates a day camera (VIM–C), Vehicles. DVE and RVSS allow for from this sale, as outlined in the Policy

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Justification, outweigh the potential education under Title IV of the HEA and aslweb/finalstaffreports.cfm, (2) damage that could result if the sensitive part C, subchapter I, chapter 34, Title Findings identified in the January 4, technology were revealed to 42, together with recommendations for 2016 Secretary’s appeal decision unauthorized persons. improvement in such process. available at: http://oha.ed.gov/ 4. All defense articles and services • The relationship between (1) secretarycases/2014–10–O.pdf, (3) The listed in this transmittal have been accreditation of institutions of higher limitation on ACCJC’s authority to authorized for release and export to the education and the certification and approve single baccalaureate programs Government of Kuwait. eligibility of such institutions, and (2) within the scope of accreditation of [FR Doc. 2017–00246 Filed 1–9–17; 8:45 am] State licensing responsibilities with previously accredited institutions, as BILLING CODE 5001–06–P respect to such institutions. outlined in the April 5, 2016 letter from • Any other advisory function the senior Department official, (4) relating to accreditation and Review under 34 CFR 602.33 of DEPARTMENT OF EDUCATION institutional eligibility that the complaints filed against the agency and Secretary of Education may prescribe by analyzed by the staff. National Advisory Committee on regulation. Requested Scope of Recognition: The Institutional Quality and Integrity Meeting Agenda: Agenda items for the accreditation and preaccreditation Meeting February 2017 are below. (‘‘Candidate for Accreditation’’) of AGENCY: National Advisory Committee Agencies Applying for Renewal of community and other colleges with a on Institutional Quality and Integrity Recognition primarily pre-baccalaureate mission (NACIQI), Office of Postsecondary located in California, Hawaii, the United 1. American Podiatric Medical Education, U.S. Department of States territories of Guam and American Association Education. Samoa, the Republic of Palau, the ACTION: Announcement of an open Scope of Recognition: The Federated States of Micronesia, the meeting. accreditation and preaccreditation Commonwealth of the Northern Mariana (‘‘Provisional Accreditation’’) Islands, and the Republic of the SUMMARY: This notice sets forth the throughout the United States of Marshall Islands, which offer agenda, time, and location for the freestanding colleges of podiatric certificates, associate degrees, and the February 22–24, 2017 meeting of the medicine and programs of podiatric first baccalaureate degree by means of a National Advisory Committee on medicine, including first professional substantive change review offered by Institutional Quality and Integrity programs leading to the degree of Doctor institutions that are already accredited (NACIQI), and provides information to of Podiatric Medicine. by the agency, and such programs members of the public on requesting to offered via distance education and make oral comments and submitting 2. Commission on English Language correspondence education at these written statements at the meeting. The Program Accreditation colleges. This recognition also extends notice of this meeting is required under Scope of Recognition: The to the Committee on Substantive Change the Federal Advisory Committee Act accreditation of postsecondary, non- of the Commission, for decisions on (FACA) and the Higher Education Act degree-granting English language substantive changes, and the Appeals (HEA) of 1965, as amended. programs and institutions in the United Panel. States. DATES: The NACIQI meeting will be Agency Applying for an Expansion of held on February 22, 23, and 24, 2017, 3. The Council on Chiropractic Scope each day from 8:30 a.m. to 5:30 p.m. Education ADDRESSES: Hilton Alexandria Old Accrediting Bureau of Health Education Scope of Recognition: The Schools Town Hotel, 1767 King Street, accreditation of programs leading to the Alexandria, VA 22314. Doctor of Chiropractic degree and Current Scope of Recognition: The FOR FURTHER INFORMATION CONTACT: single-purpose institutions offering the accreditation of private, postsecondary Jennifer Hong, Executive Director/ Doctor of Chiropractic program. institutions in the United States offering Designated Federal Official, NACIQI, predominantly allied health education U.S. Department of Education, 400 4. Joint Review Committee on Education programs and the programmatic Maryland Avenue SW., Room 6W250, in Radiologic Technology accreditation of medical assistant, Washington, DC 20202, telephone: (202) Scope of Recognition: The medical laboratory technician and 453–7805, or email: Jennifer.Hong@ accreditation of education programs in surgical technology programs, leading to ed.gov. radiography, magnetic resonance, a certificate, diploma, Associate of SUPPLEMENTARY INFORMATION: radiation therapy, and medical Applied Science, Associate of NACIQI’s Statutory Authority and dosimetry, including those offered via Occupational Science, Academic Function: NACIQI is established under distance education, at the certificate, Associate degree, or Baccalaureate § 114 of the HEA. NACIQI advises the associate, and baccalaureate levels. degree, including those offered via Secretary of Education with respect to: distance education. This scope extends • Agency Seeking Review of Compliance to the Substantive Change Committee, The establishment and enforcement Report of the standards of accrediting agencies jointly with the Commission, for or associations under subpart 2, part G, Western Association for Schools and decisions on substantive changes. Title IV of the HEA, as amended. Colleges, Accrediting Commission for Requested Scope of Recognition: The • The recognition of specific Community and Junior Colleges accreditation of private, postsecondary accrediting agencies or associations. (ACCJC) Compliance report includes the institutions in the United States offering • The preparation and publication of following: (1) Findings identified in the predominantly allied health education the list of nationally recognized April 5, 2016 letter from the senior programs and the programmatic accrediting agencies and associations. Department official following the accreditation of medical assistant, • The eligibility and certification December 2015 NACIQI meeting medical laboratory technician, and process for institutions of higher available at: https://opeweb.ed.gov/ surgical technology programs, leading to

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a certificate, diploma, Associate of the NACIQI charter, as well as its To the extent NACIQI’s questions go Applied Science, Associate of customary procedural protocols, to improvement of institutions and Occupational Science, Academic NACIQI inquiries will include the programs that are not at risk of falling Associate degree, Baccalaureate degree, questions and topics listed in the pilot into noncompliance with agency and Master’s degree, including those plan it adopted at its December 2015 requirements, the responses will be offered via distance education. The meeting. A document entitled ‘‘June used to inform NACIQI’s general policy scope extends to the Substantive Change 2016 Pilot Plan’’ and available at: http:// recommendations to the Department Committee, jointly with the sites.ed.gov/naciqi/files/naciqi-dir/2016- rather than its recommendations Commission, for decisions on spring/pilot-project-march-2016.pdf, regarding recognition of any individual substantive change. outlines this pilot and provides further agency. explanation and context framing The discussions and issues described Application for Renewal of NACIQI’s work. As noted in this above regarding the pilot are in addition Recognition—State Agency for the document, NACIQI’s reviews of to, rather than substituting for, Approval of Nurse Education accrediting agencies will include exploration by Committee members of Missouri State Board of Nursing. consideration of data and information any topic relevant to recognition. available on the accreditation data Submission of requests to make an Election of a New Chairperson and Vice oral comment or to provide a written Chairperson dashboards, http://www2.ed.gov/ admins/finaid/accred/accreditor- statement regarding a specific NACIQI will elect a new Chairperson dashboards.pdf. Accrediting agencies accrediting agency or state approval and Vice Chairperson to serve three-year that will be reviewed for renewal of agency under review: Oral comments terms on the Committee. recognition will not be on the consent and written statements made will become part of the official record and Panel on Outcome Measures agenda and are advised to come prepared to answer questions related to will be considered by the Department Representatives from accrediting the following: and NACIQI in their deliberations. No agencies and associations will be • Decision activities of and data individual in attendance or making oral invited to discuss current initiatives gathered by the agency. presentations may distribute written regarding the consideration and review Æ NACIQI will inquire about the materials at the meeting. Oral comments of outcome measures in the range of accreditation activities of the may not exceed three minutes. accreditation process. agency since its prior review for Comments and statements about an recognition, including discussion about agency’s recognition after review of a National Coordinating Center compliance report must relate to issues Accreditation Workgroup the various favorable, monitoring, and adverse actions taken. Information about identified in the compliance report and The National Coordinating Center for the primary standards cited for the the criteria for recognition cited in the comprehensive transition and monitoring and adverse actions that senior Department official’s letter that postsecondary programs for students have been taken will be sought. requested the report, or in the with intellectual disabilities is Æ NACIQI will also inquire about Secretary’s appeal decision, if any. established under § 777 of the HEA. what data the agency routinely gathers Comments and statements about an Section 777(b)(5)(J) of the HEA requires about the activities of the institutions it agency seeking expansion of scope must the convening of a workgroup to accredits and about how that data is be directed to the agency’s ability to develop and recommend model criteria, used in their evaluative processes. serve as a recognized accrediting agency standards, and components of • Standards and practices with regard with respect to the kinds of institutions comprehensive transition programs for to student achievement. or programs requested to be added. students with intellectual disabilities, Æ How does your agency address Comments and statements about the and further requires a NACIQI member ‘‘success with respect to student renewal of an agency’s recognition to serve on the workgroup. Section achievement’’ in the institutions it based on a review of the agency’s 777(b)(6) of the HEA requires a report to accredits? petition must relate to its compliance the Secretary, the authorizing Æ Why was this strategy chosen? How with the Criteria for the Recognition of committees, and NACIQI, on the is this appropriate in your context? Accrediting Agencies, or the Criteria recommendations of the workgroup not Æ What are the student achievement and Procedures for Recognition of State later than five years after the date of the challenges in the institutions accredited Agencies for Approval of Nurse establishment of the coordinating center by your agency? Education, as appropriate, which are which was in 2010. Members of the Æ What has changed/is likely to available at http://www.ed.gov/admins/ workgroup will provide a summary of change in the standards about student finaid/accred/index.html. their report to NACIQI and a new achievement for the institutions There are two methods the public NACIQI representative to the workgroup accredited by your agency? may use to request to make a third-party will be selected. Æ In what ways have student oral comment of three minutes achievement results been used for concerning one of the agencies NACIQI Policy Agenda monitoring or adverse actions? scheduled for review at the February NACIQI will continue discussion • Agency activities in improving 22–24, 2017 meeting. To submit a regarding its policy agenda, and revisit program/institutional quality. written statement to NACIQI, please how it will proceed in its review of Æ How does this agency define ‘‘at follow Method One. accrediting agencies at future meetings, risk?’’ Method One: Submit a request by to include the Committee’s use of a Æ What tools does this agency use to email to the ThirdPartyComments@ consent agenda for agencies undergoing evaluate ‘‘at risk’’ status? ed.gov mailbox. Please do not send review. Æ What tools does this agency have to material directly to NACIQI members. help ‘‘at risk’’ institutions improve? Written statements and requests to make Meeting Discussion Æ What can the agency tell us about oral comment must be received by In addition to following the HEA, the how well these tools for improvement February 15, 2017, and include the FACA, implementing regulations, and have worked? subject line ‘‘Oral Comment Request:

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(agency name),’’ or ‘‘Written Statement: have Adobe Acrobat Reader, which is Title and Form Number: EIB 92–29 (agency name).’’ The email must include available free at the site. You may also Export-Import Bank Report of Premiums the name(s), title, organization/ access documents of the Department Payable for Exporters Only. affiliation, mailing address, email published in the Federal Register by OMB Number: 3048–0017. address, telephone number, of the using the article search feature at: Type of Review: Renewal. person(s) submitting a written statement www.federalregister.gov. Specifically, Need and Use: The ‘‘Report of or requesting to speak, and a brief through the advanced search feature at Premiums Payable for Exporters Only’’ summary (not to exceed one page) of the this site, you can limit your search to form is used by exporters to report and principal points to be made during the documents published by the pay premiums on insured shipments to oral presentation, if applicable. All Department. various foreign buyers under the terms individuals submitting an advance Authority: 20 U.S.C. 1011c. of the policy and to certify that request in accordance with this notice premiums have been correctly will be afforded an opportunity to Gail McLarnon, computed and remitted. The ‘Report of speak. Acting Deputy Assistant Secretary for Premiums Payable for Exporters Only’ is Method Two: Register at the meeting Planning, Policy, and Innovation. used by EXIM to determine the location on February 22, 2017, from 7:30 [FR Doc. 2017–00306 Filed 1–9–17; 8:45 am] eligibility of the shipment(s) and to a.m.–8:30 a.m., to make an oral BILLING CODE P calculate the premium due to EXIM comment during NACIQI’s deliberations Bank for its support of the shipment(s) concerning a particular agency or under its insurance program. institution scheduled for review. The Affected Public: This form affects requestor must provide his or her name, EXPORT-IMPORT BANK OF THE entities involved in the export of U.S. title, organization/affiliation, mailing UNITED STATES goods and services. address, email address, and telephone Annual number of respondents: 2,200. number. A total of up to fifteen minutes [Public Notice: 2017–3001] Estimated time per respondent: 15 during each agency review will be minutes. allotted for oral commenters who Agency Information Collection Annual burden hours: 6,600 hours. register on February 22, 2017 by 8:30 Activities: Comment Request Frequency of reporting or use: a.m. Individuals will be selected on a Monthly. first-come, first-served basis. If selected, AGENCY: Export-Import Bank of the Government Expenses: each commenter may not exceed three United States. Reviewing time per year: 6,600 hours. minutes. ACTION: Submission for OMB review and Average wages per hour: $42.50. Access to Records of the Meeting: The comments request. Average cost per year: $280,500 (time Department will post the official report * wages). of the meeting on the NACIQI Web site Form Title: EIB 92–29 Export-Import Benefits and overhead: 20%. within 90 days after the meeting. Bank Report of Premiums Payable for Total government cost: $336,600. Pursuant to the FACA, the public may Exporters Only also inspect the materials at 400 SUMMARY: The Export-Import Bank of Bassam Doughman, Maryland Avenue SW., Washington, the United States (Ex-Im Bank), as part IT Program Manager, Office of the Chief DC, by emailing aslrecordsmanager@ of its continuing effort to reduce Information Officer. ed.gov or by calling (202) 453–7110 to paperwork and respondent burden, [FR Doc. 2017–00187 Filed 1–9–17; 8:45 am] schedule an appointment. invites the general public and other BILLING CODE 6690–01–P Reasonable Accommodations: The Federal Agencies to comment on the meeting site is accessible to individuals proposed information collection, as with disabilities. If you will need an required by the paperwork Reduction FEDERAL FINANCIAL INSTITUTIONS auxiliary aid or service to participate in Act of 1995. The application tool can be EXAMINATION the meeting (e.g., interpreting service, reviewed at: http://exim.gov/sites/ [Docket No. AS17–01] assistive listening device, or materials in default/files/pub/pending/eib92-29.pdf an alternate format), notify the contact DATES: Comments must be received on Appraisal Subcommittee; Proposed person listed in this notice at least two or before February 9, 2017 to be assured Revised Policy Statements weeks before the scheduled meeting of consideration. date. Although we will attempt to meet AGENCY: Appraisal Subcommittee of the a request received after that date, we ADDRESSES: Comments may be Federal Financial Institutions may not be able to make available the submitted electronically on Examination Council. WWW.REGULATIONS.GOV or by mail requested auxiliary aid or service ACTION: Proposed revised Policy to Office of Information and Regulatory because of insufficient time to arrange Statements. it. Affairs, 725 17th Street NW., Electronic Access to This Document: Washington, DC 20038, Attn: OMB SUMMARY: The Appraisal Subcommittee The official version of this document is 3048–0017. (ASC) of the Federal Financial the document published in the Federal SUPPLEMENTARY INFORMATION: The Institutions Examination Council Register. Free Internet access to the Export Import Bank of the United States, requests public comment on a proposal official edition of the Federal Register pursuant to the Export Import Bank Act to revise ASC Policy Statements and the Code of Federal Regulations is of 1945, as amended (12 U.S.C. 635, (proposed Policy Statements). The available via the Federal Digital System et.seq.), facilitates the finance of the proposed Policy Statements provide at: www.gpo.gov/fdsys . At this site you export of U.S. goods and services. The guidance to ensure State appraiser can view this document, as well as all ‘‘Report of Premiums Payable for regulatory programs comply with Title other documents of this Department Exporters Only’’ form will be used by XI of the Financial Institutions Reform, published in the Federal Register, in exporters to report and pay premiums Recovery, and Enforcement Act of 1989, text or Adobe Portable Document on insured shipments to various foreign as amended, and the rules promulgated Format (PDF). To use PDF, you must buyers. thereunder. The proposed Policy

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Statements would supersede the current ASC office, 1401 H Street NW., Suite States electing to register and supervise ASC Policy Statements. 760, Washington, DC 20005. To make an AMCs must implement minimum DATES: Comments must be received on appointment, please call Lori Schuster requirements in accordance with the or before April 10, 2017. at (202) 595–7578. AMC Rule.6 As a result, States with an ADDRESSES: Commenters are encouraged FOR FURTHER INFORMATION CONTACT: AMC regulatory program (AMC to submit comments by the Federal James R. Park, Executive Director, at Program) will be evaluated during the eRulemaking Portal or email, if possible. (202) 595–7575, or Alice M. Ritter, ASC’s Compliance Review to determine You may submit comments, identified General Counsel, at (202) 595–7577, compliance or lack thereof with Title XI, by Docket Number AS17–01, by any of Appraisal Subcommittee, 1401 H Street and to assess implementation of the the following methods: NW., Suite 760, Washington, DC 20005. minimum requirements for State • Federal eRulemaking Portal: SUPPLEMENTARY INFORMATION: registration and supervision of AMCs as established by the AMC Rule. The https://www.regulations.gov. Follow the I. Background instructions for submitting comments. amendments to Title XI by the Dodd- Click on the ‘‘Help’’ tab on the Title XI of the Financial Institutions Frank Act also allow States with an Regulations.gov home page to get Reform, Recovery, and Enforcement Act AMC Program to add information about of 1989, as amended (Title XI), AMCs in their State to the National information on using Regulations.gov, 1 including instructions for submitting established the ASC. The purpose of Registry of AMCs (AMC Registry). The public comments. Title XI is to provide protection of proposed Policy Statements include • Email: [email protected]. Include Federal financial and public policy guidance to the States regarding how the docket number in the subject line of interests by upholding Title XI AMC Programs will be evaluated during requirements for appraisals performed ASC Compliance Reviews. the message. 2 • Fax: (202) 289–4101. Include for federally related transactions. Pursuant to Title XI, one of the ASC’s II. Overview of Proposed Policy docket number on fax cover sheet. Statements • core functions is to monitor the Mail: Address to Appraisal 3 Subcommittee, Attn: Lori Schuster, requirements established by the States The ASC is issuing these proposed 7 Management and Program Analyst, 1401 for certification and licensing of Policy Statements in three parts to H Street NW., Suite 760, Washington, appraisers qualified to perform provide States with the necessary appraisals in connection with federally DC 20005. information to maintain their Appraiser • Hand Delivery/Courier: 1401 H related transactions. This is Programs and AMC Programs in accomplished through periodic ASC Street NW., Suite 760, Washington, DC compliance with Title XI and the rules Compliance Reviews of each State 20005. promulgated thereunder: appraiser regulatory program (Appraiser ➢ In general, the ASC will enter all Part A, Appraiser Program—Policy Program) to determine compliance or comments received into the docket and Statements 1 through 7 correspond with lack thereof with Title XI, and to assess publish those comments on the Federal the categories that are: (a) Evaluated implementation of minimum eRulemaking (Regulations.gov) Web site during the Appraiser Program requirements for credentialing of without change, including any business Compliance Review; and (b) included in appraisers as adopted by the Appraiser or personal information that you the ASC’s Compliance Review Report of Qualifications Board (The Real Property provide, such as name and address the Appraiser Program. Appraiser Qualification Criteria or AQB ➢ information, email addresses, or phone Part B, AMC Program—Policy Criteria). numbers. Comments received, including Statements 8 through 11 correspond Title XI as amended by the Dodd- with the categories that are: (a) attachments and other supporting Frank Wall Street Reform and Consumer materials, are part of the public record Evaluated during the AMC Program Protection Act of 2010 (Dodd-Frank Compliance Review; and (b) included in and subject to public disclosure. Do not 4 Act) expanded the ASC’s core the ASC’s Compliance Review Report of enclose any information in your functions to include monitoring of the comment or supporting materials that the AMC Program. requirements established by States that ➢ Part C, Interim Sanctions—Policy you consider confidential or elect to register and supervise the inappropriate for public disclosure. At Statement 12 sets forth required operations and activities of appraisal procedures in the event that interim the close of the comment period, all management companies 5 (AMCs). public comments will also be made sanctions are imposed against a State by the ASC for non-compliance in either available on the ASC’s Web site at 1 The ASC Board is comprised of seven members. https://www.asc.gov (follow link in Five members are designated by the heads of the the Appraiser Program or the AMC ‘‘What’s New’’) as submitted, unless FFIEC agencies (Board of Governors of the Federal Program. Reserve System [Board], Consumer Financial The proposal also includes two modified for technical reasons. Protection Bureau [CFPB], Federal Deposit You may review comments by any of Insurance Corporation [FDIC], Office of the appendices: the following methods: Comptroller of the Currency [OCC], and National • Viewing Comments Electronically: Credit Union Administration [NCUA]). The other 6 The Dodd-Frank Act added section 1124 to Title Go to https://www.regulations.gov. Enter two members are designated by the heads of the XI, Appraisal Management Company Minimum Department of Housing and Urban Development Requirements, which required the OCC, Board, ‘‘Docket ID AS17–01’’ in the Search box (HUD) and the Federal Housing Finance Agency FDIC, NCUA, CFPB, and FHFA to establish, by rule, and click ‘‘Search.’’ Click on the ‘‘Help’’ (FHFA). minimum requirements for the registration and tab on the Regulations.gov home page to 2 Refers to any real estate related financial supervision of AMCs by States that elect to register get information on using transaction which: (a) A federal financial and supervise AMCs pursuant to Title XI and the institutions regulatory agency engages in, contracts rules promulgated thereunder. (Title XI § 1124(a), Regulations.gov, including instructions for, or regulates; and (b) requires the services of an 12 U.S.C. 3353(a)). Those rules were finalized and for viewing public comments, viewing appraiser. (Title XI § 1121(4), 12 U.S.C. 3350.) published on June 9, 2015, at 80 Federal Register other supporting and related materials, 3 The 50 States, the District of Columbia, and four 32658 with an effective date of August 10, 2015. (12 and viewing the docket after the close Territories, which are the Commonwealth of Puerto CFR 34.210–34.216; 12 CFR 225.190–225.196; 12 Rico, Commonwealth of the Northern Mariana CFR 323.8–323.14; 12 CFR 1222.20–1222.26) of the comment period. Islands, Guam, and United States Virgin Islands. 7 • These Policy Statements, adopted [date to be Viewing Comments Personally: You 4 Public Law 111–203, 124 Stat. 1376. inserted when final], supersede all previous Policy may personally inspect comments at the 5 Title XI § 1103(a)(1)(B), 12 U.S.C. 3332. Statements adopted by the ASC.

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1. Appendix A provides an overview Policy Statement 5: Reciprocity way they maintain the Appraiser of the Compliance Review process; and The ASC proposes to modify Policy Registry. 2. Appendix B provides a glossary of Statement 5 to include a requirement Policy Statement 10: State Agency terms. that States obtain and maintain Enforcement sufficient relevant documentation III. Statement-by-Statement pertaining to an application for issuance The ASC proposes a new Policy of a credential by reciprocity. Statement 10 to clarify requirements for The following provides a section by States’ AMC enforcement programs in section highlight of changes presented Policy Statement 6: Education those States with an AMC Program. in the proposed Policy Statements. The ASC proposes to modify Policy Policy Statement 11: Statutory Introduction and Purpose Statement 6 to clarify that States may Implementation Period not continue to accept AQB approved The ASC proposes to expand the courses after the AQB’s expiration date The ASC proposes a new Policy introduction to include the monitoring unless the course content is reviewed Statement 11 to clarify the statutory of States that elect to register and and approved by the State. implementation period and any supervise the operations and activities extensions that may be granted. Policy Statement 7: Enforcement of AMCs, and to include an explanation Part C: Interim Sanctions of the proposed Policy Statements’ three The ASC proposes to modify Policy parts and appendices. Statement 7 to clarify the requirement Policy Statement 12: Interim Sanctions that States consider USPAP violations Part A: Appraiser Program The ASC proposes a new Policy when investigating a complaint whether Statement 12 which modifies existing Policy Statement 1: Statutes, or not USPAP violations were the basis Policy Statement 8 to clarify interim Regulations, Policies and Procedures for the complaint. sanctions which may be imposed on Governing State Appraiser Programs Part B: AMC Program State Programs when those programs fail to be effective. The proposed The ASC proposes modify Policy As proposed, Policy Statements 8, 9 & procedures include due process Statement 1 to include a definition of 10 duplicate the provisions of Policy provisions and rules of evidence, and trainee appraiser to better reflect how Statements 1, 3 & 7 to every extent would establish timeliness for changes to Title XI affect Appraiser possible. The standard language is proceedings. Programs with trainee requirements. intentional and will create better IV. Request for Comment Policy Statement 2: Temporary Practice understanding of the Policy Statements by the States as they will be able to The ASC seeks comment on all The ASC proposes to modify Policy anticipate how to comply based on their aspects of the proposed Policy Statement 2 to clarify requirements for understanding of the Policy Statements Statements. In addition, the ASC temporary practice and includes they have been following. Differences requests comments on whether the requirements to track temporary are discussed below. proposed Policy Statements provide practice permits and maintain Policy Statement 8: Statutes, State Programs with the necessary documentation. Regulations, Policies and Procedures information to understand the ASC’s expectations during a Compliance Policy Statement 3: National Registry of Governing State AMC Programs Review. Appraisers The ASC proposes a new Policy The text of the proposed Policy Statement 8 to reflect the statutory Statements is as follows: The ASC proposes to modify Policy provision that States are not required to Statement 3 to clarify requirements establish an AMC Program, but clarify Contents regarding States’ submission of registry Introduction and Purpose for those States that establish AMC Part A: Appraiser Program fees and eligibility of appraisers for the Programs the ASC oversight during ASC Appraiser Registry. Policy Statement 1 Compliance Reviews. As proposed, Statutes, Regulations, Policies and Policy Statement 4: Application Process Policy Statement 8 reiterates that States Procedures Governing State Appraiser with an AMC Program must: (1) Programs The ASC proposes to modify Policy Establish and maintain an AMC A. State Regulatory Structure Statement 4 to include additional Program with the legal authority and B. Funding and Staffing guidance to States implementing AQB mechanisms consistent with the AMC C. Minimum Criteria Criteria regarding the background of Rule; (2) impose requirements on AMCs D. Federally Recognized Appraiser Classifications applicants for credentials and requires consistent with the AMC Rule; and (3) States to document applicant files with E. Non-Federally Recognized Credentials enforce and document ownership F. Appraisal Standards evidence supporting decisions made limitations for State-registered AMCs. G. Exemptions regarding individual appraisers. Policy As proposed, Policy Statement 8 H. ASC Staff Attendance at State Board Statement 4 as proposed also provides informs States that while they may have Meetings additional guidance on requirements for a more expansive definition of an AMC I. Summary of Requirements States to validate renewal requirements in their State statute, only AMCs that Policy Statement 2 for appraisers and provides parameters meet the federal definition in Title XI Temporary Practice for auditing education-related affidavits. may be included on the AMC Registry. A. Requirement for Temporary Practice Finally, Policy Statement 4 as proposed B. Excessive Fees or Burdensome clarifies the requirement that States Policy Statement 9: National Registry of Requirements AMCs (AMC Registry) C. Summary of Requirements engage analysts who are knowledgeable Policy Statement 3 about the Uniform Standards of The ASC proposes a new Policy National Registry of Appraisers Professional Appraisal Practice Statement 9 to clarify requirements for A. Requirements for the National Registry (USPAP) and document how the States with an AMC Program to of Appraisers analysts are qualified. maintain the AMC Registry in the same B. Registry Fee and Invoicing Policies

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C. Access to Appraiser Registry Data Examination Council (ASC).8 The The ASC is issuing these revised D. Information Sharing purpose of Title XI is to provide Policy Statements 16 in three parts to E. Summary of Requirements protection of Federal financial and provide States with the necessary Policy Statement 4 public policy interests by upholding information to maintain their Appraiser Application Process Title XI requirements for appraisals Programs and AMC Programs in A. Processing of Applications performed for federally related compliance with Title XI: B. Qualifying Education for Initial or ➢ Upgrade Applications transactions. Specifically, those Part A, Appraiser Program—Policy C. Continuing Education for Reinstatement appraisals shall be performed in writing, Statements 1 through 7 correspond with and Renewal Applications in accordance with uniform standards, the categories that are: (a) Evaluated D. Experience for Initial or Upgrade by individuals whose competency has during the Appraiser Program Applications been demonstrated and whose Compliance Review; and (b) included in E. Examination professional conduct will be subject to the ASC’s Compliance Review Report of F. Summary of Requirements effective supervision. the Appraiser Program. Policy Statement 5 Pursuant to Title XI, one of the ASC’s ➢ Part B, AMC Program—Policy Reciprocity core functions is to monitor the Statements 8 through 11 correspond A. Reciprocity Policy requirements established by the States 9 B. Application of Reciprocity Policy with the categories that are: (a) C. Appraiser Compliance Requirements for certification and licensing of Evaluated during the AMC Program D. Well-Documented Application Files appraisers qualified to perform Compliance Review; and (b) included in E. Summary of Requirements appraisals in connection with federally the ASC’s Compliance Review Report of Policy Statement 6 related transactions.10 Title XI as the AMC Program. Education amended by the Dodd-Frank Wall Street ➢ Part C, Interim Sanctions—Policy A. Course Approval Reform and Consumer Protection Act of Statement 12 sets forth required B. Distance Education 2010 (Dodd-Frank Act) 11 expanded the procedures in the event that interim C. Summary of Requirements ASC’s core functions to include sanctions are imposed against a State by Policy Statement 7 monitoring of the requirements the ASC for non-compliance in either State Agency Enforcement established by States that elect to A. State Agency Regulatory Program the Appraiser Program or the AMC B. Enforcement Process register and supervise the operations Program. and activities of appraisal management C. Summary of Requirements Part A: Appraiser Program Part B: AMC Program companies 12 (AMCs).13 Policy Statement 8 The ASC performs periodic Policy Statement 1 Statutes, Regulations, Policies and Compliance Reviews 14 of each State Procedures Governing State AMC appraiser regulatory program (Appraiser Statutes, Regulations, Policies and Programs Program) to determine compliance or Procedures Governing State Appraiser A. Participating States and ASC Oversight lack thereof with Title XI, and to assess Programs B. Relation to State Law implementation of minimum A. State Regulatory Structure C. Funding and Staffing requirements for credentialing of Title XI requires the ASC to monitor D. Minimum Requirements for Registration appraisers as adopted by the Appraiser and Supervision of AMCs as Established each State appraiser certifying and Qualifications Board (The Real Property by the AMC Rule licensing agency for the purpose of Appraiser Qualification Criteria or AQB E. Summary of Requirements determining whether each such agency Criteria). As a result of the Dodd-Frank Policy Statement 9 has in place policies, practices and Act amendments to Title XI, States with National Registry of AMCs (AMC Registry) procedures consistent with the an AMC regulatory program (AMC A. Requirements for the AMC Registry requirements of Title XI.17 The ASC B. Registry Fee and Invoicing Policies Program) will be evaluated during the recognizes that each State may have C. Reporting Requirements Compliance Review to determine legal, fiscal, regulatory or other factors D. Access to AMC Registry Data compliance or lack thereof with Title XI, that may influence the structure and E. Summary of Requirements and to assess implementation of the organization of its Appraiser Program. Policy Statement 10 minimum requirements for State State Agency Enforcement Therefore, a State has flexibility to registration and supervision of AMCs as A. State Agency Regulatory Program structure its Appraiser Program so long established by the AMC Rule.15 B. Enforcement Process as it meets its Title XI-related C. Summary of Requirements 8 The ASC board is made up of seven members. responsibilities. Policy Statement 11 States should maintain an Statutory Implementation Period Five members are designated by the heads of the Part C: Interim Sanctions FFIEC agencies (Board of Governors of the Federal organizational structure for appraiser Reserve System, Bureau of Consumer Financial certification, licensing and supervision Policy Statement 12 Protection, Federal Deposit Insurance Corporation, Interim Sanctions Office of the Comptroller of the Currency, and A. Authority National Credit Union Administration). The other the Federal Reserve System; Federal Deposit B. Opportunity To Be Heard or Correct two members are designated by the heads of the Insurance Corporation; National Credit Union Conditions Department of Housing and Urban Development Administration; Bureau of Consumer Financial and the Federal Housing Finance Agency. Protection; and Federal Housing Finance Agency to C. Procedures establish, by rule, minimum requirements to be 9 See Appendix B, Glossary of Terms, for the Appendices imposed by a participating State appraiser definition of ‘‘State.’’ Appendix A—Compliance Review Process certifying and licensing agency on AMCs doing 10 Appendix B—Glossary of Terms See Appendix B, Glossary of Terms, for the business in the State. (Title XI § 1124(a), 12 U.S.C. definition of ‘‘federally related transaction.’’ 3353(a)). Those rules were finalized and published Introduction and Purpose 11 Public Law 111–203, 124 Stat. 1376. on June 9, 2015, at 80 Federal Register 32658 with 12 Title XI § 1103(a)(1)(B), 12 U.S.C. 3332. an effective date of August 10, 2015. (12 CFR Title XI of the Financial Institutions 13 See Appendix B, Glossary of Terms, for the 34.210–34.216; 12 CFR 225.190–225.196; 12 CFR Reform, Recovery, and Enforcement Act definition of ‘‘appraisal management company’’ or 323.8–323.14; 12 CFR 1222.20–1222.26.) of 1989 as amended (Title XI) AMC. 16 These Policy Statements, adopted [date to be 14 See Appendix A, Compliance Review Process. inserted when final], supersede all previous Policy established the Appraisal Subcommittee 15 The Dodd-Frank Act required the Office of the Statements adopted by the ASC. of the Federal Financial Institutions Comptroller of the Currency; Board of Governors of 17 Title XI § 1118(a), 12 U.S.C. 3347.

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that avoids conflicts of interest. A State requirements for licensing in a State (USPAP), and be subject to appropriate agency may be headed by a board, whose criteria for licensing meet or review for compliance with USPAP.20 commission or an individual. State exceed the applicable minimum AQB States that have incorporated USPAP board 18 or commission members, or Criteria. The permitted scope of practice into State law should ensure that employees in policy or decision-making and designation for State licensed statutes or regulations are updated positions, should understand and appraisers must be consistent with State timely to adopt the current version of adhere to State statutes and regulations and Federal laws, including regulations USPAP, or if State law allows, governing performance of and supplementary guidance. automatically incorporate the latest responsibilities consistent with the version of USPAP as it becomes Trainee Appraisers highest ethical standards for public effective. States should consider ASB service. In addition, Appraiser Programs ‘‘Trainee appraisers’’ means those Advisory Opinions, Frequently Asked using private entities or contractors individuals who have satisfied the Questions, and other written guidance should establish appropriate internal requirements for credentialing in a State issued by the ASB regarding policies, procedures and safeguards to whose criteria for credentialing meet or interpretation and application of promote compliance with the State exceed the applicable minimum AQB USPAP. agency’s responsibilities under Title XI Criteria. Any minimum qualification Any State or Federal agency may and these Policy Statements. requirements established by a State for impose additional appraisal standards if individuals in the position of ‘‘trainee B. Funding and Staffing they consider such standards necessary appraiser’’ or ‘‘supervisory appraiser’’ to carry out their responsibilities, so The Dodd-Frank Act amended Title must meet or exceed the applicable long as additional appraisal standards XI to require the ASC to determine minimum AQB Criteria. ASC staff will do not preclude compliance with whether States have sufficient funding evaluate State designations such as USPAP or the Federal financial and staffing to meet their Title XI ‘‘registered appraiser,’’ ‘‘apprentice institutions regulatory agencies’ requirements. Compliance with this appraiser,’’ ‘‘provisional appraiser,’’ or appraisal regulations for work provision requires that a State must any other similar designation to performed for federally related provide its Appraiser Program with determine if, in substance, such transactions. funding and staffing sufficient to carry designation is consistent with a ‘‘trainee The Federal financial institutions out its Title XI-related duties. The ASC appraiser’’ designation and, therefore, regulatory agencies’ appraisal evaluates the sufficiency of funding and administered to comply with Title XI. regulations define ‘‘appraisal’’ and staffing as part of its review of all The permitted scope of practice and identify which real estate-related aspects of an Appraiser Program’s designation for trainee appraisers must financial transactions require the effectiveness, including the adequacy of be consistent with State and Federal services of a State certified or licensed State boards, committees, or laws, including regulations and appraiser. These regulations define commissions responsible for carrying supplementary guidance. ‘‘appraisal’’ as a ‘‘written statement out Title XI-related duties. Any State or Federal agency may independently and impartially prepared impose additional appraiser C. Minimum Criteria by a qualified appraiser setting forth an qualification requirements for trainee, opinion as to the market value of an Title XI requires States to adopt and/ State licensed, certified residential or adequately described property as of a or implement all relevant AQB Criteria. certified general classifications, if they specific date(s) supported by the Requirements established by a State for consider such requirements necessary to presentation and analysis of relevant certified residential or certified general carry out their responsibilities under market information.’’ Per these appraisers, as well as requirements Federal and/or State statutes and regulations, an appraiser performing an established for licensed appraisers, regulations, so long as the additional appraisal review which includes the trainee appraisers and supervisory qualification requirements do not reviewer providing his or her own appraisers must meet or exceed preclude compliance with AQB Criteria. applicable AQB Criteria. opinion of value constitutes an E. Non-Federally Recognized appraisal. Under these same regulations, D. Federally Recognized Appraiser Credentials an appraisal review that does not Classifications States using non-federally recognized include the reviewer providing his or State Certified Appraisers credentials or designations 19 must her own opinion of value does not ‘‘State certified appraisers’’ means ensure that they are easily distinguished constitute an appraisal. Therefore, those individuals who have satisfied the from the federally recognized under the Federal financial institutions requirements for residential or general credentials. regulatory agencies’ regulations, only certification in a State whose criteria for those transactions that involve certification meet or exceed the F. Appraisal Standards appraisals for federally related applicable minimum AQB Criteria. Title XI and the Federal financial transactions require the services of a Permitted scope of practice and institutions regulatory agencies’ State certified or licensed appraiser. designation for State certified regulations mandate that all appraisals G. Exemptions residential or certified general performed in connection with federally appraisers must be consistent with State related transactions be in written form, Title XI and the Federal financial and Federal laws, including regulations prepared in accordance with generally institutions regulatory agencies’ and supplementary guidance. accepted appraisal standards as regulations specifically require the use of State certified or licensed appraisers State Licensed Appraisers promulgated by the Appraisal Standards Board (ASB) in the Uniform Standards in connection with the appraisal of ‘‘State licensed appraisers’’ means of Professional Appraisal Practice certain real estate-related financial those individuals who have satisfied the 19 See Appendix B, Glossary of Terms, for the 20 See Appendix B, Glossary of Terms for the 18 See Appendix B, Glossary of Terms, for the definition of ‘‘non-federally recognized credentials definition of ‘‘Uniform Standards of Professional definition of ‘‘State board.’’ or designations.’’ Appraisal Practice.’’

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transactions.21 A State may not exempt 6. State board members, and any B. Excessive Fees or Burdensome any individual or group of individuals persons in policy or decision-making Requirements from meeting the State’s certification or positions, must perform their Title XI prohibits States from licensing requirements if the individual responsibilities consistent with Title imposing excessive fees or burdensome 27 or group member performs an appraisal XI. requirements, as determined by the when Federal statutes and regulations 7. States’ certification and licensing ASC, for temporary practice.33 require the use of a certified or licensed requirements must meet the minimum Adherence by State agencies to the appraiser. For example, an individual requirements set forth in Title XI.28 following mandates and prohibitions who has been exempted by the State 8. State requirements for trainee will deter the imposition of excessive from its appraiser certification or fees or burdensome requirements. licensing requirements because he or appraisers and supervisory appraisers Host State agencies must: she is an officer, director, employee or must meet or exceed the AQB Criteria. a. Issue temporary practice permits on agent of a federally regulated financial 9. State agencies must be granted an assignment basis; institution would not be permitted to adequate authority by the State to b. issue temporary practice permits perform an appraisal in connection with maintain an effective regulatory within five business days of receipt of a federally related transaction. Appraiser Program in compliance with a completed application, or notify the H. ASC Staff Attendance at State Board Title XI.29 applicant and document the file as to Meetings Policy Statement 2 the circumstances justifying delay or The efficacy of the ASC’s Compliance other action; Temporary Practice Review process rests on the ASC’s c. issue temporary practice permits ability to obtain reliable information A. Requirement for Temporary Practice designating the permit’s effective date; about all areas of a State’s Appraiser d. take regulatory responsibility for a Program. ASC staff regularly attends Title XI requires State agencies to temporary practitioner’s unethical, open State board meetings as part of the recognize, on a temporary basis, the incompetent and/or fraudulent practices on-site Compliance Review process. certification or license of an out-of-State performed while in the State; States are expected to make available for appraiser entering the State for the e. notify the appraiser’s home State 34 review by ASC staff minutes of closed purpose of completing an appraisal agency in the case of disciplinary meetings and executive sessions. States assignment 30 for a federally related action concerning a temporary are encouraged to allow ASC staff to transaction. States are not, however, practitioner; attend closed and executive sessions of required to grant temporary practice f. allow at least one temporary State board meetings where such permits to trainee appraisers. The out- practice permit extension through a attendance would not violate State law of-State appraiser must register with the streamlined process; or regulation or be inconsistent with State agency in the State of temporary g. track all temporary practice permits other legal obligations of the State practice (Host State). A State may using a permit log which includes the board. ASC staff is obligated to protect determine the process necessary for name of the applicant, date application information obtained during the ‘‘registration’’ provided such process received, date completed application Compliance Review process concerning complies with Title XI and does not received, date of issuance, and date of the privacy of individuals and any impose ‘‘excessive fees or burdensome expiration, if any (States are strongly confidential matters. requirements,’’ as determined by the encouraged to maintain this information 31 32 in an electronic, sortable format); and I. Summary of Requirements ASC. Thus, a credentialed appraiser from State A has a statutory right to h. maintain documentation sufficient 1. States must require that appraisals enter State B (the Host State) to perform to demonstrate compliance with this be performed in accordance with the an assignment concerning a federally Policy Statement. latest version of USPAP.22 related transaction, so long as the Host State agencies may not: 2. States must, at a minimum, adopt appraiser registers with the State agency a. limit the valid time period of a and/or implement all relevant AQB in State B prior to performing the temporary practice permit to less than 6 23 Criteria. assignment. Though Title XI months (unless the applicant requests a 3. States must have policies, practices contemplates reasonably free movement specific end date and the applicant is allowed an extension if required to and procedures consistent with Title of credentialed appraisers across State 24 complete the assignment, the XI. lines, an out-of-State appraiser must applicant’s credential is no longer in 4. States must have funding and comply with the Host State’s real estate active status during that period of time); staffing sufficient to carry out their Title appraisal statutes and regulations and is 25 b. limit an appraiser to one temporary XI-related duties. subject to the Host State’s full regulatory practice permit per calendar year; 35 5. States must use proper designations jurisdiction. States should utilize the and permitted scope of practice for National Registry of Appraisers to verify certified residential; certified general; 33 Title XI § 1122(a) (2), 12 U.S.C. 3351. credential status on applicants for licensed; and trainee classifications.26 34 See Appendix B, Glossary of Terms, for the temporary practice. definition of ‘‘home State agency.’’ 35 21 Title XI § 1112, 12 U.S.C. 3341; Title XI § 1113, State agencies may establish by statute or 12 U.S.C. 3342; Title XI § 1114, 12 U.S.C. 3343. 12 U.S.C. 3342; AQB Real Property Appraiser regulation a policy that places reasonable limits on the number of times an out-of-State certified or 22 Title XI § 1101, 12 U.S.C. 3331; Title XI Qualification Criteria. licensed appraiser may exercise his or her § 1118(a), 12 U.S.C. 3347; AQB Real Property 27 Title XI § 1118(a), 12 U.S.C. 3347. temporary practice rights in a given year. If such a Appraiser Qualification Criteria. 28 Title XI §§ 1116(a), (c) and (e), 12 U.S.C. 3345. policy is not established, a State agency may choose 23 29 Title XI §§ 1116(a), (c) and (e), 12 U.S.C. 3345; Title XI § 1118(b), 12 U.S.C. 3347. not to honor an out-of-State certified or licensed Title XI § 1118(a), 12 U.S.C. 3347. 30 See Appendix B, Glossary of Terms, for the appraiser’s temporary practice rights if it has made 24 Title XI § 1118(a), 12 U.S.C. 3347. definition of ‘‘assignment.’’ a determination that the appraiser is abusing his or 25 Id; Title XI § 1118(b), 12 U.S.C. 3347. 31 Title XI § 1122(a)(2), 12 U.S.C. 3351. her temporary practice rights and is regularly 26 Title XI §§ 1116(a), (c) and (e), 12 U.S.C. 3345; 32 See Appendix B, Glossary of Terms, for the engaging in real estate appraisal services within the Title XI § 1118(a), 12 U.S.C. 3347; Title XI § 1113, definition of ‘‘credentialed appraisers.’’ State.

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c. charge a temporary practice permit received certification or licensing. States B. Registry Fee and Invoicing Policies fee exceeding $250, including one must notify the ASC as soon as Each State must remit to the ASC the extension fee; practicable if a credential holder listed annual registry fee, as set by the ASC, d. impose State appraiser on the Appraiser Registry does not for State certified or licensed appraisers qualification requirements for qualify for the credential held. within the State to be listed on the education, experience and/or exam Roster and registry fee requirements Appraiser Registry. Requests to prorate upon temporary practitioners; e. require temporary practitioners to apply to all individuals who receive refunds or partial-year registrations will obtain a certification or license in the State certifications or licenses, not be granted. If a State collects State of temporary practice; originally or by reciprocity, whether or multiple-year fees for multiple-year f. require temporary practitioners to not the individuals are, in fact, certifications or licenses, the State may affiliate with an in-State licensed or performing or planning to perform choose to remit to the ASC the total certified appraiser; appraisals in federally related amount of the multiple-year registry fees g. refuse to register licensed or transactions. If an appraiser is certified or the equivalent annual fee amount. certified appraisers seeking temporary or licensed in more than one State, the The ASC will, however, record practice in a State that does not have a appraiser is required to be on each appraisers on the Appraiser Registry licensed or certified level credential; or State’s roster of certified or licensed only for the number of years for which h. prohibit temporary practice. appraisers, and a registry fee is due from the ASC has received payment. Home State agencies may not: each State in which the appraiser is Nonpayment by a State of an appraiser’s a. delay the issuance of a written certified or licensed. registry fee may result in the status of ‘‘letter of good standing’’ or similar that appraiser being listed as ‘‘inactive.’’ document for more than five business Only AQB-compliant certified and States must reconcile and pay registry days after receipt of a request; or licensed appraisers in active status on invoices in a timely manner (45 b. fail to consider and, if appropriate, the Appraiser Registry are eligible to calendar days after the invoice date). take disciplinary action when one of its perform appraisals in connection with When a State’s failure to pay a past due certified or licensed appraisers is federally related transactions. Only invoice results in appraisers being listed disciplined by another State. those appraisers whose registry fees as inactive, the ASC will not change have been transmitted to the ASC will C. Summary of Requirements those appraisers back to active status be eligible to be on the Appraiser until payment is received from the 1. States must recognize, on a Registry for the period subsequent to State. An inactive status on the temporary basis, appraiser credentials payment of the fee. Appraiser Registry, for whatever the issued by another State if the property Some States may give State certified reason, renders an appraiser ineligible to be appraised is part of a federally 36 or licensed appraisers an option to not to perform appraisals in connection related transaction. with federally related transactions. 2. State agencies must adhere to pay the registry fee. If a State certified mandates and prohibitions as or licensed appraiser chooses not to pay C. Access to Appraiser Registry Data the registry fee, then the Appraiser determined by the ASC that deter the The ASC Web site provides free imposition of excessive fees or Program must ensure that any potential user of that appraiser’s services is aware access to the public portion of the burdensome requirements for temporary Appraiser Registry at www.asc.gov. The practice.37 that the appraiser is not eligible to perform appraisals for federally related public portion of the Appraiser Registry Policy Statement 3 transactions. The Appraiser Program data may be downloaded using predefined queries or user-customized National Registry of Appraisers must place a conspicuous notice directly on the face of any evidence of applications. A. Requirements for the National the appraiser’s authority to appraise Access to the full database, which Registry of Appraisers stating, ‘‘Not Eligible To Appraise includes non-public data (e.g., certain Title XI requires the ASC to maintain Federally Related Transactions,’’ and disciplinary action information), is a National Registry of State certified and the appraiser must not be listed in restricted to authorized State and licensed appraisers who are eligible to active status on the Appraiser Registry. Federal regulatory agencies. States must perform appraisals in federally related designate a senior official, such as an The ASC extranet application allows transactions (Appraiser Registry).38 Title executive director, to serve as the State’s States to update their appraiser XI further requires the States to transmit Authorized Registry Official, and credential information directly to the to the ASC: (1) A roster listing provide to the ASC, in writing, Appraiser Registry. Only Authorized individuals who have received a State information regarding the designated Registry Officials are allowed to request certification or license in accordance Authorized Registry Official. States access for their State personnel (see with Title XI; (2) reports on the issuance must ensure that the authorization section C below). The ASC will issue a and renewal of licenses and information provided to the ASC is User Name and Password to the certifications, sanctions, disciplinary updated and accurate. designated State personnel responsible actions, revocations and suspensions; for that State’s Appraiser Registry D. Information Sharing and (3) the registry fee as set by the entries. Designated State personnel are ASC 39 from individuals who have Information sharing (routine exchange required to protect the right of access, of certain information among lenders, 36 Title XI § 1122(a)(1), 12 U.S.C. 3351. and not share their User Name or governmental entities, State agencies 37 Title XI § 1122(a)(2), 12 U.S.C. 3351. Password with anyone. State agencies and the ASC) is essential for carrying 38 Title XI § 1103(a) (3), 12 U.S.C. 3332. must adopt and implement a written out the purposes of Title XI. Title XI 39 Title XI § 1109, Roster of State certified or policy to protect the right of access, as requires the ASC, any other Federal licensed appraisers; authority to collect and well as the ASC issued User Name and agency or instrumentality, or any transmit fees, requires the ASC to consider at least Password. The ASC will provide federally recognized entity to report any once every 5 years whether to adjust the dollar amount of the registry fees to account for inflation. detailed specifications regarding the action of a State certified or licensed (Title XI § 1109(a), 12 U.S.C. 3338.) data elements on the Appraiser Registry. appraiser that is contrary to the

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purposes of Title XI to the appropriate 5 business days after the disciplinary Policy Statement 4 State agency for disposition. The ASC action is final, as determined by State Application Process believes that full implementation of this law.45 Title XI requirement is vital to the 3. States not reporting via the extranet AQB Criteria sets forth the minimum integrity of the system of State appraiser application must provide, in writing to education, experience and examination requirements applicable to all States for regulation. States are encouraged to the ASC, a description of the credentialing of real property appraisers develop and maintain procedures for circumstances preventing compliance sharing of information among (certified, licensed, trainee and with this requirement.46 themselves. supervisory). In the application process, The Appraiser Registry’s value and 4. For the most serious disciplinary States must, at a minimum, employ a usefulness are largely dependent on the actions (i.e., voluntary surrenders, reliable means of validating both quality and frequency of State data suspensions and revocations, or any education and experience credit submissions. Accurate and frequent data action that interrupts a credential claimed by applicants for submissions from all States are holder’s ability to practice), the credentialing.54 Effective January 1, necessary to maintain an up-to-date appraiser’s status must be changed on 2017, AQB Criteria also requires States Appraiser Registry. States must submit the Appraiser Registry to ‘‘inactive,’’ to assess whether an applicant for a real appraiser data in a secure format to the thereby making the appraiser ineligible property appraiser credential possesses ASC at least monthly. If there are no to perform appraisals for federally a background that would not call into changes to the data, the State agency related transactions or other question public trust. The basis for such must notify the ASC of that fact in transactions requiring the use of State assessment shall be a matter left to the writing. States are encouraged to submit certified or licensed appraisers.47 individual States, and must, at a data as frequently as possible. 5. States must designate a senior minimum, be documented to the file. States must report all disciplinary official, such as an executive director, action 40 taken against an appraiser to A. Processing of Applications who will serve as the State’s Authorized the ASC via the extranet application Registry Official, and provide to the States must process applications in a within 5 business days after the consistent, equitable and well- disciplinary action is final, as ASC, in writing, information regarding the selected Authorized Registry documented manner. Applications for determined by State law.41 States not credentialing should be timely reporting via the extranet application Official, and any individual(s) authorized to act on their behalf.48 processed by State agencies (within 90 must provide, in writing to the ASC, a calendar days after receipt of a description of the circumstances 6. States must ensure that the completed application). Any delay in preventing compliance with this authorization information provided to the processing of applications must be requirement.42 the ASC is updated and accurate.49 sufficiently documented in the file to For the most serious disciplinary 7. States using the ASC extranet explain the delay. States must ensure actions (i.e., voluntary surrenders, application must implement written appraiser credential applications suspensions and revocations, or any policies to ensure that all personnel submitted for processing do not contain action that interrupts a credential with access to the Appraiser Registry invalid examinations as established by holder’s ability to practice), the protect the right of access and not share AQB Criteria. appraiser’s status must be changed on the User Name or Password with States must obtain and maintain the Appraiser Registry to ‘‘inactive,’’ anyone.50 sufficient relevant documentation thereby making the appraiser ineligible 8. States must ensure the accuracy of pertaining to an application for to perform appraisals for federally issuance, upgrade and renewal of a all data submitted to the Appraiser related transactions or other credential so as to enable understanding Registry.51 transactions requiring the use of State of the facts and determinations in the 43 certified or licensed appraisers. 9. States must submit appraiser data matter and the reasons for those Title XI also contemplates the (other than discipline) to the ASC at determinations. Files must include reasonably free movement of certified least monthly. If a State’s data does not documentation of: and licensed appraisers across State change during the month, the State 1. Application receipt date; lines. This freedom of movement agency must notify the ASC of that fact 2. Education; assumes, however, that certified and 52 in writing. 3. Experience; licensed appraisers are, in all cases, 4. Examination; held accountable and responsible for 10. If a State certified or licensed 5. Continuing education; and their actions while performing appraisal appraiser chooses not to pay the registry 6. Any administrative or disciplinary activities. fee, the State must ensure that any potential user of that appraiser’s action taken in connection with the E. Summary of Requirements services is aware that the appraiser’s application process, including results of 1. States must reconcile and pay certificate or license is limited to any continuing education audit. registry invoices in a timely manner (45 performing appraisals only in B. Qualifying Education for Initial or calendar days after the invoice date).44 connection with non-federally related Upgrade Applications 2. States must report all disciplinary transactions.53 action taken against an appraiser to the States must verify that: ASC via the extranet application within 45 Id. (1) The applicant’s claimed education 46 Title XI § 1118(a), 12 U.S.C. 3347. courses are acceptable under AQB 40 See Appendix B, Glossary of Terms, for the 47 Id. Criteria; and definition of ‘‘disciplinary action.’’ 48 Id. (2) the applicant has successfully 41 Id. 49 Id. completed courses consistent with AQB 42 Title XI § 1118(a), 12 U.S.C. 3347. 50 Id. 43 Id. 51 Id. 54 Includes applications for credentialing of 44 Title XI § 1118(a), 12 U.S.C. 3347; Title XI 52 Id. trainee, licensed, certified residential or certified § 1109(a), 12 U.S.C. 3338. 53 Id. general classifications.

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Criteria for the appraiser credential the sample must include a statistically basis whether remedial actions are sought. relevant representation of the appraiser effective and acceptable. States may not accept an affidavit for population being sampled. (7) In the case of a renewal being claimed qualifying education from processed after the credential’s applicants for any federally recognized b. Minimum Standards expiration date, but within the State’s credential.55 States must maintain (1) Validation must include a prompt allowed grace period for a late renewal, adequate documentation to support post-approval audit. Each audit of an the State must establish a reliable verification of education claimed by affidavit for continuing education credit process to audit affidavits for continuing applicants. claimed must be completed within 60 education (e.g., requiring documentation of all continuing C. Continuing Education for business days from the date the education). Reinstatement and Renewal credential is scheduled for renewal Applications (based on the credential’s expiration c. Documentation date). To ensure the audit is a States must maintain adequate 1. Reinstatement Applications statistically relevant representation, a documentation to support its affidavit States must verify that: sampling of credentials that were renewal and audit procedures and (1) The applicant’s claimed renewed after the scheduled expiration actions. continuing education courses are date and/or beyond the date the sample acceptable under AQB Criteria; and was selected, must also be audited to d. List of Education Courses (2) the applicant has successfully ensure that a credential holder may not To promote accountability, the ASC completed all continuing education avoid being selected for a continuing consistent with AQB Criteria for encourages States accepting affidavits education audit by renewing early or for continuing education credit claimed reinstatement of the appraiser credential late. sought. for credential renewal to require that the States may not accept an affidavit for (2) States must audit the continuing appraiser provide a list of courses to continuing education claimed from education-related affidavit for each support the affidavit. applicants for reinstatement. Applicants credentialed appraiser selected in the sampling procedure. D. Experience for Initial or Upgrade for reinstatement must submit Applications documentation to support claimed (3) States must determine that continuing education and States must education courses claimed conform to States must ensure that appraiser maintain adequate documentation to AQB Criteria and that the appraiser experience logs conform to AQB support verification of claimed successfully completed each course. Criteria. States may not accept an education. affidavit for experience credit claimed (4) When a State determines that an by applicants for any federally 2. Renewal Applications appraiser’s continuing education does recognized credential.57 not meet AQB Criteria, and the States must ensure that continuing appraiser has failed to complete any 1. Validation Required education courses for renewal of an remedial action offered, the State must States must implement a reliable appraiser credential are consistent with take appropriate action to suspend the AQB Criteria and that continuing validation procedure to verify that each appraiser’s eligibility to perform applicant’s experience meets AQB education hours required for renewal of appraisals in federally related an appraiser credential were completed Criteria, including but not limited to, transactions until such time that the being USPAP compliant and containing consistent with AQB Criteria. States requisite continuing education has been may accept affidavits for continuing the required number of hours and completed. The State must notify the months. education credit claimed for credential ASC within five (5) business days after renewal so long as the State implements taking such action in order for the 2. Validation Procedures, Objectives and a reliable validation procedure that appraiser’s record on the Appraiser Requirements adheres to the following objectives and Registry to be updated appropriately. a. Selection of Work Product requirements: (5) If a State determines that a renewal States must determine the hours and a. Validation Objectives applicant knowingly falsely attested to time period claimed on the experience The State’s validation procedures completing the continuing education log are accurate and analyze a must be structured to permit acceptable required by AQB Criteria, the State must representative sample of the applicant’s projections of the sample results to the take appropriate administrative and/or entire population of subject appraisers. disciplinary action and report such 57 See Policy Statement 1D and E for discussion Therefore, the sample must include an action, if deemed to be discipline, to the of ‘‘federally recognized credential’’ and ‘‘non- ASC within five (5) business days. federally recognized credential.’’ If prior to July 1, adequate number of affidavits selected 2013, a State accepted experience-related affidavits from each federally recognized (6) If more than ten percent of the from applicants for initial licensure in any non- credential level to have a reasonable audited appraisers fail to meet the AQB certified classification, upon the appraiser’s chance of identifying appraisers who Criteria, the State must take remedial application to upgrade to a certified classification, 56 the State must require experience documentation to fail to comply with AQB Criteria, and action to address the apparent support the appraiser’s qualification for the weakness of its affidavit process. The certified classification, not just the incremental 55 If a State accepts education-related affidavits ASC will determine on a case-by-case amount of experience required to move from the from applicants for initial licensure in any non- non-certified to the certified classification. For certified classification, upon the appraiser’s example, if a State accepted an experience affidavit application to upgrade to a certified classification, 56 For example: from an appraiser to support the appraiser’s initial the State must require documentation to support (1) A State may conduct an additional audit using hours to qualify for the licensed classification, and the appraiser’s educational qualification for the a higher percentage of audited appraisers; or subsequently that appraiser applies to upgrade to certified classification, not just the incremental (2) a State may publicly post action taken to the certified residential classification, the State amount of education required to move from the sanction non-compliant appraisers to increase must require documentation to support the full non-certified to the certified classification. This awareness in the appraiser community of the experience hours required for the certified requirement applies to all federally recognized importance of compliance with continuing residential classification, not just the difference in credentials. education requirements. hours between the two classifications.

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work product for compliance with processing do not contain invalid credit claimed fail to meet the minimum USPAP. Appraiser Program staff or State examinations as established by AQB AQB Criteria.69 board members must select the work Criteria.59 10. States are required to take product to be reviewed; applicants may 3. States must obtain and maintain appropriate administrative and/or not have any role in selection of work sufficient relevant documentation disciplinary action when it is product. pertaining to an application for determined that an applicant knowingly issuance, upgrade or renewal of a falsely attested to completing b. USPAP Compliance credential so as to enable understanding continuing education.70 For appraisal experience to be of the facts and determinations in the 11. When a State determines that an acceptable under AQB Criteria, it must matter and the reasons for those appraiser’s continuing education does be USPAP compliant. States must determinations.60 not meet AQB Criteria, and the exercise due diligence in determining appraiser has failed to complete any whether submitted documentation of Education remedial action offered, the State must experience or work product 1. States must verify that the take appropriate action to suspend the demonstrates compliance with USPAP. applicant’s claimed education courses appraiser’s eligibility to perform Persons analyzing work product for are acceptable under AQB Criteria, appraisals in federally related USPAP compliance must be whether for initial credentialing, transactions until such time that the knowledgeable about appraisal practice renewal, upgrade or reinstatement.61 requisite continuing education has been and USPAP, and States must be able to 2. States must verify that the completed. The State must notify the document how such persons are so applicant has successfully completed ASC within five (5) business days after qualified. courses consistent with AQB Criteria for taking such action in order for the c. Determination of Experience Time the appraiser credential sought, whether appraiser’s record on the Appraiser 71 Periods for initial credentialing, renewal, Registry to be updated appropriately. upgrade or reinstatement.62 When measuring the experience time 3. States must maintain adequate Experience period required by AQB Criteria, States documentation to support verification.63 1. States may not accept an affidavit must review each appraiser’s experience 4. States may not accept an affidavit for experience credit claimed from log and note the dates of the first and for education claimed from applicants applicants for any federally recognized last acceptable appraisal activity for any federally recognized credential.72 performed by the applicant. At a credential.64 2. States must ensure that appraiser minimum, the time period spanned 5. States may not accept an affidavit experience logs conform to AQB between those appraisal activities must for continuing education claimed from Criteria.73 comply with the AQB Criteria. applicants for reinstatement.65 3. States must use a reliable means of d. Supporting Documentation 6. States may accept affidavits for validating appraiser experience claims continuing education credit claimed for on all initial or upgrade applications for States must maintain adequate credential renewal so long as the State appraiser credentialing.74 documentation to support validation implements a reliable validation 4. States must select the work product methods. The applicant’s file, either procedure.66 to be analyzed for USPAP compliance electronic or paper, must include the 7. Audits of affidavits for continuing on all initial or upgrade applications for information necessary to identify each education credit claimed must be appraiser credentialing.75 appraisal assignment selected and completed within sixty (60) business 5. States must analyze a analyzed by the State, notes, letters and/ days from the date the credential is representative sample of the applicant’s or reports prepared by the official(s) scheduled for renewal (based on the claimed hours and work product on all evaluating the report for USPAP credential’s expiration date).67 initial or upgrade applications for compliance, and any correspondence 8. In the case of a renewal being appraiser credentialing.76 exchanged with the applicant regarding processed after the credential’s 6. States must exercise due diligence the appraisals submitted. This expiration date, but within the State’s in determining whether submitted supporting documentation may be allowed grace period for a late renewal, documentation of experience or work discarded upon the completion of the the State must establish a reliable product demonstrates compliance with first ASC Compliance Review performed process to audit affidavits for continuing USPAP on all initial or upgrade after the credential issuance or denial education (e.g., requiring applications for appraiser for that applicant. documentation of all continuing credentialing.77 68 7. Persons analyzing work product for E. Examination education). 9. States are required to take remedial USPAP compliance must be States must ensure that an appropriate action when it is determined that more knowledgeable about appraisal practice AQB-approved qualifying examination than ten percent of audited appraiser’s and USPAP, and States must be able to is administered for each of the federally affidavits for continuing education document how such persons are so recognized appraiser classifications qualified.78 requiring an examination. 59 Title XI § 1118(a), 12 U.S.C. 3347; AQB Real F. Summary of Requirements Property Appraiser Qualification Criteria. 69 Id. 60 Title XI § 1118(a), 12 U.S.C. 3347. 70 Id. Processing of Applications 61 Id. 71 Id. 1. States must process applications in 62 Id. 72 Id. 63 73 a consistent, equitable and well- Title XI § 1118(a), 12 U.S.C. 3347. Title XI § 1118(a), 12 U.S.C. 3347; AQB Real 64 Property Appraiser Qualification Criteria. 58 Id. documented manner. 65 Id. 74 Title XI § 1118(a), 12 U.S.C. 3347. 2. States must ensure appraiser 66 Title XI § 1118(a), 12 U.S.C. 3347; AQB Real 75 Title XI § 1118(a), 12 U.S.C. 3347. credential applications submitted for Property Appraiser Qualification Criteria. 76 Id. 67 Title XI § 1118(a), 12 U.S.C. 3347. 77 Id. 58 Title XI § 1118(a), 12 U.S.C. 3347. 68 Id. 78 Id.

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Examination a. The appraiser is coming from a D. Well-Documented Application Files 1. States must ensure that an State that is ‘‘in compliance’’; AND States must obtain and maintain appropriate AQB-approved qualifying b. (i) the appraiser holds a valid sufficient relevant documentation examination is administered for each of credential from that State; AND pertaining to an application for issuance the federally recognized credentials (ii) the credentialing requirements of of a credential by reciprocity so as to requiring an examination.79 that State (as they currently exist) meet enable understanding of the facts and or exceed those of the reciprocal determinations in the matter and the Policy Statement 5 credentialing State (as they currently reasons for those determinations. Reciprocity exist). E. Summary of Requirements A. Reciprocity Policy Example 1. Additional Requirements Imposed on Applicants 1. States must have a reciprocity Title XI contemplates the reasonably policy in place for issuing a reciprocal free movement of certified and licensed State A requires that prior to issuing credential to an appraiser from another appraisers across State lines. The ASC a reciprocal credential the applicant State under the conditions specified in monitors Appraiser Programs for must certify that disciplinary Title XI in order for the State’s compliance with the reciprocity proceedings are not pending against that appraisers to be eligible to perform provision of Title XI as amended by the applicant in any jurisdiction. Under appraisals for federally related Dodd-Frank Act.80 Title XI requires that b(ii) above, if this requirement is not transactions.85 in order for a State’s appraisers to be imposed on all of its own applicants for 2. States may be more lenient in the eligible to perform appraisals for credentialing, STATE A cannot impose issuance of reciprocal credentials by federally related transactions, the State this requirement on applicants for implementing a more open door policy; must have a policy in place for issuing reciprocal credentialing. however, States may not impose reciprocal credentials IF: Example 2. Credentialing Requirements additional impediments to issuance of a. The appraiser is coming from a reciprocal credentials.86 State (Home State) that is ‘‘in An appraiser is seeking a reciprocal 3. States must obtain and maintain compliance’’ with Title XI as credential in STATE A. The appraiser sufficient relevant documentation determined by the ASC; AND holds a valid credential in STATE Z, pertaining to an application for issuance b. (i) the appraiser holds a valid even though it was issued in 2007. This of a credential by reciprocity so as to credential from the Home State; AND satisfies b(i) above. However, in order to enable understanding of the facts and (ii) the credentialing requirements of satisfy b(ii), STATE A would evaluate determinations in the matter and the the Home State 81 meet or exceed those STATE Z’s credentialing requirements reasons for those determinations.87 of the reciprocal credentialing State as they currently exist to determine (Reciprocal State).82 whether they meet or exceed STATE A’s Policy Statement 6 An appraiser relying on a credential current requirements for credentialing. Education from a State that does not have such a Example 3. Multiple State Credentials AQB Criteria sets forth minimum policy in place may not perform requirements for appraiser education appraisals for federally related An appraiser credentialed in several courses. This Policy Statement transactions. A State may be more States is seeking a reciprocal credential in State A. That appraiser’s initial addresses proper administration of lenient in the issuance of reciprocal education requirements for compliance credentials by implementing a more credentials were obtained through examination in the original with AQB Criteria. (For requirements open door policy. However, States concerning qualifying and continuing credentialing State and through cannot impose additional impediments education in the application process, reciprocity in the additional States. to obtaining reciprocal credentials. see Policy Statement 4, Application For purposes of implementing the State A requires the applicant to provide Process.) reciprocity policy, States with an ASC a ‘‘letter of good standing’’ from the Finding 83 of ‘‘Poor’’ do not satisfy the State of original credentialing as a A. Course Approval ‘‘in compliance’’ provision for condition of granting a reciprocal States must ensure that approved reciprocity. Therefore, States are not credential. State A may not impose such appraiser education courses are required to recognize, for purposes of a requirement since Title XI does not consistent with AQB Criteria and granting a reciprocal credential, the distinguish between credentials maintain sufficient documentation to license or certification of an appraiser obtained by examination and support that approved appraiser credentialed in a State with an ASC credentials obtained by reciprocity for education courses conform to AQB Finding of ‘‘Poor.’’ purposes of granting reciprocal Criteria. credentials. B. Application of Reciprocity Policy States should ensure that course C. Appraiser Compliance Requirements approval expiration dates assigned by The following examples illustrate the State coincide with the endorsement application of reciprocity in a manner In order to maintain a credential period assigned by the AQB’s Course that complies with Title XI. The granted by reciprocity, appraisers must Approval Program or any other AQB- examples refer to the reciprocity policy comply with the credentialing State’s approved organization providing requiring issuance of a reciprocal policies, rules and statutes governing approval of course design and delivery. credential IF: appraisers, including requirements for States may not continue to accept AQB payment of certification and licensing approved courses after the AQB’s 79 Title XI § 1118(a), 12 U.S.C. 3347; AQB Real fees, as well as continuing education.84 expiration date unless the course Property Appraiser Qualification Criteria. content is reviewed and approved by 80 Title XI § 1122(b), 12 U.S.C. 3351. 84 A State may offer to accept continuing the State. 81 As they exist at the time of application for education (CE) for a renewal applicant who has reciprocal credential. satisfied CE requirements of a home State; however, 82 Id. a State may not impose this as a requirement for 85 Title XI § 1122(b), 12 U.S.C. 3351. 83 See Appendix A, Compliance Review Process, renewal, thereby imposing a requirement for the 86 Id. for an explanation of ASC Findings. renewal applicant to retain a home State credential. 87 Title XI § 1118(a), 12 U.S.C. 3347.

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States should ensure that educational complaints 93 and sanctioning States must analyze each complaint to providers are afforded equal treatment appraisers is administered in a timely, determine whether additional in all respects.88 States are encouraged effective, consistent, equitable, and violations, especially those relating to to accept courses approved by the well-documented manner. USPAP, should be added to the AQB’s Course Approval Program. complaint. 1. Timely Enforcement Closure of a complaint based solely B. Distance Education States must process complaints of on a State’s statute of limitations that States must ensure that distance appraiser misconduct or wrongdoing in results in dismissal of a complaint education courses meet AQB Criteria a timely manner to ensure effective without the investigation of the merits and that the delivery mechanism for supervision of appraisers, and when of the complaint is inconsistent with the distance education courses offered by a appropriate, that incompetent or Title XI requirement that States assure non-academic provider, including unethical appraisers are not allowed to effective supervision of the activities of secondary providers, has been approved continue their appraisal practice. credentialed appraisers.94 by an AQB-approved organization Absent special documented 3. Consistent and Equitable Enforcement providing approval of course design and circumstances, final administrative delivery. decisions regarding complaints must Absent specific documented facts or States may not continue to accept occur within one year (12 months) of considerations, substantially similar courses after the AQB-approved the complaint filing date. Special cases within a State should result in organization’s approval of course design documented circumstances are those similar dispositions. and delivery date has expired. extenuating circumstances (fully 4. Well-Documented Enforcement C. Summary of Requirements documented) beyond the control of the State agency that delays normal States must obtain and maintain 1. States must ensure that appraiser processing of a complaint such as: sufficient relevant documentation education courses are consistent with Complaints involving a criminal pertaining to a matter so as to enable AQB Criteria.89 investigation by a law enforcement understanding of the facts and 2. States must maintain sufficient agency when the investigative agency determinations in the matter and the documentation to support that approved requests that the State refrain from reasons for those determinations. appraiser courses conform to AQB proceeding; final disposition that has a. Complaint Files Criteria.90 been appealed to a higher court; Complaint files must: 3. States must ensure the delivery documented medical condition of the • Include documentation outlining mechanism for distance education respondent; ancillary civil litigation; the progress of the investigation; courses offered by a non-academic and complex cases that involve multiple • demonstrate that appraisal reports provider, including secondary individuals and reports. Such special are analyzed and any USPAP violations providers, has been approved by an documented circumstances also include are identified and considered, whether AQB-approved organization providing those periods when State rules require or not they were the subject of the approval of course design and referral of a complaint to another State delivery.91 complaint; entity for review and the State agency is • include rationale for the final Policy Statement 7 precluded from further processing of the outcome of the case (i.e., dismissal or complaint until it is returned. In that State Agency Enforcement imposition of discipline); circumstance, the State agency should • include documentation explaining A. State Agency Regulatory Program document the required referral and the any delay in processing, investigation or time period during which the complaint Title XI requires the ASC to monitor adjudication; was not under its control or authority. the States for the purpose of • contain documentation that all determining whether the State processes 2. Effective Enforcement ordered or agreed upon discipline, such complaints and completes as probation, fine, or completion of Effective enforcement requires that investigations in a reasonable time education is tracked and that States investigate allegations of period, appropriately disciplines completion of all terms is confirmed; appraiser misconduct or wrongdoing, sanctioned appraisers and maintains an and and if allegations are proven, take effective regulatory program.92 • be organized in a manner that appropriate disciplinary or remedial allows understanding of the steps taken B. Enforcement Process action. Dismissal of an alleged violation throughout the complaint, investigation, States must ensure that the system for solely due to an ‘‘absence of harm to the and adjudicatory process. processing and investigating public’’ is inconsistent with Title XI. Financial loss or the lack thereof is not b. Complaint Logs an element in determining whether 88 For example: States must track all complaints using (1) Consent agreements requiring additional there is a violation. The extent of such a complaint log. The complaint log must education should not specify a particular course loss, however, may be a factor in record all complaints, regardless of their provider when there are other providers on the determining the appropriate level of procedural status in the investigation State’s approved course listing offering the same discipline. and/or resolution process, including course; and (2) courses from professional organizations Persons analyzing complaints for complaints pending before the State should not be automatically approved and/or USPAP compliance must be board, Office of the Attorney General, approved in a manner that is less burdensome than knowledgeable about appraisal practice other law enforcement agencies, and/or the State’s normal approval process. and USPAP and States must be able to offices of administrative hearings. 89 Title XI § 1118(a), 12 U.S.C. 3347; AQB Real The complaint log must include the Property Appraiser Qualification Criteria. document how such persons are so 90 Title XI § 1118(a), 12 U.S.C. 3347. qualified. following information (States are 91 Title XI § 1118(a), 12 U.S.C. 3347; AQB Real strongly encouraged to maintain this Property Appraiser Qualification Criteria. 93 See Appendix B, Glossary of Terms, for the 92 Title XI § 1118(a), 12 U.S.C. 3347. definition of ‘‘complaint.’’ 94 Title XI § 1117, 12 U.S.C. 3346.

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information in an electronic, sortable Part B: AMC Program However, if a participating State has a format): more expansive definition of AMCs than Policy Statement 8 1. Case number in Title XI (thereby encompassing State 2. Name of respondent Statutes, Regulations, Policies and regulation of AMCs that are not within 3. Actual date the complaint was Procedures Governing State AMC the Title XI definition of AMC), the received by the State Programs State must ensure such AMCs are 4. Source of complaint (e.g., consumer, A. Participating States and ASC identified as such in the State database, lender, AMC, bank regulator, Oversight just as States currently do for non- appraiser, hotline) or name of federally recognized credentials or complainant States are not required to establish an designations. Only those AMCs that 5. Current status of the complaint AMC registration and supervision meet the Federal definition of AMC will 6. Date the complaint was closed (e.g., program. For those States electing to be eligible to be on the AMC Registry. participate in the registration and final disposition by the C. Funding and Staffing administrative hearing agency, supervision of AMCs (participating Office of the Attorney General, State States), ASC staff will informally The Dodd-Frank Act amended Title Appraiser Regulatory Agency or monitor the State’s progress to XI to require the ASC to determine Court of Appeals) implement the requirements of Title XI whether participating States have 102 7. Method of disposition (e.g., dismissal, and the AMC Rule. Formal ASC sufficient funding and staffing to meet letter of warning, consent order, oversight of State AMC Programs will their Title XI requirements. Compliance final order) begin at the next regularly scheduled with this provision requires that a State 8. Terms of disposition (e.g., probation, Compliance Review of a State after the must provide its AMC Program with fine, education, mentorship) following occurs: funding and staffing sufficient to carry 9. In the case of open complaints, the 1. A State decides to be a participating out its Title XI-related duties. The ASC most recent activity and date State pursuant to the AMC Rule; evaluates the sufficiency of funding and thereof (e.g., respondent’s response 2. A State establishes an AMC staffing as part of its review of all to complaint received, contacted program in accordance with the AMC aspects of an AMC Program’s AG for a status update, Board voted Rule; and effectiveness, including the adequacy of to offer a consent agreement) 3. A State begins reporting to the State boards, committees, or National Registry of AMCs (AMC C. Summary of Requirements commissions responsible for carrying Registry). out Title XI-related duties. 1. States must maintain relevant Formal ASC oversight will consist of documentation to enable understanding evaluating AMC Programs in D. Minimum Requirements for of the facts and determinations in the participating States during the Registration and Supervision of AMCs matter and the reasons for those Compliance Review process to as Established by the AMC Rule determinations.95 determine compliance or lack thereof 1. AMC Registration and Supervision 2. States must resolve all complaints with Title XI, and to assess filed against appraisers within one year implementation of the minimum If a State chooses to participate in the (12 months) of the complaint filing date, requirements for State registration and registration and supervision of AMCs in except for special documented supervision of AMCs as established by accordance with the AMC Rule, the circumstances.96 the AMC Rule. Upon expiration of the State will be required to comply with 3. States must ensure that the system statutory implementation period (see the minimum requirements set forth in for processing and investigating Policy Statement 11, Statutory the AMC Rule. States should refer to the complaints and sanctioning appraisers Implementation Period), Compliance AMC Rule for compliance is administered in an effective, Reviews will include ASC oversight of requirements 104 as this Policy consistent, equitable, and well- AMC Programs for any participating Statement merely summarizes what the documented manner.97 State. AMC Rule requires of participating States. 4. States must track complaints of B. Relation to State Law alleged appraiser misconduct or (a) The AMC Rule includes wrongdoing using a complaint log.98 Participating States may establish requirements for participating States to 5. States must appropriately requirements in addition to those in the establish and maintain within the State document enforcement files and include AMC Rule. appraiser certifying and licensing rationale.99 Participating States may also have a agency an AMC Program with the legal 6. States must regulate, supervise and more expansive definition of AMCs.103 authority and mechanisms to: discipline their credentialed (1) Review and approve or deny AMC appraisers.100 102 Title XI § 1103(a)(1)(B), 12 U.S.C. 3332. AMC Rule means the interagency final rule on minimum initial registration applications and/or 7. Persons analyzing complaints for requirements for State registration and supervision renewals for registration; USPAP compliance must be of AMCs (12 CFR 34.210–34.216; 12 CFR 225.190– (2) Examine records of AMCs and 225.196; 12 CFR 323.8–323.14; 12 CFR 1222.20– knowledgeable about appraisal practice require AMCs to submit information; and USPAP, and States must be able to 1222.26. 103 Title XI as amended by the Dodd-Frank Act (3) Verify that appraisers on AMCs’ document how such persons are so defines ‘‘appraisal management company’’ to mean, panels hold valid State credentials; qualified.101 in part, an external third party that oversees a network or panel of more than 15 appraisers (State 95 Title XI § 1118(a), 12 U.S.C. 3347. certified or licensed) in a State, or 25 or more size thresholds of the Title XI definition of AMC. If a State has a more expansive regulatory 96 Id. appraisers nationally (two or more States) within a given year. (12 U.S.C. 3350(11)). Title XI as framework that covers entities that provide 97 Id. amended by the Dodd-Frank Act also allows States appraisal management services but do not meet the 98 Id. to adopt requirements in addition to those in the Title XI definition of AMC, the State should only 99 Id. AMC Rule. (12 U.S.C. 3353(b)). For example, States submit information regarding AMCs meeting the 100 Id. may decide to supervise entities that provide Title XI definition to the AMC Registry. 101 Id. appraisal management services, but do not meet the 104 See footnote 102.

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(4) Conduct investigations of AMCs to cause,106 as determined by the State 4. Only those AMCs that meet the assess potential violations of appraisal- appraiser certifying and licensing Federal definition of AMC will be related laws, regulations, or orders; agency. A State’s process for review eligible to be on the AMC Registry. (5) Discipline, suspend, terminate, or could, for example, be by questionnaire, Therefore, participating States that have deny renewal of the registration of an or affidavit, or background screening, or a more expansive definition of AMCs AMC that violates appraisal-related otherwise. States must document to the than in the AMC Rule must ensure such laws, regulations, or orders; and file the State’s method of review and the non-Federally recognized AMCs are (6) Report an AMC’s violation of result. identified as such in the State appraisal-related laws, regulations, or database.111 B. Good Moral Character of Owners orders, as well as disciplinary and 5. States must have funding and enforcement actions and other relevant An AMC shall not be registered by a staffing sufficient to carry out their Title information about an AMC’s operations, State if any person that owns more than XI-related duties.112 to the ASC. 10 percent of the AMC— Policy Statement 9 (b) The AMC Rule includes (1) Is determined by the State not to requirements for participating States to have good moral character; or National Registry of AMCs (AMC impose requirements on AMCs that are (2) Fails to submit to a background Registry) 105 investigation carried out by the State. not Federally regulated AMCs to: A. Requirements for the AMC Registry (1) Register with and be subject to A State’s process for review could, for supervision by the State appraiser example, be by questionnaire, or Title XI requires the ASC to maintain certifying and licensing agency; affidavit, or background screening, or the AMC Registry of AMCs that are (2) Engage only State-certified or otherwise. The ASC would expect either registered with and subject to State-licensed appraisers for federally written documentation of the State’s supervision of a participating State or related transactions in conformity with method of review and the result. are operating subsidiaries of a Federally any federally related transaction regulated financial institution.113 Title 3. Requirements for Federally Regulated XI further requires the States to transmit regulations; AMCs (3) Establish and comply with to the ASC: (1) Reports on a timely basis processes and controls reasonably Participating States are not required to of supervisory activities involving designed to ensure that the AMC, in identify Federally regulated AMCs 107 AMCs, including investigations engaging an appraiser, selects an operating in their States, but rather the resulting in disciplinary action being appraiser who is independent of the Federal financial institution regulatory taken; and (2) the registry fee as set by transaction and who has the requisite agencies are responsible for requiring the ASC 114 from AMCs that are either education, expertise, and experience such AMCs to identify themselves to registered with a participating State or necessary to competently complete the participating States and report required are Federally regulated AMCs.115 appraisal assignment for the particular information. As with appraiser registry fees, Title market and property type; A Federally regulated AMC shall not XI, § 1109(a)(4)(b) requires the AMC (4) Direct the appraiser to perform the be included on the AMC Registry if such registry fee to be collected by each assignment in accordance with USPAP; AMC, in whole or in part, directly or participating State and transmitted to and indirectly, is owned by any person who the ASC. Therefore, as with appraisers, (5) Establish and comply with has had an appraiser license or an AMC will pay a registry fee in each processes and controls reasonably certificate refused, denied, cancelled, participating State in which the AMC designed to ensure that the AMC surrendered in lieu of revocation, or operates. As with appraisers, an AMC conducts its appraisal management revoked in any State for a substantive operating in multiple participating services in accordance with the cause, as determined by the ASC. States will pay a registry fee in multiple States in order to be on the AMC requirements of section 129E(a) through E. Summary of Requirements (i) of the Truth in Lending Act, 15 Registry for each State. U.S.C. 1639e(a) through (i), and 1. Participating States must establish States must notify the ASC as soon as regulations thereunder. and maintain an AMC Program with the practicable if an AMC listed on the legal authority and mechanisms AMC Registry is no longer registered 2. Ownership Limitations for State- consistent with the AMC Rule.108 with or operating in the State. The ASC Registered AMCs 2. Participating States must impose extranet application allows States to A. Appraiser Certification or Licensing requirements on AMCs consistent with update their AMC information directly of Owners the AMC Rule.109 to the AMC Registry. 3. Participating States must enforce An AMC subject to State registration and document ownership limitations for B. Registry Fee and Invoicing Policies shall not be registered by a State or State-registered AMCs.110 Each State must remit to the ASC the included on the AMC Registry if such annual registry fee, as set by the ASC, AMC, in whole or in part, directly or 106 An AMC subject to State registration is not for AMCs to be listed on the AMC indirectly, is owned by any person who barred from being registered by a State or included Registry. Requests to prorate refunds or on the AMC Registry of AMCs if the license or has had an appraiser license or partial-year registrations will not be certificate refused, denied, cancelled, certificate of the appraiser with an ownership interest was not revoked for a substantive cause and granted. If a State collects multiple-year surrendered in lieu of revocation, or has been reinstated by the State or States in which fees for multiple-years, the State may revoked in any State for a substantive the appraiser was licensed or certified. (12 CFR choose to remit to the ASC the total 34.210–34.216; 12 CFR 225.190–225.196; 12 CFR 323.8 –323.14; 12 CFR 1222.20–1222.26). amount of the multiple-year registry fees 105 ‘‘Federally regulated AMCs,’’ meaning AMCs 107 that are subsidiaries owned and controlled by an See footnote 105. 108 111 Title XI § 1118(b), 12 U.S.C. 3347. insured depository institution or an insured credit 12 CFR 34.210–34.216; 12 CFR 225.190– 112 union and regulated by a Federal financial 225.196; 12 CFR 323.8–323.14; 12 CFR 1222.20– Id. institutions regulatory agency, are not required to 1222.26. 113 Title XI § 1103(a)(6), 12 U.S.C. 3332. register with the State (Title XI § 1124(c), 12 U.S.C. 109 Id. 114 Title XI § 1109(a)(4), 12 U.S.C. 3338. 3353(c)). 110 Id. 115 Title XI § 1109(a)(3) and (4), 12 U.S.C. 3338.

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or the equivalent annual fee amount. the disciplinary action is final, as ensure effective supervision of AMCs. The ASC will, however, record AMCs determined by State law.118 Absent special documented on the AMC Registry only for the 3. States not reporting via the extranet circumstances, final administrative number of years for which the ASC has application must provide, in writing to decisions regarding complaints must received payment. States must reconcile the ASC, a description of the occur within one year (12 months) of and pay registry invoices in a timely circumstances preventing compliance the complaint filing date. Special manner (45 calendar days after receipt with this requirement.119 documented circumstances are those of the invoice). 4. For the most serious disciplinary extenuating circumstances (fully actions (e.g., any action that interrupts documented) beyond the control of the C. Reporting Requirements an AMC’s ability to provide appraisal State agency that delays normal State agencies must report all management services), the AMC’s status processing of a complaint such as: disciplinary action 116 taken against an must be changed on the AMC Registry Complaints involving a criminal AMC to the ASC via the extranet to ‘‘inactive.’’ 120 investigation by a law enforcement application within 5 business days after 5. States must notify the ASC as soon agency when the investigative agency the disciplinary action is final, as as practicable if an AMC listed on the requests that the State refrain from determined by State law. States not AMC Registry is no longer registered proceeding; final disposition that has reporting via the extranet application with or operating in the State. been appealed to a higher court; must provide, in writing to the ASC, a 6. States must designate a senior documented medical condition of the official, such as an executive director, description of the circumstances respondent; ancillary civil litigation; who will serve as the State’s Authorized preventing compliance with this and complex fraud cases that involve Registry Official, and provide to the requirement. For the most serious multiple individuals and reports. Such ASC, in writing, information regarding disciplinary actions (e.g., any action that special documented circumstances also the selected Authorized Registry interrupts an AMCs ability to provide include those periods when State rules Official, and any individual(s) appraisal management services), the 121 require referral of a complaint to AMCs status must be changed on the authorized to act on their behalf. 7. States using the ASC extranet another State entity for review and the AMC Registry to ‘‘inactive.’’ A Federally application must implement written State agency is precluded from further regulated AMC operating in a State must policies to ensure that all personnel processing of the complaint until it is report to the State the information with access to the AMC Registry protect returned. In that circumstance, the State required to be submitted by the State to the right of access and not share the agency should document the required the ASC, pursuant to the ASC’s policies User Name or Password with anyone.122 referral and the time period during regarding the determination of the AMC 8. States must ensure the accuracy of which the complaint was not under its Registry fee. all data submitted to the AMC control or authority. D. Access to AMC Registry Data Registry.123 2. Effective Enforcement The ASC Web site provides free Policy Statement 10 Effective enforcement requires that access to the public portion of the AMC State Agency Enforcement States investigate complaints, and if Registry at www.asc.gov. The public allegations are proven, take appropriate portion of the AMC Registry data may A. State Agency Regulatory Program disciplinary or remedial action. be downloaded using predefined Title XI requires the ASC to monitor 3. Consistent and Equitable Enforcement queries or user-customized applications. the States for the purpose of Access to the full database, which determining whether the State processes Absent specific documented facts or includes non-public data (e.g., certain complaints and completes considerations, substantially similar disciplinary action information), is investigations in a reasonable time cases within a State should result in restricted to authorized State and period, appropriately disciplines similar dispositions. Federal regulatory agencies. States must sanctioned AMCs and maintains an 4. Well-Documented Enforcement designate a senior official, such as an effective regulatory program.124 executive director, to serve as the State’s States must obtain and maintain B. Enforcement Process Authorized Registry Official, and sufficient relevant documentation provide to the ASC, in writing, States must ensure that the system for pertaining to a matter so as to enable information regarding the designated processing and investigating understanding of the facts and Authorized Registry Official. States complaints 125 and sanctioning AMCs is determinations in the matter and the must ensure that the authorization administered in a timely, effective, reasons for those determinations. information provided to the ASC is consistent, equitable, and well- a. Complaint Files updated and accurate. documented 126 manner. Complaint files must: E. Summary of Requirements 1. Timely Enforcement • Include documentation outlining States must process complaints the progress of the investigation; 1. States must reconcile and pay • registry invoices in a timely manner (45 against AMCs in a timely manner to include rationale for the final calendar days after receipt of the outcome of the case (i.e., dismissal or invoice).117 118 Title XI § 1118(a), 12 U.S.C. 3347. imposition of discipline); 119 • 2. State agencies must report all Id. include documentation explaining 120 Id. disciplinary action taken against an any delay in processing, investigation or 121 Id. adjudication; AMC to the ASC via the extranet 122 Id. • contain documentation that all application within 5 business days after 123 Id. ordered or agreed upon discipline is 124 Title XI § 1118(a), 12 U.S.C. 3347. tracked and that completion of all terms 116 See Appendix B, Glossary of Terms, for the 125 See Appendix B, Glossary of Terms, for the is confirmed; and definition of ‘‘disciplinary action.’’ definition of ‘‘complaint.’’ • 117 Title XI § 1118(a), 12 U.S.C. 3347; Title XI 126 See Appendix B, Glossary of Terms, for the be organized in a manner that § 1109(a), 12 U.S.C. 3338. definition of ‘‘well-documented.’’ allows understanding of the steps taken

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throughout the complaint, investigation, 5. States must appropriately exercise by the ASC of its authority to and adjudicatory process. document enforcement files and include impose interim sanction(s) on State rationale.131 agencies. b. Complaint Logs States must track all complaints using Policy Statement 11 B. Opportunity To Be Heard or Correct a complaint log. The complaint log must Statutory Implementation Period Conditions record all complaints, regardless of their Title XI and the AMC Rule set forth The ASC shall provide the State procedural status in the investigation the statutory implementation period.132 agency with: and/or resolution process, including The AMC Rule was effective on August 1. Written notice of intention to complaints pending before the State 9, 2015. As of 36 months from that date impose an interim sanction; and board, Office of the Attorney General, (August 9, 2018), an AMC may not 2. opportunity to respond or to correct other law enforcement agencies, and/or provide appraisal management services the conditions causing such notice to offices of administrative hearings. The for a federally related transaction in a the State. Notice and opportunity to complaint log must include the non-participating State unless the AMC respond or correct the conditions shall following information (States are is a Federally regulated AMC. Appraisal be in accordance with section C, strongly encouraged to maintain this management services may still be Procedures. information in an electronic, sortable provided for federally related format): C. Procedures transactions in non-participating States This section prescribes the ASC’s 1. Case number by individual appraisers, by AMCs that procedures which will be followed in 2. Name of respondent are below the minimum statutory panel 3. Actual date the complaint was arriving at a decision by the ASC to size threshold, and as noted, by received by the State impose an interim sanction against a 4. Source of complaint (e.g., consumer, Federally regulated AMCs. The ASC, with the approval of the State agency. lender, AMC, bank regulator, Federal Financial Institutions appraiser, hotline) or name of 1. Notice Examination Council (FFIEC), may complainant The ASC shall provide a written extend this statutory implementation 5. Current status of the complaint Notice of intention to impose an interim period for an additional 12 months if 6. Date the complaint was closed (e.g., sanction (Notice) to the State agency. the ASC makes a finding that a State has final disposition by the The Notice shall contain the ASC’s made substantial progress toward administrative hearing agency, analysis as required by Title XI of the implementing a registration and Office of the Attorney General, State State’s licensing and certification of supervision program for AMCs that AMC Program or Court of Appeals) appraisers, the registration of AMCs, the meets the standards of Title XI.133 7. Method of disposition (e.g., dismissal, issuance of temporary licenses and letter of warning, consent order, Part C: Interim Sanctions certifications for appraisers, the final order) receiving and tracking of submitted Policy Statement 12 8. Terms of disposition (e.g., probation, complaints against appraisers and fine) Interim Sanctions AMCs, the investigation of complaints, 9. In the case of open complaints, the and enforcement actions against most recent activity and date A. Authority appraisers and AMCs.137 The ASC shall thereof (e.g. respondent’s response Title XI grants the ASC authority to verify the State’s date of receipt, and to complaint received, contacted impose sanctions on a State that fails to publish both the Notice and the State’s Attorney General for a status have an effective Appraiser or AMC date of receipt in the Federal Register. update, Board voted to offer a Program.134 The ASC may remove a consent agreement) State credentialed appraiser or a 2. State Agency Response C. Summary of Requirements registered AMC from the Appraiser or Within 15 days of receipt of the AMC Registry on an interim basis, not 1. States must maintain relevant Notice, the State may submit a response to exceed 90 days, pending State agency to the ASC’s Executive Director. documentation to enable understanding action on licensing, certification, of the facts and determinations in the Alternatively, a State may submit a registration and disciplinary Notice Not to Contest with the ASC’s matter and the reasons for those proceedings as an alternative to or in determinations.127 Executive Director. The filing of a advance of a non-recognition Notice Not to Contest shall not 2. States must resolve all complaints proceeding.135 In determining whether filed against appraisers within one year constitute a waiver of the right to a an Appraiser or AMC Program is judicial review of the ASC’s decision, (12 months) of the complaint filing date, effective, the ASC shall conduct an except for special documented findings and conclusions. Failure to file 128 analysis as required by Title XI. An ASC a Response within 15 days shall circumstances. Finding of Poor on the Compliance 3. States must ensure that the system constitute authorization for the ASC to Review Report 136 issued to a State at for processing and investigating find the facts to be as presented in the the conclusion of an ASC Compliance complaints and sanctioning AMCs is Notice and analysis. The ASC, for good Review may trigger an analysis by the administered in an effective, consistent, cause shown, may permit the filing of a ASC for potential interim sanction(s). equitable, and well-documented Response after the prescribed time. The following provisions apply to the manner.129 3. Briefs, Memoranda and Statements 4. States must track complaints of 131 alleged appraiser misconduct or Id. Within 45 days after the date of 132 Title XI § 1124(f)(1), 12 U.S.C. 3353 and 12 130 receipt by the State agency of the Notice wrongdoing using a complaint log. CFR 34.210–34.216; 12 CFR 225.190–225.196; 12 CFR 323.8–323.14; 12 CFR 1222.20–1222.26. as published in the Federal Register, the 127 Title XI § 1118(a), 12 U.S.C. 3347. 133 Title XI § 1124(f)(2), 12 U.S.C. 3353. State agency may file with the ASC’s 128 Id. 134 Title XI § 1118(a), 12 U.S.C. 3347. Executive Director a written brief, 129 Id. 135 Id. 130 Id. 136 See Appendix A—Compliance Review Process. 137 Title XI § 1118(a), 12 U.S.C. 3347.

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memorandum or other statement (d) Rules of Evidence including actions for declaratory providing factual data and policy and Except as is otherwise set forth in this judgments or writs of prohibitory or legal arguments regarding the matters section, relevant material and reliable mandatory injunction in a court of 139 set out in the Notice and analysis. evidence that is not unduly repetitive is competent jurisdiction. 4. Oral Presentations to the ASC admissible to the fullest extent Appendices authorized by the Administrative Within 45 days after the date of Procedure Act (5 U.S.C. 551–559) and Appendix A—Compliance Review Process receipt by the State agency of the Notice other applicable law. The ASC monitors State Appraiser and as published in the Federal Register, the AMC Programs for compliance with Title XI. State may file a request with the ASC’s 6. Decision of the ASC and Judicial The monitoring of State Programs is largely Executive Director to make oral Review accomplished through on-site visits known presentation to the ASC. If the State has Within 90 days after the date of as a Compliance Review (Review). A Review filed a request for oral presentation, the receipt by the State agency of the Notice is conducted over a two- to four-day period, matter shall be heard within 45 days. as published in the Federal Register, or and is scheduled to coincide with a meeting An oral presentation shall be considered in the case of oral presentation having of the Program’s decision-making body as an opportunity to offer, emphasize been granted, within 30 days after whenever possible. ASC staff reviews the and clarify the facts, policies and laws presentation, the ASC shall issue a final Appraiser Program and the seven compliance concerning the proceeding, and is not a decision, findings and conclusions and areas addressed in Policy Statements 1 138 Meeting of the ASC. On the shall publish the decision promptly in through 7. ASC staff reviews a participating appropriate date and time, the State the Federal Register. The final decision State’s AMC Program and the four compliance areas addressed in Policy agency will make the oral presentation shall be effective on issuance. The before the ASC. Any ASC member may Statements 8 through 11. Sufficient ASC’s Executive Director shall ensure documentation demonstrating compliance ask pertinent questions relating to the prompt circulation of the decision to the content of the oral presentation. Oral must be maintained by a State and made State agency. A final decision of the available for inspection during the Review. presentations will not be recorded or ASC is a prerequisite to seeking judicial otherwise transcribed. Summary notes ASC staff reviews a sampling of review. documentation in each of the compliance will be taken by ASC staff and made 7. Computing Time areas. The sampling is intended to be part of the record on which the ASC representative of a State Program in its shall decide the matter. Time computation is based on entirety. 5. Conduct of Interim Sanction business days. The date of the act, event Based on the Review, ASC staff provides Proceedings or default from which the designated the State with an ASC staff report for the period of time begins to run is not Appraiser Program, and if applicable, an ASC (a) Written Submissions included. The last day is included staff report for the AMC Program, detailing All aspects of the proceeding shall be unless it is a Saturday, Sunday, or preliminary findings. The State is given 60 conducted by written submissions, with Federal holiday, in which case the days to respond to the ASC staff report(s). At the exception of oral presentations period runs until the end of the next day the conclusion of the Review, a Compliance allowed under subsection 4 above. which is not a Saturday, Sunday or Review Report (Report) is issued to the State Federal holiday. for the Appraiser Program, and if applicable, (b) Disqualification a Report is also issued for the AMC Program, An ASC member who deems himself 8. Documents and Exhibits with the ASC Finding on each Program’s or herself disqualified may at any time Unless otherwise provided by statute, overall compliance, or lack thereof, with withdraw. Upon receipt of a timely and all documents, papers and exhibits filed Title XI. Deficiencies resulting in non- sufficient affidavit of personal bias or in connection with any proceeding, compliance in any of the compliance areas disqualification of such member, the other than those that may be withheld are cited in the Report. ‘‘Areas of Concern’’ which potentially expose a Program to ASC will rule on the matter as a part of from disclosure under applicable law, compliance issues in the future are also the record. shall be placed by the ASC’s Executive addressed in the Report. The ASC’s final Director in the proceeding’s file and will (c) Authority of ASC Chairperson disposition is based upon the ASC staff be available for public inspection and report, the State’s response and staff’s The Chairperson of the ASC, in copying. recommendation. consultation with other members of the 9. Judicial Review The following chart provides an ASC whenever appropriate, shall have explanation of the ASC Findings and rating complete charge of the proceeding and A decision of the ASC under this criteria for each ASC Finding category. The shall have the duty to conduct it in a fair section shall be subject to judicial ASC Finding places particular emphasis on and impartial manner and to take all review. The form of proceeding for whether the State is maintaining an effective necessary action to avoid delay in the judicial review may include any regulatory Program in compliance with Title disposition of proceedings. applicable form of legal action, XI.

ASC finding Rating criteria Review cycle *

Excellent ...... • State meets all Title XI mandates and complies with requirements of ASC Policy Two-year. Statements. • State maintains a strong regulatory Program. • Very low risk of Program failure.

138 The proceeding is more in the nature of a brief the ASC—to offer, emphasize and clarify the Additional consideration is given to the fact that Briefing not subject to open meeting requirements. facts, policies and laws concerning the proceeding, this stage of the proceeding is pre-decisional. The presentation is an opportunity for the State to and for the ASC members to ask questions. 139 5 U.S.C. 703—Form and venue of proceeding.

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ASC finding Rating criteria Review cycle *

Good ...... • State meets the majority of Title XI mandates and complies with the majority of Two-year. ASC Policy Statement requirements. • Deficiencies are minor in nature. • State is adequately addressing deficiencies identified and correcting them in the normal course of business. • State maintains an effective regulatory Program. • Low risk of Program failure. Needs Improvement ...... • State does not meet all Title XI mandates and does not comply with all require- Two-year with additional ments of ASC Policy Statements. monitoring. • Deficiencies are material but manageable and if not corrected in a timely manner pose a potential risk to the Program. • State may have a history of repeated deficiencies but is showing progress toward correcting deficiencies. • State regulatory Program needs improvement. • Moderate risk of Program failure. Not Satisfactory ...... • State does not meet all Title XI mandates and does not comply with all require- One-year. ments of ASC Policy Statements. • Deficiencies present a significant risk and if not corrected in a timely manner pose a well-defined risk to the Program. • State may have a history of repeated deficiencies and requires more supervision to ensure corrective actions are progressing. • State regulatory Program has substantial deficiencies. • Substantial risk of Program failure. Poor 140 ...... • State does not meet Title XI mandates and does not comply with requirements of Continuous monitoring. ASC Policy Statements. • Deficiencies are significant and severe, require immediate attention and if not cor- rected represent critical flaws in the Program. • State may have a history of repeated deficiencies and may show a lack of willing- ness or ability to correct deficiencies. • High risk of Program failure. * (Program history or nature of deficiency may warrant a more accelerated Review Cycle.)

The ASC has two primary Review Cycles: be required where a deficiency is identified and certification of real property appraisers, Two-year and one-year. Most States are and reports on required or agreed upon and minimum requirements for ‘‘Trainee’’ scheduled on a two-year Review Cycle. States corrective actions are required monthly or and ‘‘Supervisory’’ appraisers. may be moved to a one-year Review Cycle if quarterly. Additional monitoring may Assignment: As referenced herein, for the ASC determines more frequent on-site include on-site monitoring as well as off-site purposes of temporary practice, Reviews are needed to ensure that the State monitoring. ‘‘assignment’’ means one or more real estate maintains an effective Program. Generally, appraisals and written appraisal report(s) States are placed on a one-year Review Cycle Appendix B—Glossary of Terms covered by a single contractual agreement. because of non-compliance issues or serious Appraisal management company (AMC): Complaint: As referenced herein, any areas of concerns that warrant more frequent Refers to, in connection with valuing document filed with, received by, or serving on-site visits. Both two-year and one-year properties collateralizing mortgage loans or as the basis for possible inquiry by the State Review Cycles include a review of all aspects mortgages incorporated into a securitization, agency regarding alleged violation of Title XI, of the State’s Program. any external third party authorized either by Federal or State law or regulation, or USPAP The ASC may conduct Follow-up Reviews a creditor of a consumer credit transaction by a credentialed appraiser or appraiser and additional monitoring. A Follow-up secured by a consumer’s principal dwelling applicant, for allegations of unlicensed Review focuses only on specific areas or by an underwriter of or other principal in appraisal activity, or complaints involving identified during the previous on-site the secondary mortgage markets, that AMCs. A complaint may be in the form of a Review. Follow-up Reviews usually occur oversees a network or panel of more than 15 referral, letter of inquiry, or other document within 6–12 months of the previous Review. certified or licensed appraisers in a State or alleging misconduct or wrongdoing. In addition, as a risk management tool, ASC 25 or more nationally within a given year— Credentialed appraisers: Refers to State staff identifies State Programs that may have (A) To recruit, select, and retain appraisers; licensed, certified residential or certified a significant impact on the nation’s appraiser (B) to contract with licensed and certified general appraiser classifications. regulatory system in the event of Title XI appraisers to perform appraisal assignments; Disciplinary action: As referenced herein, compliance issues. For States that represent (C) to manage the process of having an corrective or punitive action taken by or on a significant percentage of the credentials on appraisal performed, including providing behalf of a State agency which may be formal the Appraiser Registry, ASC staff performs administrative duties such as receiving or informal, or may be consensual or annual on-site Priority Contact visits. The appraisal orders and appraisal reports, involuntary, resulting in any of the following: primary purpose of the Priority Contact visit is to review topical issues, evaluate submitting completed appraisal reports to a. Revocation of credential or registration regulatory compliance issues, and maintain a creditors and underwriters, collecting fees b. suspension of credential or registration close working relationship with the State. from creditors and underwriters for services c. written consent agreements, orders or This is not a complete Review of the provided, and reimbursing appraisers for reprimands Program. The ASC will also schedule a services performed; or d. probation or any other restriction on the Priority Contact visit for a State when a (D) to review and verify the work of use of a credential specific concern is identified that requires appraisers. e. fine special attention. Additional monitoring may AQB Criteria: Refers to the Real Property f. voluntary surrender 141 Appraiser Qualification Criteria as 140 An ASC Finding of ‘‘Poor’’ may result in established by the Appraiser Qualifications 141 A voluntary surrender that is not deemed significant consequences to the State. See Policy Board of the Appraisal Foundation setting disciplinary by State law or regulation, or is not Statement 5, Reciprocity; see also Policy Statement forth minimum education, experience and related to any disciplinary process need not be 12, Interim Sanctions. examination requirements for the licensure reported as discipline provided the individual’s

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g. other acts as defined by State statute or documentation pertaining to a matter so as to Virginia Commonwealth Bank, regulation as disciplinary enable understanding of the facts and Petersburg, Virginia. With the exception of voluntary surrender, determinations in the matter and the reasons Board of Governors of the Federal Reserve suspension or revocation, such action may be for those determinations. System, January 4, 2017. exempt from reporting to the National * * * * * Registry if defined by State statute, regulation Yao-Chin Chao, or written policy as ‘‘non-disciplinary.’’ By the Appraisal Subcommittee. Assistant Secretary of the Board. Federally related transaction: Refers to any Dated: January 3, 2017. [FR Doc. 2017–00176 Filed 1–9–17; 8:45 am] real estate related financial transaction Arthur Lindo, which: BILLING CODE 6210–01–P (a) A federal financial institutions Chairman. regulatory agency engages in, contracts for, or [FR Doc. 2017–00262 Filed 1–9–17; 8:45 am] FEDERAL RESERVE SYSTEM regulates; and BILLING CODE P (b) requires the services of an appraiser. (See Title XI § 1121(4), 12 U.S.C. 3350.) Proposed Agency Information Federal financial institutions regulatory Collection Activities; Comment agencies: Refers to the Board of Governors of FEDERAL RESERVE SYSTEM Request the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of Formations of, Acquisitions by, and AGENCY: Board of Governors of the the Comptroller of the Currency, and the Mergers of Bank Holding Companies Federal Reserve System. National Credit Union Administration. (See ACTION: Notice for comment regarding Title XI § 1121(6), 12 U.S.C. 3350). The companies listed in this notice Home State agency: As referenced herein, have applied to the Board for approval, the Federal Reserve proposal to extend State agency or agencies that grant an pursuant to the Bank Holding Company without revision, the clearance under appraiser a licensed or certified credential. Act of 1956 (12 U.S.C. 1841 et seq.) the Paperwork Reduction Act for the Residency in the home State is not required. (BHC Act), Regulation Y (12 CFR part following information collection Appraisers may have more than one home 225), and all other applicable statutes activity. State agency. and regulations to become a bank Non-federally recognized credentials or SUMMARY: The Board of Governors of the holding company and/or to acquire the designations: Refers to any State appraiser Federal Reserve System (Board or assets or the ownership of, control of, or credential or designation other than trainee, Federal Reserve) invites comment on a the power to vote shares of a bank or State licensed, certified residential or proposal to extend for three years, certified general classifications as defined in bank holding company and all of the without revision, the Registration of Policy Statement 1, and which is not banks and nonbanking companies Mortgage Loan Originators. recognized by Title XI. owned by the bank holding company, On June 15, 1984, the Office of Real estate related financial transaction: including the companies listed below. Any transaction involving: The applications listed below, as well Management and Budget (OMB) (a) The sale, lease, purchase, investment in delegated to the Board authority under or exchange of real property, including as other related filings required by the Board, are available for immediate the Paperwork Reduction Act (PRA) to interests in property, or the financing thereof; approve of and assign OMB control (b) the refinancing of real property or inspection at the Federal Reserve Bank numbers to collection of information interests in real property; and indicated. The applications will also be (c) the use of real property or interests in available for inspection at the offices of requests and requirements conducted or property as security for a loan or investment, the Board of Governors. Interested sponsored by the Board. In exercising including mortgage-backed securities. (See persons may express their views in this delegated authority, the Board is Title XI § 1121(5), 12 U.S.C. 3350). writing on the standards enumerated in directed to take every reasonable step to State: Any State, the District of Columbia, solicit comment. In determining the Commonwealth of Puerto Rico, the the BHC Act (12 U.S.C. 1842(c)). If the proposal also involves the acquisition of whether to approve a collection of Commonwealth of the Northern Mariana information, the Board will consider all Islands, Guam, and the United States Virgin a nonbanking company, the review also Islands. (American Samoa does not have a includes whether the acquisition of the comments received from the public and Program). nonbanking company complies with the other agencies. State board: As referenced herein, ‘‘State standards in section 4 of the BHC Act DATES: Comments must be submitted on board’’ means a group of individuals (usually or before March 13, 2017. appraisers, AMC representatives, bankers, (12 U.S.C. 1843). Unless otherwise consumers, and/or real estate professionals) noted, nonbanking activities will be ADDRESSES: You may submit comments, appointed by the Governor or a similarly conducted throughout the United States. identified by CFPB Reg G, by any of the positioned State official to assist or oversee Unless otherwise noted, comments following methods: State Programs. A State agency may be regarding each of these applications • Agency Web site: http:// headed by a board, commission or an must be received at the Reserve Bank www.federalreserve.gov. Follow the individual. indicated or the offices of the Board of instructions for submitting comments at Uniform Standards of Professional Governors not later than February 3, http://www.federalreserve.gov/apps/ Appraisal Practice (USPAP): Refers to 2017. foia/proposedregs.aspx . appraisal standards promulgated by the • Appraisal Standards Board of the Appraisal A. Federal Reserve Bank of Richmond Federal eRulemaking Portal: http:// Foundation establishing minimum (Adam M. Drimer, Assistant Vice www.regulations.gov. Follow the requirements for development and reporting President) 701 East Byrd Street, instructions for submitting comments. of appraisals, including real property Richmond, Virginia 23261–4528. • Email: regs.comments@ appraisal. Title XI requires appraisals Comments can also be sent federalreserve.gov. Include OMB prepared by State certified and licensed electronically to number in the subject line of the appraisers to be performed in conformance [email protected]: message. with USPAP. • Well-documented: Means that States obtain 1. Bay Banks of Virginia, Inc., FAX: (202) 452–3819 or (202) 452– and maintain sufficient relevant Kilmarnock, Virginia; to acquire 100 3102. percent of the voting securities of • Mail: Robert deV. Frierson, Appraiser Registry record is updated to show the Virginia BanCorp, Inc., Petersburg, Secretary, Board of Governors of the credential is inactive. Virginia, and thereby indirectly acquire Federal Reserve System, 20th Street and

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Constitution Avenue NW., Washington, d. Ways to minimize the burden of their unique identifier and the MLO’s DC 20551. information collection on respondents, employment history and publicly All public comments are available including through the use of automated adjudicated disciplinary and from the Board’s Web site at http:// collection techniques or other forms of enforcement actions. The CFPB’s www.federalreserve.gov/apps/foia/ information technology; and regulation also requires the institutions proposedregs.aspx as submitted, unless e. Estimates of capital or startup costs employing these MLOs to adopt and modified for technical reasons. and costs of operation, maintenance, follow written policies and procedures Accordingly, your comments will not be and purchase of services to provide to ensure their employees comply with edited to remove any identifying or information. these requirements and to conduct contact information. Public comments At the end of the comment period, the annual independent compliance tests to may also be viewed electronically or in comments and recommendations assure compliance. The CFPB’s rule paper form in Room 3515, 1801 K Street received will be analyzed to determine applies to a broad range of financial (between 18th and 19th Streets NW.) the extent to which the Federal Reserve institutions and their employees, Washington, DC 20006 between 9:00 should modify the proposed revisions including Board-supervised a.m. and 5:00 p.m. on weekdays. prior to giving final approval. institutions/employees, such as state Additionally, commenters may send a member banks and their non- Proposal To Approve Under OMB copy of their comments to the OMB functionally-regulated subsidiaries, state Delegated Authority the Extension for Desk Officer—Shagufta Ahmed—Office uninsured branches and agencies of Three Years, Without Revision, of the of Information and Regulatory Affairs, foreign banks, and commercial lending Office of Management and Budget, New Following Report companies owned or controlled by Executive Office Building, Room 10235 Report title: Registration of Mortgage foreign banks. 725 17th Street NW., Washington, DC Loan Originators. Legal authorization and 20503 or by fax to (202) 395–6974. Agency form number: CFPB Reg G. confidentiality: The Board’s Legal FOR FURTHER INFORMATION CONTACT: A OMB control number: 7100–0328. Division has determined that Section copy of the PRA OMB submission, Frequency: Annually. 1507 of the S.A.F.E. Act, (12 U.S.C. including the proposed reporting form Respondents: Employees of state 5106), requires that the CFPB develop and instructions, supporting statement, member banks, certain subsidiaries of and maintain a system for registering and other documentation will be placed state member banks, branches and individual MLOs of covered financial into OMB’s public docket files, once agencies of foreign banks that are institutions regulated by a federal approved. These documents will also be regulated by the Federal Reserve, and banking agency with the Nationwide made available on the Federal Reserve commercial lending companies of Mortgage Licensing System and Board’s public Web site at: http:// foreign banks who act as residential Registry. Section 1504 of the S.A.F.E. www.federalreserve.gov/apps/ mortgage loan originators (MLOs). Act, (12 U.S.C. 5103), requires that an reportforms/review.aspx or may be Estimated number of respondents: individual desiring to engage in the requested from the agency clearance MLOs (new): Initial set up and business of a loan originator maintain officer, whose name appears below. disclosure, 173 respondents; MLOs an annual federal registration (or be Federal Reserve Board Clearance (existing): Maintenance and disclosure, licensed by an equivalent state Officer—Nuha Elmaghrabi—Office of 21,656 respondents; MLOs (existing): regulatory scheme) and appear on the the Chief Data Officer, Board of Updates for changes, 10,828 Registry with a unique identifier. Governors of the Federal Reserve respondents; and Depository Section 1007.103 of the CFPB’s System, Washington, DC 20551 (202) Institutions, and subsidiaries, 741 Regulation G implements this 452–3829. Telecommunications Device respondents. registration scheme; Section 1007.104 for the Deaf (TDD) users may contact Estimated average hours per response: requires the adoption of appropriate (202) 263–4869, Board of Governors of MLOs (new): Initial set up and policies and procedures by covered the Federal Reserve System, disclosure, 3.5 hours; MLOs (existing): financial institutions; and Section Washington, DC 20551. Maintenance and disclosure, 0.85 hours; 1007.105 requires that covered financial SUPPLEMENTARY INFORMATION: MLOs (existing): Updates for changes, institutions provide the unique 0.25 hours; and Depository Institutions, identifiers of MLOs to consumers. (12 Request for Comment on Information and subsidiaries, 118 hours. CFR 1007.103–.105). Under Section Collection Proposal Estimated annual burden hours: 1061 of the Dodd-Frank Act, (12 U.S.C. The Board invites public comment on MLOs (new): Initial set up and 5581(c)), ‘‘a transferor agency [such as the following information collection, disclosure, 606 hours; MLOs (existing): the Board] that is a prudential regulator which is being reviewed under Maintenance and disclosure, 18,408 shall have . . . ‘‘authority to require authority delegated by the OMB under hours; MLOs (existing): Updates for reports from . . . conduct examinations the PRA. Comments are invited on the changes, 2,707 hours; and Depository for . . . and enforce compliance with following: Institutions, and subsidiaries, 87,438 Federal consumer financial laws’’ with a. Whether the proposed collection of hours. respect to the Board-supervised entities information is necessary for the proper General Description of Report: In enumerated above. Therefore, the Board performance of the Federal Reserve’s accordance with the Secure and Fair is authorized to collect this information functions; including whether the Enforcement for Mortgage Licensing Act with respect to the institutions we information has practical utility; (S.A.F.E. Act), the Consumer Financial supervise for this purpose. This b. The accuracy of the Federal Protection Bureau’s (CFPB) Regulation information collection is mandatory. Reserve’s estimate of the burden of the G requires residential mortgage loan As noted above, the unique identifier proposed information collection, originators (MLOs) to register with the of MLOs must be made public and is not including the validity of the Nationwide Mortgage Licensing System considered confidential. In addition, methodology and assumptions used; and Registry (the Registry), obtain a most of the information that MLOs c. Ways to enhance the quality, unique identifier, maintain this submit in order to register with the utility, and clarity of the information to registration, and disclose to consumers Nationwide Mortgage Licensing System be collected; upon request and through the Registry and Registry will be publicly available.

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However, certain identifying data about Kettleson Revocable Trust, dtd 06/10/ announces the following meeting of the individuals who act as MLOs are 2005; Margaret Bell Trustee Margaret S. aforementioned committee: entitled to confidential treatment under Bell Revocable Trust, dtd 05/25/2005; TIME AND DATE: 1:30 p.m.–3:00 p.m., (b)(6) of the Freedom of Information Act Steve Bell Trustee Paula Bell 2009 EST, February 2, 2017. (FOIA), which protects from disclosure GRAT FBO Children, Paula Bell Second PLACE: Teleconference. information that ‘‘would constitute a 2009 GRAT FBO Rebecca Kettleson, STATUS: Open to the public, limited only clearly unwarranted invasion of Paula Bell Second 2009 GRAT FBO by the space and phone lines available. personal privacy.’’ (5 U.S.C. 552(b)(6)). Elizabeth Killian, and Paula Bell Second The public is welcome to participate With respect to the information 2009 GRAT FBO Margaret Bell; Chad or during the public comment period, collection requirements imposed on Deborah Kane Trustees Chad and which is tentatively scheduled from depository institutions, because the Deborah Kane Revocable Trust, dtd 01/ 2:40 p.m. to 2:50 p.m. This meeting will requirements require that depository 22/2016; Steven Bell Trustee Paula Bell also be available by teleconference. institutions retain their own records and GRAT FBO Chad Kane; Steven Bell Please dial (866) 918–8397 and enter make certain disclosures to customers, Trustee Paula Bell Second GRAT FBO code 9346283. the FOIA would only be implicated if Chad Kane; Catherine Bell Trustee the Board’s examiners obtained a copy Catherine Bell Revocable Trust, dtd 05/ PURPOSE: The Subcommittee will of these records as part of the 06/2010; James and Susan Mance provide advice to the CDC Director examination or supervision process of a Trustees Mance Family Revocable Trust; through the ACD on strategic and other financial institution. However, records Linda Growney Trustee Linda Growney health disparities and health equity obtained in this manner are exempt Revocable Trust dtd 06/09/2008; issues and provide guidance on from disclosure under FOIA exemption (Control Group); to retain voting shares opportunities for CDC. (b)(8), regarding examination-related of WoodTrust Financial Corporation, MATTERS FOR DISCUSSION: The Health materials. (5 U.S.C. 552(b)(8)). and thereby indirectly control Disparities Subcommittee members will receive an update on selected Board of Governors of the Federal Reserve WoodTrust Bank, both of Wisconsin System, January 5, 2017. Rapids, Wisconsin. recommendations of the HDS and on progress toward a Workforce Diversity Robert deV. Frierson, B. Federal Reserve Bank of St. Louis (David L. Hubbard, Senior Manager) Indicator. Secretary of the Board. P.O. Box 442, St. Louis, Missouri Agenda items are subject to change as [FR Doc. 2017–00289 Filed 1–9–17; 8:45 am] 63166–2034. Comments can also be sent priorities dictate. BILLING CODE 6210–01–P electronically to CONTACT PERSON FOR MORE INFORMATION: [email protected]: Leandris Liburd, Ph.D., M.P.H., M.A., 1. T.H. Bradley, Jr., Magnolia, Designated Federal Officer, Health FEDERAL RESERVE SYSTEM Arkansas, as trustee of the T.H. Bradley, Disparities Subcommittee, Advisory Change in Bank Control Notices; Jr. Revocable Trust, Paula Bradley Committee to the Director, CDC, 1600 Acquisitions of Shares of a Bank or Smith, Magnolia, Arkansas, as trustee of Clifton Road NE., M/S K–77, Atlanta, Bank Holding Company the Paula Bradley Smith Revocable Georgia 30329. Telephone (404) 498– Trust, Thomas E. Smith, Magnolia, 6482, Email: [email protected]. The notificants listed below have Arkansas, individually and as trustee of The Director, Management Analysis applied under the Change in Bank the Thomas E. Smith Revocable Trust, and Services Office, has been delegated Control Act (12 U.S.C. 1817(j)) and and Shannon Bradley Stuart, Magnolia, the authority to sign Federal Register § 225.41 of the Board’s Regulation Y (12 Arkansas; to collectively acquire notices pertaining to announcements of CFR 225.41) to acquire shares of a bank additional voting shares of Magnolia meetings and other committee or bank holding company. The factors Banking Corporation, Magnolia, management activities, for both the that are considered in acting on the Arkansas and thereby acquire Farmers Centers for Disease Control and notices are set forth in paragraph 7 of Bank and Trust Company Maganola, Prevention and the Agency for Toxic the Act (12 U.S.C. 1817(j)(7)). Arkansas. Substances and Disease Registry. The notices are available for Board of Governors of the Federal Reserve Claudette Grant, immediate inspection at the Federal System, January 4, 2017. Reserve Bank indicated. The notices Acting Director, Management Analysis and Yao-Chin Chao, also will be available for inspection at Services Office, Centers for Disease Control Assistant Secretary of the Board. the offices of the Board of Governors. and Prevention. Interested persons may express their [FR Doc. 2017–00177 Filed 1–9–17; 8:45 am] [FR Doc. 2017–00207 Filed 1–9–17; 8:45 am] views in writing to the Reserve Bank BILLING CODE 6210–01–P BILLING CODE 4163–18–P indicated for that notice or to the offices of the Board of Governors. Comments must be received not later than January DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND 25, 2017. HUMAN SERVICES HUMAN SERVICES A. Federal Reserve Bank of Chicago Centers for Medicare & Medicaid (Colette A. Fried, Assistant Vice Centers for Disease Control and Services President) 230 South LaSalle Street, Prevention Chicago, Illinois 60690–1414: Advisory Committee to the Director [Document Identifier: CMS–2088–17] 1. Steven Bell individually and as (ACD), Centers for Disease Control and Trustee Steven Bell Revocable Trust Agency Information Collection Prevention (CDC)—Health Disparities Activities: Proposed Collection; under Agreement, dtd 10/21/2009; Subcommittee (HDS) Paula Bell Trustee Paula Bell Revocable Comment Request Trust under Agreement dtd 10/21/2009; In accordance with section 10(a)(2) of AGENCY: Centers for Medicare & Elizabeth Killian Trustee Elizabeth Bell the Federal Advisory Committee Act Medicaid Services, HHS. Killian Revocable Trust, dtd 08/03/2005; (Pub. L. 92–463), the Centers for Disease ACTION: Notice. Rebecca Kettleson Trustee Rebecca Lynn Control and Prevention (CDC)

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SUMMARY: The Centers for Medicare & FOR FURTHER INFORMATION CONTACT: Affected Public: Private Sector (Business Medicaid Services (CMS) is announcing Reports Clearance Office at (410) 786– or other for-profits, Not-for-Profit an opportunity for the public to 1326. Institutions); Number of Respondents: comment on CMS’ intention to collect SUPPLEMENTARY INFORMATION: 219; Total Annual Responses: 219; Total information from the public. Under the Annual Hours: 19,710. (For policy Paperwork Reduction Act of 1995 (the Contents questions regarding this collection PRA), federal agencies are required to This notice sets out a summary of the contact Jill Keplinger at 410–786–4550.) publish notice in the Federal Register use and burden associated with the Dated: January 4, 2017. concerning each proposed collection of following information collections. More William N. Parham, III, information (including each proposed detailed information can be found in Director, Paperwork Reduction Staff, Office extension or reinstatement of an existing each collection’s supporting statement of Strategic Operations and Regulatory collection of information) and to allow and associated materials (see Affairs. ADDRESSES 60 days for public comment on the ). [FR Doc. 2017–00198 Filed 1–9–17; 8:45 am] proposed action. Interested persons are CMS–2088–17 Community Mental BILLING CODE 4120–01–P invited to send comments regarding our Health Center Cost Report burden estimates or any other aspect of this collection of information, Under the PRA (44 U.S.C. 3501– DEPARTMENT OF HEALTH AND 3520), federal agencies must obtain including; the necessity and utility of HUMAN SERVICES the proposed information collection for approval from the Office of Management the proper performance of the agency’s and Budget (OMB) for each collection of Administration for Children and functions, the accuracy of the estimated information they conduct or sponsor. Families burden, ways to enhance the quality, The term ‘‘collection of information’’ is utility, and clarity of the information to defined in 44 U.S.C. 3502(3) and 5 CFR Submission for OMB Review; be collected, and the use of automated 1320.3(c) and includes agency requests Comment Request collection techniques or other forms of or requirements that members of the public submit reports, keep records, or Title: Renewal of Office of information technology to minimize the Community Services (OCS) Community information collection burden. provide information to a third party. Section 3506(c)(2)(A) of the PRA Economic Development (CED) Standard DATES: Comments must be received by requires federal agencies to publish a Reporting Format. March 13, 2017. 60-day notice in the Federal Register OMB No.: 0970–0386. Description: The Office of Community ADDRESSES: concerning each proposed collection of When commenting, please Services (OCS) will continue collecting reference the document identifier or information, including each proposed extension or reinstatement of an existing key information about projects funded OMB control number. To be assured through the Community Economic consideration, comments and collection of information, before submitting the collection to OMB for Development (CED) program. The recommendations must be submitted in legislative requirement for this program any one of the following ways: approval. To comply with this requirement, CMS is publishing this is in Title IV of the Community 1. Electronically. You may send your notice. Opportunities, Accountability and comments electronically to http:// Training and Educational Services Act www.regulations.gov. Follow the Information Collection (COATS Human Services instructions for ‘‘Comment or 1. Type of Information Collection Reauthorization Act) of October 27, Submission’’ or ‘‘More Search Options’’ Request: Revision of a currently 1998, Public Law 105–285, section to find the information collection approved collection; Title of 680(b) as amended. The reporting document(s) that are accepting Information Collection: Community format, Performance Progress Report comments. Mental Health Center Cost Report; Use: (PPR), collects information concerning 2. By regular mail. You may mail Providers of services participating in the the outcomes and management of CED written comments to the following Medicare program are required under projects. OCS will use the data to address: CMS, Office of Strategic sections 1815(a) and 1861(v)(1)(A) of the critically review the overall design and Operations and Regulatory Affairs, Social Security Act (42 U.S.C. 1395g) to effectiveness of the program. Division of Regulations Development, submit annual information to achieve The PPR will continue to be Attention: Document Identifier/OMB settlement of costs for health care administered to all active grantees of the Control Number l, Room C4–26–05, services rendered to Medicare CED program. Grantees will be required 7500 Security Boulevard, Baltimore, beneficiaries. In addition, regulations at to use this reporting tool for their semi- Maryland 21244–1850. 42 CFR 413.20 and 413.24 require annual reports to be submitted twice a To obtain copies of a supporting adequate cost data and cost reports from year. The current PPR replaced both the statement and any related forms for the providers on an annual basis. annual questionnaire and other semi- proposed collection(s) summarized in The Form CMS–2088–17 cost report is annual reporting formats, which this notice, you may make your request needed to determine a provider’s resulted in an overall reduction in using one of following: reasonable costs incurred in furnishing burden for the grantees while medical services to Medicare significantly improving the quality of 1. Access CMS’ Web site address at beneficiaries and reimbursement due to the data collected by OCS. OCS seeks to http://www.cms.hhs.gov/ or due from a provider. The primary renew this PPR to continue to collect PaperworkReductionActof1995. function of the cost report is to collect quality data from grantees. To ensure 2. Email your request, including your data that is used by CMS to support the burden on grantees is not increased, address, phone number, OMB number, program operations, payment all questions on the current PPR will and CMS document identifier, to refinement activities and to make remain the same—we propose adding [email protected]. Medicare Trust Fund projections. Form only one question to the PPR regarding 3. Call the Reports Clearance Office at Number: CMS–2088–17 (OMB control the total number of jobs grantees are (410) 786–1326. number: 0938–0037); Frequency: Yearly; creating with grant funds. Many

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grantees have asked about this element information in a consistent format and will remain the same (with one added on the current PPR and currently do not allow OCS to more accurately reflect the question based on grantee feedback), have a place to report that information. total number of jobs created through the there will be no additional burden on This is information that most grantees CED program. Since grantees are already grantees. are already collecting. Adding this field familiar with the current format and Respondents: Current CED grantees. will allow grantees to provide this elements, and all questions on the PPR

ANNUAL BURDEN ESTIMATES

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

Questionnaire for current OCS—CED grantees ...... 170 2 1.50 510

Estimated Total Annual Burden SUMMARY: The Food and Drug written/paper submission and in the Hours: 510. Administration (FDA) is announcing an manner detailed (see ‘‘Written/Paper Additional Information: Copies of the opportunity for public comment on the Submissions’’ and ‘‘Instructions’’). proposed collection may be obtained by proposed collection of certain Written/Paper Submissions writing to the Administration for information by the Agency. Under the Children and Families, Office of Paperwork Reduction Act of 1995 (the Submit written/paper submissions as Planning, Research and Evaluation, 370 PRA), Federal Agencies are required to follows: L’Enfant Promenade SW., Washington, publish notice in the Federal Register • Mail/Hand delivery/Courier (for DC 20447, Attn: ACF Reports Clearance concerning each proposed collection of written/paper submissions): Division of Officer. All requests should be information, including each proposed Dockets Management (HFA–305), Food identified by the title of the information extension of an existing collection of and Drug Administration, 5630 Fishers collection. Email address: information, and to allow 60 days for Lane, Rm. 1061, Rockville, MD 20852. [email protected]. public comment in response to the • For written/paper comments OMB Comment: notice. This notice solicits comments on submitted to the Division of Dockets OMB is required to make a decision the information collection in the Management, FDA will post your concerning the collection of information guidance on citizen petitions and comment, as well as any attachments, between 30 and 60 days after petitions for stay of action subject to except for information submitted, publication of this document in the section 505(q) of the Federal Food, marked and identified, as confidential, Federal Register. Therefore, a comment Drug, and Cosmetic Act (FD&C Act). if submitted as detailed in is best assured of having its full effect DATES: Submit either electronic or ‘‘Instructions.’’ if OMB receives it within 30 days of written comments on the collection of Instructions: All submissions received publication. Written comments and information by March 13, 2017. must include the Docket No. FDA– recommendations for the proposed ADDRESSES: You may submit comments 2009–D–0008 for ‘‘Citizen Petitions and information collection should be sent as follows: Petitions for Stay of Action Subject to directly to the following: Office of Section 505(q) of the Federal Food, Management and Budget, Paperwork Electronic Submissions Drug, and Cosmetic Act.’’ Received Reduction Project, Email: OIRA_ Submit electronic comments in the comments will be placed in the docket [email protected], Attn: following way: and, except for those submitted as Desk Officer for the Administration for • Federal eRulemaking Portal: ‘‘Confidential Submissions,’’ publicly Children and Families https://www.regulations.gov. Follow the viewable at https://www.regulations.gov instructions for submitting comments. or at the Division of Dockets Robert Sargis, Comments submitted electronically, Management between 9 a.m. and 4 p.m., Reports Clearance Officer. including attachments, to https:// Monday through Friday. [FR Doc. 2017–00202 Filed 1–9–17; 8:45 am] www.regulations.gov will be posted to • Confidential Submissions—To BILLING CODE 4184–01–P the docket unchanged. Because your submit a comment with confidential comment will be made public, you are information that you do not wish to be solely responsible for ensuring that your made publicly available, submit your DEPARTMENT OF HEALTH AND comment does not include any comments only as a written/paper HUMAN SERVICES confidential information that you or a submission. You should submit two Food and Drug Administration third party may not wish to be posted, copies total. One copy will include the such as medical information, your or information you claim to be confidential [Docket No. FDA–2009–D–0008] anyone else’s Social Security number, or with a heading or cover note that states confidential business information, such ‘‘THIS DOCUMENT CONTAINS Agency Information Collection as a manufacturing process. Please note CONFIDENTIAL INFORMATION.’’ The Activities: Proposed Collection; that if you include your name, contact Agency will review this copy, including Comment Request; Citizen Petitions information, or other information that the claimed confidential information, in and Petitions for Stay of Action identifies you in the body of your its consideration of comments. The Subject to Section 505(q) of the comments, that information will be second copy, which will have the Federal Food, Drug, and Cosmetic Act posted on https://www.regulations.gov. claimed confidential information • AGENCY: Food and Drug Administration, If you want to submit a comment redacted/blacked out, will be available HHS. with confidential information that you for public viewing and posted on do not wish to be made available to the https://www.regulations.gov. Submit ACTION: Notice. public, submit the comment as a both copies to the Division of Dockets

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Management. If you do not wish your validity of the methodology and to include certain petitions concerning name and contact information to be assumptions used; (3) ways to enhance applications submitted under section made publicly available, you can the quality, utility, and clarity of the 351(k) of the Public Health Service provide this information on the cover information to be collected; and (4) (PHS) Act (42 U.S.C. 262), the sheet and not in the body of your ways to minimize the burden of the abbreviated pathway for the approval of comments and you must identify this collection of information on biosimilar biological products. information as ‘‘confidential.’’ Any respondents, including through the use Accordingly, we are now including information marked as ‘‘confidential’’ of automated collection techniques, submissions pertaining to biosimilar will not be disclosed except in when appropriate, and other forms of biological product applications in the accordance with 21 CFR 10.20 and other information technology. information collection burden estimates applicable disclosure law. For more in this document. Guidance for Industry on Citizen Section 505(q)(1)(H) of the FD&C Act information about FDA’s posting of Petitions and Petitions for Stay of comments to public dockets, see 80 FR requires that citizen petitions and Action Subject to Section 505(q) of the petitions for stay of Agency action that 56469, September 18, 2015, or access Federal Food, Drug, and Cosmetic Act, the information at: http://www.fda.gov/ are subject to section 505(q) include a OMB Control Number 0910–0679— certification to be considered for review regulatoryinformation/dockets/ Extension default.htm. by FDA. Section 505(q)(1)(I) of the Docket: For access to the docket to FDA’s guidance for industry entitled FD&C Act requires that supplemental read background documents or the ‘‘Citizen Petitions and Petitions for Stay information or comments to such citizen electronic and written/paper comments of Action Subject to Section 505(q) of petitions and petitions for stay of received, go to https:// the Federal Food, Drug, and Cosmetic Agency action include a verification to www.regulations.gov and insert the Act’’ provides information regarding be accepted for review by FDA. The docket number, found in brackets in the FDA’s current thinking on interpreting guidance sets forth the criteria the heading of this document, into the section 914 of Title IX of the Food and Agency will use in determining if the ‘‘Search’’ box and follow the prompts Drug Administration Amendments Act provisions of section 505(q) of the FD&C and/or go to the Division of Dockets (FDAAA) (Pub. L. 110–85). Section 914 Act apply to a particular citizen petition Management, 5630 Fishers Lane, Rm. of FDAAA added new section 505(q) to or petition for stay of Agency action. 1061, Rockville, MD 20852. the FD&C Act (21 U.S.C. 355(q)) and The guidance states that one of the governs certain citizen petitions and criteria for a citizen petition or petition FOR FURTHER INFORMATION CONTACT: FDA petitions for stay of Agency action that for stay of Agency action to be subject PRA Staff, Office of Operations, Food request that FDA take any form of action to section 505(q) of the FD&C Act is that and Drug Administration, Three White related to a pending application a related ANDA or 505(b)(2) application Flint North 10A12M, 11601 Landsdown submitted under section 505(b)(2) or is pending at the time the citizen St., North Bethesda, MD 20852, 505(j) (21 U.S.C. 355(b)(2) or 21 U.S.C. petition or petition for stay is submitted. [email protected]. 355(j)) of the FD&C Act. The guidance Because petitioners or commenters may SUPPLEMENTARY INFORMATION: Under the describes FDA’s interpretation of not be aware of the existence of a PRA (44 U.S.C. 3501–3520), Federal section 505(q) of the FD&C Act pending ANDA or 505(b)(2) application, Agencies must obtain approval from the regarding how the Agency will the guidance recommends that all Office of Management and Budget determine if: (1) The provisions of petitioners challenging the (OMB) for each collection of section 505(q) addressing the treatment approvability of a possible ANDA or information they conduct or sponsor. of citizen petitions and petitions for stay 505(b)(2) application include the ‘‘Collection of information’’ is defined of Agency action (collectively, petitions) certification required in section in 44 U.S.C. 3502(3) and 5 CFR apply to a particular petition and (2) a 505(q)(1)(H) of the FD&C Act and that 1320.3(c) and includes Agency requests petition would delay approval of a petitioners and commenters submitting or requirements that members of the pending abbreviated new drug supplements or comments, respectively, public submit reports, keep records, or application (ANDA) or a 505(b)(2) to a citizen petition or petition for stay provide information to a third party. application. The guidance also describes of action challenging the approvability Section 3506(c)(2)(A) of the PRA (44 how FDA will interpret the provisions of a possible ANDA or 505(b)(2) U.S.C. 3506(c)(2)(A)) requires Federal of section 505(q) requiring that: (1) A application include the verification Agencies to provide a 60-day notice in petition includes a certification and (2) required in section 505(q)(1)(I) of the the Federal Register concerning each supplemental information or comments FD&C Act. The guidance also proposed collection of information, to a petition include a verification. recommends that if a petitioner submits including each proposed extension of an Finally, the guidance addresses the a citizen petition or petition for stay of existing collection of information, relationship between the review of Agency action that is missing the before submitting the collection to OMB petitions and pending ANDAs and required certification but is otherwise for approval. To comply with this 505(b)(2) applications for which the within the scope of section 505(q) of the requirement, FDA is publishing notice Agency has not yet made a decision on FD&C Act, and the petitioner would like of the proposed collection of approvability. FDA to review the citizen petition or information set forth in this document. The Food and Drug Administration petition for stay of Agency action, the With respect to the following Safety and Innovation Act (FDASIA) petitioner should submit a letter collection of information, FDA invites was signed into law on July 9, 2012 withdrawing the deficient petition and comments on these topics: (1) Whether (Pub. L. 112–144). Section 1135 of submit a new petition that contains the the proposed collection of information FDASIA amended section 505(q) of the required certification. is necessary for the proper performance FD&C Act in two ways. First, it FDA currently has OMB approval for of FDA’s functions, including whether shortened FDA’s deadline from 180 the collection of information entitled the information will have practical days to 150 days for responding to ‘‘General Administrative Procedures: utility; (2) the accuracy of FDA’s petitions subject to section 505(q) of the Citizen Petitions; Petition for estimate of the burden of the proposed FD&C Act. Second, it expanded the Reconsideration or Stay of Action; collection of information, including the scope of section 505(q) of the FD&C Act Advisory Opinions’’ (OMB control

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number 0910–0191). This collection of We are requesting OMB approval for • The verification required under information includes, among other the following collection of information section 505(q)(1)(I) of the FD&C Act for things: (1) The format and procedures submitted to FDA under section 505(q) supplements to petitions for stay of by which an interested person may of the FD&C Act and the guidance: Agency action. • The certification required under submit to FDA, in accordance with • The letter submitted by a petitioner section 505(q)(1)(H) of the FD&C Act for § 10.20 (21 CFR 10.20), a citizen petition withdrawing a deficient petition for stay citizen petitions that are subject to requesting the Commissioner of Food of Agency action that is missing the section 505(q) and/or that are and Drugs (Commissioner) to issue, required certification but is otherwise amend, or revoke a regulation or order, challenging the approvability of a possible ANDA, 505(b)(2) application, within the scope of section 505(q) of the or to take or refrain from taking any or biosimilar biological product FD&C Act. other form of administrative action application. Although the submission of Section 505(q)(1)(B) and (C) of the (§ 10.30(b) (21 CFR 10.30(b))); (2) the a certification for citizen petitions is FD&C Act and the guidance state that if submission of written comments on a approved under OMB control number FDA determines that a delay in approval filed citizen petition (§ 10.30(d)); (3) the 0910–0191, the certification would be of an ANDA, 505(b)(2) application, or submission of a supplement or broadened under section 505(q) of the biosimilar biological product amendment to or a letter to withdraw a FD&C Act and the guidance. application is necessary based on a filed citizen petition (§ 10.30(g)); (4) the • The certification required under petition subject to section 505(q), the format and procedures by which an section 505(q)(1)(H) of the FD&C Act for applicant may submit to the petition interested person may request, in petitions for stay of Agency action that docket clarifications or additional data accordance with § 10.20, the are subject to section 505(q) and/or that to allow FDA to review the petition Commissioner to stay the effective date are challenging the approvability of a promptly. This information collection is of any administrative action (§ 10.35(b) possible ANDA, 505(b)(2) application, not included in this analysis because it (21 CFR 10.35(b))); and (5) the or biosimilar biological product is currently approved under OMB submission of written comments on a application. • control number 0910–0001 (21 CFR filed petition for administrative stay of The verification required under 314.54, 314.94, and 314.102). action (§ 10.35(c)). This information section 505(q)(1)(I) of the FD&C Act for Based on FDA’s knowledge of citizen collection includes citizen petitions, comments to citizen petitions. • petitions and petitions for stay of petitions for administrative stay of The verification required under Agency action subject to section 505(q) action, comments to petitions, section 505(q)(1)(I) of the FD&C Act for comments to petitions for stay of of the FD&C Act that have been supplements to citizen petitions, and Agency action. submitted to FDA, as well as the letters to withdraw a citizen petition, as • The verification required under Agency’s familiarity with the time described previously in this document, section 505(q)(1)(I) of the FD&C Act for needed to prepare a supplement, a which are subject to section 505(q) of supplements to citizen petitions. certification, and a verification, FDA the FD&C Act and described in the • Supplements to petitions for stay of estimates the burden of this collection guidance. Agency action. of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Annual FD&C Act section Number of frequency per Total annual Hours per Total hours respondents response responses response

Certification for citizen petitions (505(q)(1)(H)) ...... 38 1.37 52 0.5 (30 minutes) ..... 26 Certification for petitions for stay of Agency action 3 1 3 0.5 (30 minutes) ..... 1.5 (505(q)(1)(H)). Verification for comments to citizen petitions 12 1.66 20 0.5 (30 minutes) ..... 10 (505(q)(1)(I)). Verification for comments to petitions for stay of 1 1 1 0.5 (30 minutes) ...... 5 Agency action (505(q)(1)(I)). Verification for supplements to citizen petitions 7 2.29 16 0.5 (30 minutes) ..... 8 (505(q)(1)(I)). Supplements to petitions for stay of Agency action .... 1 1 1 6 ...... 6 Verification for supplements to petitions for stay of 1 1 1 0.5 (30 minutes) ..... 0.5 Agency action (505(q)(1)(I)). Letter withdrawing a petition for stay of Agency ac- 3 1 3 0.5 (30 minutes) ..... 1.5 tion.

Total hours ...... 54 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: January 3, 2017. Leslie Kux, Associate Commissioner for Policy. [FR Doc. 2017–00193 Filed 1–9–17; 8:45 am] BILLING CODE 4164–01–P

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DEPARTMENT OF HEALTH AND third party may not wish to be posted, both copies to the Division of Dockets HUMAN SERVICES such as medical information, your or Management. If you do not wish your anyone else’s Social Security number, or name and contact information to be Food and Drug Administration confidential business information, such made publicly available, you can as a manufacturing process. Please note [Docket No. FDA–2014–D–2175] provide this information on the cover that if you include your name, contact sheet and not in the body of your Recommendations for Assessment of information, or other information that comments and you must identify this Blood Donor Eligibility, Donor Deferral identifies you in the body of your information as ‘‘confidential.’’ Any and Blood Product Management in comments, that information will be information marked as ‘‘confidential’’ posted on https://www.regulations.gov. will not be disclosed except in Response to Ebola Virus; Guidance for • Industry; Availability If you want to submit a comment accordance with 21 CFR 10.20 and other with confidential information that you applicable disclosure law. For more AGENCY: Food and Drug Administration, do not wish to be made available to the information about FDA’s posting of HHS. public, submit the comment as a comments to public dockets, see 80 FR ACTION: Notice of availability. written/paper submission and in the 56469, September 18, 2015, or access manner detailed (see ‘‘Written/Paper the information at: http://www.fda.gov/ Submissions’’ and ‘‘Instructions’’). SUMMARY: The Food and Drug regulatoryinformation/dockets/ Administration (FDA or Agency) is Written/Paper Submissions default.htm. announcing the availability of a document entitled ‘‘Recommendations Submit written/paper submissions as Docket: For access to the docket to for Assessment of Blood Donor follows: read background documents or the • Eligibility, Donor Deferral and Blood Mail/Hand delivery/Courier (for electronic and written/paper comments Product Management in Response to written/paper submissions): Division of received, go to https:// Ebola Virus; Guidance for Industry.’’ Dockets Management (HFA–305), Food www.regulations.gov and insert the The guidance document notifies blood and Drug Administration, 5630 Fishers docket number, found in brackets in the Lane, Rm. 1061, Rockville, MD 20852. heading of this document, into the establishments that FDA has determined • Ebola virus to be a transfusion- For written/paper comments ‘‘Search’’ box and follow the prompts transmitted infection (TTI) and provides submitted to the Division of Dockets and/or go to the Division of Dockets blood establishments that collect blood Management, FDA will post your Management, 5630 Fishers Lane, Rm. and blood components for transfusion comment, as well as any attachments, 1061, Rockville, MD 20852. or further manufacture, including except for information submitted, marked and identified, as confidential, Submit written requests for single Source Plasma, with FDA copies of the guidance to the Office of recommendations for assessing blood if submitted as detailed in ‘‘Instructions.’’ Communication, Outreach and donor eligibility, donor deferral, and Development, Center for Biologics blood product management in the event Instructions: All submissions received must include the Docket No. FDA– Evaluation and Research (CBER), Food that an outbreak of Ebola virus disease 2014–D–2175 for ‘‘Recommendations and Drug Administration, 10903 New (EVD) with widespread transmission is for Assessment of Blood Donor Hampshire Ave., Bldg. 71, Rm. 3128, declared in at least one country. The Eligibility, Donor Deferral and Blood Silver Spring, MD 20993–0002. Send guidance document applies to Ebola Product Management in Response to one self-addressed adhesive label to virus (species Zaire ebolavirus). The Ebola Virus; Guidance for Industry.’’ assist the office in processing your recommendations apply to routine Received comments will be placed in requests. The guidance may also be collection of blood and blood the docket and, except for those obtained by mail by calling CBER at 1– components for transfusion or further submitted as ‘‘Confidential 800–835–4709 or 240–402–8010. See manufacture, including Source Plasma. Submissions,’’ publicly viewable at the SUPPLEMENTARY INFORMATION The guidance announced in this notice section https://www.regulations.gov or at the finalizes the draft guidance of the same for electronic access to the guidance Division of Dockets Management title dated December 2015. document. between 9 a.m. and 4 p.m., Monday DATES: Submit either electronic or through Friday. FOR FURTHER INFORMATION CONTACT: written comments on Agency guidances • Confidential Submissions—To Jessica T. Walker, Center for Biologics at any time. submit a comment with confidential Evaluation and Research, Food and ADDRESSES: You may submit comments information that you do not wish to be Drug Administration, 10903 New as follows: made publicly available, submit your Hampshire Ave., Bldg. 71, Rm. 7301, comments only as a written/paper Silver Spring, MD 20993–0002, 240– Electronic Submissions submission. You should submit two 402–7911. Submit electronic comments in the copies total. One copy will include the SUPPLEMENTARY INFORMATION: following way: information you claim to be confidential • Federal eRulemaking Portal: with a heading or cover note that states I. Background https://www.regulations.gov. Follow the ‘‘THIS DOCUMENT CONTAINS instructions for submitting comments. CONFIDENTIAL INFORMATION.’’ The FDA is announcing the availability of Comments submitted electronically, Agency will review this copy, including a document entitled ‘‘Recommendations including attachments, to https:// the claimed confidential information, in for Assessment of Blood Donor www.regulations.gov will be posted to its consideration of comments. The Eligibility, Donor Deferral and Blood the docket unchanged. Because your second copy, which will have the Product Management in Response to comment will be made public, you are claimed confidential information Ebola Virus; Guidance for Industry.’’ solely responsible for ensuring that your redacted/blacked out, will be available The guidance document notifies blood comment does not include any for public viewing and posted on establishments that FDA has determined confidential information that you or a https://www.regulations.gov. Submit Ebola virus to be a TTI under 21 CFR

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630.3(l) because of the severity of the is providing guidance to reduce the convalescent plasma intended for disease and the risk of transmission by risks of collecting blood and blood transfusion. blood and blood products. The guidance components from potentially Ebola In the Federal Register of December 3, also provides blood establishments that virus-infected persons during the 2015 (80 FR 75681), FDA announced the collect blood and blood components for asymptomatic incubation period before availability of the draft guidance of the transfusion or further manufacture, the onset of clinical symptoms, as well same title dated December 2015. FDA including Source Plasma, with FDA as from individuals with a history of received comments on the draft recommendations for assessing blood Ebola virus infection or disease. guidance and those comments were donor eligibility, donor deferral, and The guidance recommends blood considered as the guidance was blood product management in the event establishments update their donor finalized. A summary of changes made that an outbreak of EVD with educational materials to instruct donors in the final guidance includes: (1) widespread transmission occurs in at with a history of Ebola virus infection Notifying blood establishments that least one country. or disease to not donate blood or blood FDA has determined Ebola virus to be Ebola virus is a member of the family components. In the event that one or a TTI under § 630.30(l); (2) providing a Filoviridae that can cause severe more countries is classified by Centers recommendation that the donor hemorrhagic fever in humans and non- for Disease Control and Prevention educational materials instruct donors human primates with historically high (CDC) as having widespread with a history of EVD to self-defer; (3) morbidity and mortality rates of up to transmission of Ebola virus, blood adding a recommended timeframe for 90 percent. However, in the 2014 establishments must update their donor when blood establishments should outbreak in West Africa, the mortality history questionnaire (DHQ), including discontinue donor questioning after rate was markedly lower. In humans, the full-length and abbreviated DHQ CDC declares there is no longer EVD is typically characterized at onset and accompanying materials, to assess widespread transmission of Ebola virus; by fever, severe headache, muscle pain, donors for a history of Ebola virus and (4) clarifying certain and weakness, followed by diarrhea, infection or disease and travel to, or recommendations on product retrieval, vomiting, abdominal pain, and residence in, an area endemic for Ebola quarantine, and notification of sometimes diffuse hemorrhage (bleeding virus. The guidance recommends consignees of blood and blood or bruising). In previous outbreaks of indefinite deferral of a donor with a components from donors at risk of Ebola EVD, symptoms generally appeared history of Ebola virus infection or virus infection or disease. In addition, within 21 days and most often within 4 disease and for a donor who has been editorial changes were made to improve to 10 days following infection; however, a resident of or has travelled to a clarity. The guidance announced in this based on mathematical models, country with widespread transmission notice finalizes the draft guidance of the symptom onset later than 21 days is of EVD, FDA recommends that same title dated December 2015. estimated as possible in 0.1 to 12 establishments defer a donor for 8 This guidance is being issued percent of cases. Although viremia in weeks from the time of the donor’s consistent with FDA’s good guidance survivors typically resolves within 21 departure from that country. The practices regulation (21 CFR 10.115). days of disease onset, infectious virus guidance document provides additional The guidance represents the current and viral ribonucleic acid (RNA) has recommendations for blood thinking of FDA on recommendations been detected in other body components establishments in the event that one or for assessment of blood donor or fluids (e.g., aqueous humor, semen, more countries are classified by CDC as eligibility, donor deferral, and blood and vaginal fluids) for longer periods. having widespread transmission of product management in response to For instance, infectious virus and viral Ebola virus. For a donor who has had Ebola virus. It does not establish any RNA have been detected in semen up to close contact with a person confirmed to rights for any person and is not binding 82 and 272 days post-EVD onset, have EVD or a person under on FDA or the public. You can use an respectively, and a case of sexual investigation for Ebola virus infection or alternative approach if it satisfies the transmission of Ebola virus was disease in whom diagnosis is pending, requirements of the applicable statutes reported in which the patient was FDA recommends that establishments and regulations. exposed to Ebola virus through sexual defer a donor for 8 weeks after the last II. Paperwork Reduction Act of 1995 contact with a survivor 179 days after contact. In addition, FDA recommends likely disease onset. that establishments defer a donor for 8 This guidance refers to previously Transmission of Ebola virus from weeks after the last sexual contact with approved collections of information human to human occurs by direct a person known to have recovered from found in FDA regulations. These contact with body fluids (such as blood, EVD, regardless of the time since the collections of information are subject to urine, stool, saliva, semen, vaginal person’s recovery. FDA also review by the Office of Management and fluids, or vomit) of symptomatic recommends that establishments defer Budget (OMB) under the Paperwork infected individuals. Therefore, blood for a period of 8 weeks after exposure Reduction Act of 1995 (44 U.S.C. 3501– and blood products from symptomatic a donor who has been notified by a 3520). The collections of information in individuals, if they were to donate, Federal, State, or local public health 21 CFR part 312 have been approved would have the potential of transmitting authority that he or she may have been under OMB control number 0910–0014; Ebola virus to recipients. exposed to a person with EVD. the collections of information in 21 CFR Under 21 CFR 630.10(a) and (f)(1), a The guidance includes FDA 600.14 and 606.171 have been approved donor must be in good health and have recommendations on retrieval and under OMB control number 0910–0458; a normal temperature at the time of quarantine of blood and blood the collections of information in 21 CFR donation. Standard procedures that are components from a donor later 601.12 and Form FDA 356h have been in place to assure that the donor feels determined to have Ebola virus approved under OMB control number healthy at the time of donation serve as infection or disease or risk factors for 0910–0338; the collections of an effective safeguard against collecting Ebola virus infection or disease, information in 21 CFR 606.160 have blood or blood components from a notification of consignees, and reporting been approved under OMB control donor who seeks to donate after the a biological product deviation to FDA. numbers 0910–0116 and 0910–0795; onset of clinical symptoms of EVD. FDA The guidance also addresses and the collections of information in 21

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CFR 630.10 and 630.40 have been instructions for submitting comments. Agency will review this copy, including approved under OMB control number Comments submitted electronically, the claimed confidential information, in 0910–0795. including attachments, to https:// its consideration of comments. The www.regulations.gov will be posted to second copy, which will have the III. Electronic Access the docket unchanged. Because your claimed confidential information Persons with access to the Internet comment will be made public, you are redacted/blacked out, will be available may obtain the guidance at either http:// solely responsible for ensuring that your for public viewing and posted on www.fda.gov/BiologicsBloodVaccines/ comment does not include any https://www.regulations.gov. Submit GuidanceComplianceRegulatory confidential information that you or a both copies to the Division of Dockets Information/Guidances/default.htm or third party may not wish to be posted, Management. If you do not wish your https://www.regulations.gov. such as medical information, your or name and contact information to be Dated: January 3, 2017. anyone else’s Social Security number, or made publicly available, you can Leslie Kux, confidential business information, such provide this information on the cover as a manufacturing process. Please note Associate Commissioner for Policy. sheet and not in the body of your that if you include your name, contact comments and you must identify this [FR Doc. 2017–00200 Filed 1–9–17; 8:45 am] information, or other information that information as ‘‘confidential.’’ Any BILLING CODE 4164–01–P identifies you in the body of your information marked as ‘‘confidential’’ comments, that information will be will not be disclosed except in posted on https://www.regulations.gov. accordance with 21 CFR 10.20 and other DEPARTMENT OF HEALTH AND • If you want to submit a comment HUMAN SERVICES applicable disclosure law. For more with confidential information that you information about FDA’s posting of Food and Drug Administration do not wish to be made available to the comments to public dockets, see 80 FR public, submit the comment as a 56469, September 18, 2015, or access [Docket No. FDA–2016–D–4646] written/paper submission and in the the information at: http://www.fda.gov/ manner detailed (see ‘‘Written/Paper regulatoryinformation/dockets/ Annual Reporting by Prescription Drug Submissions’’ and ‘‘Instructions’’). Wholesale Distributors and Third-Party default.htm. Logistics Providers: Questions and Written/Paper Submissions Docket: For access to the docket to read background documents or the Answers; Draft Guidance for Industry; Submit written/paper submissions as electronic and written/paper comments Availability follows: received, go to https:// • Mail/Hand delivery/Courier (for AGENCY: www.regulations.gov and insert the Food and Drug Administration, written/paper submissions): Division of docket number, found in brackets in the HHS. Dockets Management (HFA–305), Food heading of this document, into the ACTION: Notice of availability. and Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts SUMMARY: The Food and Drug Lane, Rm. 1061, Rockville, MD 20852. • For written/paper comments and/or go to the Division of Dockets Administration (FDA or Agency) is submitted to the Division of Dockets Management, 5630 Fishers Lane, Rm. announcing the availability of a draft Management, FDA will post your 1061, Rockville, MD 20852. guidance for industry entitled ‘‘Annual comment, as well as any attachments, Submit written requests for single Reporting by Prescription Drug except for information submitted, copies of the draft guidance to the Wholesale Distributors and Third-Party marked and identified, as confidential, Division of Drug Information, Center for Logistics Providers: Questions and if submitted as detailed in Drug Evaluation and Research, Food Answers.’’ This draft addresses ‘‘Instructions.’’ and Drug Administration, 10001 New questions about and clarifies FDA’s Instructions: All submissions received Hampshire Ave., Hillandale Building, expectations for annual reporting to must include the Docket No. FDA– 4th Floor, Silver Spring, MD 20993– FDA by prescription drug wholesale 2016–D–4646 for ‘‘Annual Reporting by 0002; or to the Office of distributors (wholesale distributors) and Prescription Drug Wholesale Communication, Outreach and third-party logistics providers (3PLs) as Distributors and Third-Party Logistics Development, Center for Biologics required under the Federal Food, Drug, Providers: Questions and Answers; Draft Evaluation and Research (CBER), Food and Cosmetic Act (the FD&C Act) as Guidance for Industry; Availability.’’ and Drug Administration, 10903 New amended by the Drug Supply Chain Received comments will be placed in Hampshire Ave., Bldg. 71, Rm. 3128, Security Act (DSCSA). the docket and, except for those Silver Spring, MD 20993–0002. Send DATES: Although you can comment on submitted as ‘‘Confidential one self-addressed adhesive label to any guidance at any time (see 21 CFR Submissions,’’ publicly viewable at assist that office in processing your 10.115(g)(5)), to ensure that the Agency https://www.regulations.gov or at the requests. See the SUPPLEMENTARY considers your comment on this draft Division of Dockets Management INFORMATION section for electronic guidance before it begins work on the between 9 a.m. and 4 p.m., Monday access to the draft guidance document. final version of the guidance, submit through Friday. FOR FURTHER INFORMATION CONTACT: either electronic or written comments • Confidential Submissions—To Office of Compliance, Center for Drug on the draft guidance by March 13, submit a comment with confidential Evaluation and Research, Food and 2017. information that you do not wish to be Drug Administration, 10903 New ADDRESSES: You may submit comments made publicly available, submit your Hampshire Ave., Silver Spring, MD as follows: comments only as a written/paper 20993–0002, 301–796–3130, submission. You should submit two [email protected]. Electronic Submissions copies total. One copy will include the SUPPLEMENTARY INFORMATION: Submit electronic comments in the information you claim to be confidential following way: with a heading or cover note that states I. Background • Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS Section 204 of the DSCSA (Title II of https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The Pub. L. 113–54) amended section 503(e)

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of the FD&C Act (21 U.S.C. 353(e)) to II. Electronic Access DEPARTMENT OF HEALTH AND require, under section 503(e)(2)(A) of HUMAN SERVICES the FD&C Act (as amended), annual Persons with access to the Internet reporting by wholesale distributors, may obtain the draft guidance at either Statement of Organization, Functions, beginning on January 1, 2015. Section http://www.fda.gov/Drugs/Guidance and Delegations of Authority 503(e)(2)(B) of the FD&C Act (as ComplianceRegulatoryInformation/ Guidances/default.htm, http:// Part A, Office of the Secretary, amended) requires FDA to make certain Statement of Organization, Function www.fda.gov/BiologicsBloodVaccines/ information about wholesale and Delegations of Authority for the GuidanceComplianceRegulatory distributors’ licensure available to the Department of Health and Human Information/Guidances/default.htm, or public on FDA’s Web site. Section 205 Services (HHS) is being amended at of the DSCSA added section 584 to the https://www.regulations.gov. Chapter AC, ‘‘Office of the Assistant FD&C Act (21 U.S.C. 360eee–3); under III. Paperwork Reduction Act of 1995 Secretary for Health (OASH), as last section 584 of the FD&C Act (as amended at 75 FR 53304–53305, dated amended), 3PL facilities are required to Under the Paperwork Reduction Act August 31, 2010. This amendment report annually, beginning on November of 1995 (44 U.S.C. 3501–3520) (PRA), reflects the realignment of personnel 27, 2014. Federal Agencies must obtain approval oversight, administration and FDA previously published the draft from the Office of Management and management functions for the Office of guidance ‘‘DSCSA Implementation: Budget (OMB) for each collection of Adolescent Health in the OASH. Annual Reporting by Prescription Drug information they conduct or sponsor. Specifically, this notice establishes the Wholesale Distributors and Third-Party ‘‘Collection of information’’ is defined Division of Research and Evaluation, the Logistics Providers’’ (Annual Reporting in 44 U.S.C. 3502(3) and 5 CFR Division of Strategic Communications, and the Division of Program Operations draft guidance), which described who 1320.3(c) and includes Agency requests within the Office of Adolescent Health. must report, what should be reported, or requirements that members of the The changes are as follows: when to report, and how to report public submit reports, keep records, or provide information to a third party. I. Under Part A, Chapter AC, under (December 9, 2014, 79 FR 73083). The Office of the Assistant Secretary for Annual Reporting draft guidance is This draft guidance addresses Health, make the following changes: available on the Wholesale Distributor proposed information collections that A. Under Section ACR.20, and Third-Party logistics Providers are subject to review by OMB under the Organization, ‘‘M. Office of Adolescent Reporting Web page at http:// PRA. These information collections Health (ACR)’’ replace the entire section www.fda.gov/Drugs/DrugSafety/Drug were also addressed in the draft with: IntegrityandSupplyChainSecurity/Drug guidance entitled ‘‘Drug Supply Chain The Office of Adolescent Health is SupplyChainSecurityAct/ Security Act Implementation: Annual headed by a Director who reports to the ucm423749.htm. This draft guidance Reporting by Prescription Drug Assistant Secretary for Health. supplements the information in the Wholesale Distributors and Third-Party B. Under Section ACR. 20, Functions, Annual Reporting draft guidance by Logistics Providers,’’ the availability of ‘‘M. Office of Adolescent Health (ACR)’’ addressing questions and comments that which was announced in a notice replace the entire section with: FDA received about annual reporting published in the Federal Register of 1. Office of Adolescent Health (ACR). since publication of the Annual December 9, 2014. In that Federal The Office of Adolescent Health (OAH), Reporting draft guidance. Topics Register notice, FDA published a 60-day headed by the Director of the Office of Adolescent Health, is responsible for covered in this guidance include notice requesting public comment on implementing the provisions assigned to clarifications about who must report, the proposed collections of information it under Section 1708 of the Public what should be reported, when to (79 FR 73083). This draft guidance report, and how to report. This guidance Health Service Act (42 U.S.C. 300u–7). provides further clarification regarding The Office, by providing Department- also addresses questions related to the those information collections. public availability of reported wide leadership working with PHS information. In compliance with the PRA, FDA agencies and other HHS Operating intends to submit these proposed Divisions and Staff Divisions and the This draft guidance is being issued collections of information to OMB for private sector, establishes, coordinates consistent with FDA’s good guidance review and approval, including and advocates policies, programs and practices regulation (21 CFR 10.115). providing notice of that submission and activities for the improvement of FDA intends to finalize this draft opportunity for the public to comment adolescent health. OAH supports grant guidance and the Annual Reporting to OMB on the proposed information programs, evaluation and research draft guidance in one unified final collections. In accordance with the PRA, studies, services, prevention and health guidance on annual reporting the agency will inform the public of promotion activities, training, requirements under the DSCSA. Once OMB approval, including the associated education, partnership engagement, and issued that unified final guidance will currently valid OMB control number, information dissemination activities. represent the current thinking of FDA The Office: (1) Oversees operations and regarding annual reporting by before conducting or sponsoring a collection of information. administrative management, personnel prescription drug wholesale distributors management, and budget formulation and third-party logistics providers. It Dated: January 4, 2017. and execution for programs managed will not establish any rights for any Leslie Kux, within OAH; (2) coordinates legislative person and will not be binding on FDA Associate Commissioner for Policy. and policy activities related to or the public. You will be able to use an [FR Doc. 2017–00233 Filed 1–9–17; 8:45 am] adolescent health and OAH programs; alternative approach to that described in (3) coordinates correspondence control BILLING CODE 4164–01–P the final guidance if it satisfies the and executive secretariat functions; (4) requirements of the applicable statutes serves as a focal point within HHS to and regulations. coordinate the continuing

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implementation of health objectives for all delegations and re-delegations of The National Vaccine Program was adolescents, assures liaison occurs with authority made to officials and established in compliance with Title relevant HHS agencies and offices, and employees of affected organizational XXI of the Public Health Service Act facilitates access to services for components will continue in them or (Pub. L. 99–660) (§ 2101) (42 U.S. Code adolescents; (5) negotiates and awards their successors pending further re- 300aa–et seq (PDF—78 KB)) to achieve grants and enters into cooperative delegation, provided they are consistent optimal prevention of human infectious agreements and contracts with public with this reorganization. diseases through immunization and to and nonprofit entities; (6) enters into III. Funds, Personnel, and Equipment. achieve optimal prevention against interagency agreements with other PHS/ Transfer of organizations and functions adverse reactions to vaccines. Federal organizations in support of affected by this reorganization shall be Development of a National Vaccine Plan adolescent health; (7) ensures the accompanied by direct and support (NVP) has been mandated to the NVPO appropriate exercise of delegated funds, positions, personnel, records, as a mechanism for the Director of the authorities and responsibilities; (8) equipment, supplies, and other National Vaccine Program (the Assistant develops a broad range of health resources. Secretary for Health) to communicate information and health promotion Dated: January 5, 2017. priorities for both federal and non- materials; (9) supports the planning and Sylvia M. Burwell, federal stakeholders regarding vaccine conduct of research and evaluation Secretary. research and the development, testing, studies; (10) designs, manages and [FR Doc. 2017–00312 Filed 1–9–17; 8:45 am] licensing, production, procurement, monitors evaluation studies, and distribution, and effective use of BILLING CODE 4150–28–P information collection review and vaccines in order to carry out the approval processes; (11) assesses the program’s responsibilities. Goal 4 of the focus and impact of ongoing programs DEPARTMENT OF HEALTH AND plan, Ensure a Stable Supply of, Access and activities, and prepares evaluation HUMAN SERVICES to, and Better Use of Recommended studies and reports; (12) disseminates Vaccines in the United States, focuses in information about program activities Request for Information From part on increasing and improving access and research evaluation studies, Organizations Utilizing Business to vaccines in health care provider including in peer reviewed Models Supporting Private Sector settings. This RFI seeks information on publications; (13) oversees the Vaccine Management innovative business models to support implementation and administration of health care providers to increase and AGENCY: National Vaccine Program competitive grants and cooperative improve their ability to provide Office, Office of the Assistant Secretary agreements, monitors grantee activities, immunization services, as described for Health, Office of the Secretary, and prepares analytical reports on below. Department of Health and Human program trends; (14) provides training In its efforts to promote vaccination Services. and technical assistance for grant coverage across the lifespan, the NVPO programs and professionals working ACTION: Notice. is seeking information about business with adolescents, manages capacity SUMMARY: This is a Request for models, existing, under development or building needs for grant programs, and Information (RFI) about business planned, that enable health care assesses performance of grantee models, existing, under development or providers to offer vaccines to their operations; (15) supports the replication planned, that support health care privately-insured/private-pay patients. and use of evidence-based approaches providers for any of the components The NVPO is most interested in and fosters innovative strategies in related to private-sector immunization innovative business models aimed at programs serving adolescents; (16) services (e.g., excluding vaccines reducing any of the barriers to manages the development of grant provided through federal and state implementing vaccination services such funding announcements and contract programs, such as the Vaccines for as vaccine purchase, billing, storage and scopes of work and the review and Children Program, Children’s Health handling, IIS reporting, including award of program grants; (17) manages Insurance Program, Medicaid, and models for populating IIS directly/ information, education and awareness Medicare): Vaccine purchase, automatically from EHRs, forecasting activities, and media and press distribution, storage and handling, vaccine demand, and managing private relations; (18) develops and coordinates inventory management, reporting to vaccine inventories. In addition, the strategic plans and special initiatives; Immunization Information Systems NVPO is interested in models that can (19) oversees public health information (IIS), including models for populating demonstrate improvements in the and promotes OAH programs and IIS directly/automatically from immunization coverage rates of the partnerships; (20) manages exhibits and electronic health records (EHRs), patients seen in the health care settings develops visual and other graphic and immunization coverage assessment, utilizing such models as well as social media materials regarding forecasting vaccine demand, and billing. improvements in reporting to IIS. adolescent health, and ensures The RFI is being issued by the National DATES: Information from Organizations compliance with 508 requirements; (21) Vaccine Program Office (NVPO) of the Utilizing Business Models Supporting manages adolescent health information, U.S. Department of Health and Human Private Sector Vaccine Management including the OAH Web site and social Services. responsive to this RFI should be media, consistent with the policies of The NVPO is located in the Office of submitted as described in the the HHS Assistant Secretary for Public the Assistant Secretary for Health ADDRESSES section below no later than Affairs; (22) coordinates, develops, (ASH), Office of the Secretary (OS), U.S. midnight, 12:00 a.m. EDT on January 25, researches, and prepares briefing Department of Health and Human 2017. materials on issues of adolescent health. Services (HHS). The NVPO is ADDRESSES: Information from II. Delegations of Authority. Directives responsible for coordinating and Organizations Utilizing Business or orders made by the Secretary, ensuring collaboration among the many Models Supporting Private Sector Assistant Secretary for Health, or federal agencies involved in vaccine and Vaccine Management responsive to this Director, Office of Adolescent Health, immunization activities. RFI should be submitted in Portable

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Document Format (PDF) only and be for patients served by participating Register (81 FR 48437) on July 25, 2016, submitted via email to [email protected]. practices. and allowed 60 days for public The name(s) of all PDF files uploaded This request for information is for comment. The IHS received no should begin with ‘‘NVPO_RFI_ informational purposes only and shall comments regarding this collection. The MODEL’’ followed by the organization not be construed as a solicitation for purpose of this notice is to allow 30 name and the sequential number of the funding applications/proposals or as days for public comment to be file, if more than one file is submitted. creating an obligation on the part of the submitted directly to OMB. All submissions responsive to this RFI government. The government will not A copy of the supporting statement is must be made as indicated above. pay for the preparation costs of any available at www.regulations.gov (see Mailed paper submissions will not be information submitted in response to Docket ID IHS–2015–0003). reviewed. this RFI. Responses to any of the above DATES: February 9, 2017. Your FOR FURTHER INFORMATION CONTACT: areas are welcome; respondents should comments regarding this information National Vaccine Program Office, Office not feel compelled to address all the collection are best assured of having full of the Assistant Secretary for Health, issues identified in the request. effect if received within 30 days of the Department of Health and Human Responses will be compiled without date of this publication. Services; telephone (202) 690–5566; company identifiers and shared with ADDRESSES: Send your written email: [email protected]. HHS Operating Divisions (e.g., the comments, requests for more Centers for Disease Control and SUPPLEMENTARY INFORMATION: Responses information on the collection, or to this RFI should include the Prevention) and advisory committees as requests to obtain a copy of the data organization’s full name and appropriate. Public release of the data collection instrument and instructions headquarters location. They should also submitted is governed by the Freedom to Ms. Celeste Davis by one of the include the name of a point-of-contact of Information Act (https:// following methods: • and his/her email and conventional www.hhs.gov/foia/). Response to the RFI Mail: Ms. Holly Thompson Duffy, mailing addresses. Companies are will not be returned. Environmental Protection Specialist, Information collection sponsored by invited to respond to the following Division of Environmental Health the NVPO required for the purposes of request for information: Services/Emergency Management informing the National Vaccine Program 1. Description of the business model, Coordinator, U.S. DHHS/Indian Health and the National Vaccine Plan is not existing, under development or Service, 1414 NW Northrup St., 800, subject to Chapter 35 of title 44, United planned, and how it addresses any of Portland, OR 97209. States Code [the Paperwork Reduction • Phone: 509–455–3539. the following: • a. Purchase of vaccines for privately- Act] as indicated in 42 U.S.C. 300aa–1 Email: Holly.Thompsonduffy@ note (section 321 of Pub. L. 99–660). ihs.gov. insured/private pay patients • b. Bill private insurers for vaccines Dated: January 4, 2017. Fax: 503–414–7776. and vaccine administration Roula K. Sweis, SUPPLEMENTARY INFORMATION: The c. Proper storage and handling of Chief of Operations and Management, Indian Health Service is submitting the privately-purchased vaccines National Vaccine Program Office. proposed information collection to OMB d. Management of private vaccine [FR Doc. 2017–00245 Filed 1–9–17; 8:45 am] for review, as required by section inventories separate from public vaccine BILLING CODE 4150–44–P 3507(a)(1)(D) of the Paperwork inventories Reduction Act of 1995. This notice is e. Report vaccine administration to soliciting comments from members of IIS, including models for populating IIS DEPARTMENT OF HEALTH AND the public and affected agencies as directly/automatically from EHRs HUMAN SERVICES required by 44 U.S.C. 3506(c)(2)(A) f. Forecast vaccine demand concerning the proposed collection of g. Quality improvement efforts to Indian Health Service information to: (1) Evaluate whether the improve vaccination coverage proposed collection of information is h. Ability to conduct mass Request for Public Comment: 30 Day necessary for the proper performance of vaccination clinics as part of an Proposed Information Collection: the functions of the agency, including emergency response Environmental Health Assessment of whether the information will have i. Implementation of vaccination as Tribal Child Care Centers in the Pacific practical utility; (2) Evaluate the part of occupational health clinics Northwest accuracy of the agency’s estimate of the (including federally-sponsored AGENCY: Indian Health Service, HHS. burden of the proposed collection of occupational health clinics). ACTION: Notice and request for information; (3) Enhance the quality, 2. Description of the practices served, comments. utility, and clarity of the information to or planned to be served, including be collected; and (4) Minimize the geographic locations, patients served SUMMARY: In compliance with the burden of the collection of information (e.g., pediatrics, specialists, health care Paperwork Reduction Act of 1995, the on those who are to respond; including providers serving adults, etc.), and Indian Health Service (IHS) is through the use of appropriate practice types (e.g., large health system, submitting to the Office of Management automated collection techniques of private practices, group practices, etc.). and Budget (OMB) a request for an other forms of information technology, 3. Summary of any evaluations of the extension of a previously approved e.g., permitting electronic submission of business model’s effectiveness in collection of information titled, ‘‘Indian responses. expanding accessibility to vaccines for Health Service Environmental Health Title of Proposal: Environmental privately-insured patients to new groups Assessment of Tribal Child Care Centers Health Assessment of Tribal Child Care of health care providers who did not in the Pacific Northwest’’ (OMB Control Centers in the Pacific Northwest. previously provide immunizations or to Number 0917–NEW), which expired OMB Control Number: To be assigned. existing health care providers to expand September 23, 2016. This proposed Need for the Information and their immunization services and/or information collection project was Proposed Use: The Portland Area Indian improvements in vaccination coverage recently published in the Federal Health Service (IHS) and Environmental

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Protection Agency (EPA) seek to such as noise, number of windows in and other funding sources for repairs, conduct an environmental health the child care center, tree cover, and rehabilitations or other corrective assessment of Tribal child care centers shade cover in play area, will be action. This study may also provide in Portland Area Indian Country (in the included in data collection. Community Federal Head Start and Tribal programs states of Washington, Oregon, and factors, such as mapping the locations of with data to improve standards and Idaho). There is a significant data gap the child care facilities, roads, and initiate policy changes, if necessary. IHS regarding the levels of lead, allergens, agricultural operations, will be included will also provide indoor air quality kits pesticides, and polychlorinated in data collection in order to evaluate to the facilities and environmental biphenyls (PCBs) in child care centers the relationship between indoor air health training to center staff to provide within Portland Area Indian Country. quality and the outdoor environment. methods and practices for preventing This research will help us understand IHS and EPA will also incorporate and controlling indoor environmental the potential for exposure to these follow-up outreach and education with hazards. This project may be replicated chemicals among children who attend. facilities to explain results and suggest in other IHS areas. For example, Eliminating Childhood corrective actions to remediate or Agency Form Numbers: None. Lead Poisoning: A Federal Strategy reduce exposures from lead, allergens, Members of Affected Public: Targeting Lead Paint Hazards, produced pesticides, and PCBs that are detected in Operators of Tribal child care facilities by the President’s Task Force on the facilities. The principal purpose of and pesticide applicators who work in Environmental Health Risks and Safety this project is to provide valuable data child care facilities. Risks to Children, discusses the need for about the levels of lead, allergens, Status of the Proposed Information more data on lead levels in licensed pesticides, and PCBs in child care Collection: New request. child care facilities. Also, data is limited facilities located in Portland Area The table below provides: Types of on the interrelationships between Indian Country. This project will help data collection instruments, Estimated exposure factors, building factors, and prioritize services and funding based on number of respondents, Number of community factors and their combined known needs and risks in order to help responses per respondent, Annual impact on children’s exposures from facilities obtain needed services. This number of responses, Average burden chemical agents in child care data may help Tribes secure funding hour per response, and Total annual environments. Non-chemical stressors, from the Federal Head Start program burden hours.

Average Number of Number burden per Estimated Data collection instrument Type of respondent respondents responses per response burden hours respondent (hours)

Child Care Center Director Question- Child Care Center Director ...... 45 1 1.5 67.5 naire. Pesticide Applicator Questionnaire ... Pesticide Applicator ...... 30 1 0.5 15

Total ...... 75 ...... 82.5

There are no direct costs to Application Review: May 8–22, 2017 of the IHCIA, codified at 25 U.S.C. respondents other than time to Continuation Award Notification 1613a. voluntarily complete the forms and Deadline: June 5, 2017 Full-time and part-time scholarships submit them for consideration. New Award Notification Deadline: July will be funded for each of the three 5, 2017 Dated: December 14, 2016. scholarship programs. Award Start Date: August 1, 2017 Mary Smith, The scholarship award selections and Acceptance/Decline of Awards funding are subject to availability of Principal Deputy Director, Indian Health Deadline: August 15, 2017 Service. funds appropriated for the scholarship program. [FR Doc. 2016–31799 Filed 1–9–17; 8:45 am] I. Funding Opportunity Description BILLING CODE 4165–16–P The Indian Health Service (IHS) is II. Award Information committed to encouraging American Type of Award Indians and Alaska Natives to enter the DEPARTMENT OF HEALTH AND health professions and to assuring the Scholarship. HUMAN SERVICES availability of Indian health Estimated Funds Available professionals to serve Indians. The IHS Indian Health Service is committed to the recruitment of An estimated $13.7 million will be available for fiscal year (FY) 2017 Indian Health Professions Preparatory, students for the following programs: • The Indian Health Professions awards. The IHS Scholarship Program Indian Health Professions Pre- Preparatory Scholarship authorized by (IHSSP) anticipates, but cannot Graduate and Indian Health Section 103 of the Indian Health Care guarantee, due to possible funding Professions Scholarship Programs Improvement Act, Public Law 94–437 changes, student scholarship selections Announcement Type: Initial CFDA Numbers: (1976), as amended (IHCIA), codified at from any or all of the approved 93.971, 93.123, and 93.972 25 U.S.C. 1613(b)(1). disciplines in the Preparatory, Pre- • The Indian Health Professions Pre- graduate or Health Professions Key Dates graduate Scholarship authorized by Scholarship Programs for the Application Deadline: February 28, Section 103 of the IHCIA, codified at 25 scholarship period 2017–2018. Due to 2017, for continuing students U.S.C. 1613(b)(2). the rising cost of education and the Application Deadline: March 28, 2017, • The Indian Health Professions decreasing number of scholars who can for new students Scholarship authorized by Section 104 be funded by the IHSSP, the IHSSP has

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changed the funding policy for and Pre-graduate scholarships is broader 2. Cost Sharing/Matching Preparatory and Pre-graduate than the definition of ‘‘Indians’’ for the Scholarship awards and reallocated a Section 104 Health Professions The Scholarship Program does not greater percentage of its funding in an scholarship, as specified below. require matching funds or cost sharing effort to increase the number of Health Continuation awards are non- to participate in the competitive grant Professions Scholarships, and competitive. process. inherently the number of service- 1. Eligibility 3. Benefits From State, Local, Tribal and obligated scholars, to better meet the Other Federal Sources health care needs of the IHS and its The Health Professions Preparatory Tribal and urban Indian health care Scholarship awards are made to Awardees of the Health Professions system partners. American Indians (Federally recognized Preparatory Scholarship, Health Tribal members, including those from Anticipated Number of Awards Professions Pre-graduate Scholarship, or Tribes terminated since 1940, first and Health Professions Scholarship, who Approximately 20 new and 10 second degree descendants of Federally accept outside funding from other continuing awards will be made under recognized Tribal members, State scholarship, grant and fee waiver the Health Professions Preparatory and recognized Tribal members and first and programs, will have these monies Pre-graduate Scholarship Programs for second degree descendants of State applied to their student account tuition Indians. The awards are for ten months recognized Tribal members), or Eskimo, and fees charges at the college or in duration, with an additional two Aleut and other Alaska Natives who: • university they are attending, before the months for approved summer school Have successfully completed high IHS Scholarship Program will pay any requests, and will cover both tuition and school education or high school of the remaining balance, unless said fees and other related costs (ORC). The equivalency; and outside scholarship, grant or fee waiver • Have been accepted for enrollment average award to a full-time student is award letter specifically excludes use in a compensatory, pre-professional approximately $31,919.52. An estimated for tuition and fees. These outside 263 awards will be made under the general education course or curriculum. The Health Professions Pre-graduate funding sources must be reported on the Indian Health Professions Scholarship student’s invoicing documents Program. The awards are for 12 months Scholarship awards are made to American Indians (Federally recognized submitted by the college or university in duration and will cover both tuition they are attending. Student loans and and fees and ORC. The average award to Tribal members, including those from Tribes terminated since 1940, first and Veterans Administration (VA)/G.I. Bill a full-time student is approximately Benefits accepted by Health Professions $48,500.00. second degree descendants of Tribal members, and State recognized Tribal Scholarship recipients will have no Project Period members, first and second degree effect on the IHSSP payment made to The project period for the IHS Health descendants of Tribal members), or their college or university. Professions Preparatory Scholarship Eskimo, Aleut and other Alaska Natives IV. Application Submission stipend support, tuition, fees and ORC who: Information is limited to two years for full-time • Have successfully completed high students and the part-time equivalent of school education or high school 1. Electronic Application System and two years, not to exceed four years for equivalency; and Application Handbook Instructions and part-time students. The project period • Have been accepted for enrollment Forms for the Health Professions Pre-graduate or are enrolled in an accredited pre- Applicants must go online to Scholarship stipend support, tuition, graduate program leading to a www.ihs.gov/scholarship/online_ fees and ORC is limited to four years for baccalaureate degree in pre-medicine, application/index.cfm to apply for an full-time students and the part-time pre-dentistry, pre-optometry or pre- IHS scholarship and access the equivalent of four years, not to exceed podiatry. Application Handbook instructions and eight years for part-time students. The The Indian Health Professions forms for submitting a properly IHS Indian Health Professions Scholarship may be awarded only to an completed application for review and Scholarship provides stipend support, individual who is a member of a funding consideration. Applicants are tuition, fees, and ORC and is limited to Federally recognized Indian Tribe, strongly encouraged to seek four years for full-time students and the Eskimo, Aleut or other Alaska Native as consultation from their Area part-time equivalent of four years, not to provided by Section 1603(13) of the Scholarship Coordinator (ASC) in exceed eight years for part-time IHCIA. Membership in a Tribe preparing their scholarship application students. recognized only by a State does not meet this statutory requirement. To for award consideration. ASC’s are III. Eligibility Information receive an Indian Health Professions listed on the IHS Web site at: http:// This is a limited competition Scholarship, an otherwise eligible www.ihs.gov/scholarship/contact/ announcement. New and continuation individual must be enrolled in an areascholarshipcoordinators/. scholarship awards are limited to appropriately accredited school and This information is listed below. ‘‘Indians’’ as defined at 25 U.S.C. pursuing a course of study in a health Please review the following list to Section 1603(13). Note: The definition profession as defined by Section identify the appropriate IHS ASC for of ‘‘Indians’’ for Section 103 Preparatory 1603(10) of the IHCIA. your State.

IHS area office and states/locality served Scholarship coordinator address

Great Plains Area IHS: Nebraska, Iowa, North Dakota, South Dakota ... Ms. Holly Blacksmith, IHS Area Scholarship Coordinator, Great Plains Area IHS, 115 4th Avenue SE., Aberdeen, SD 57401, Tel: 605–226– 7502.

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IHS area office and states/locality served Scholarship coordinator address

Alaska Native Tribal Health Consortium: Alaska ...... Ms. Laura Hudson, IHS Area Scholarship Coordinator, Alaska Area Native Health, 3900 Ambassador Drive, Anchorage, AK 99508, Tel: (907) 729–4592. Albuquerque Area IHS: Colorado, New Mexico ...... Ms. Jeanette Garcia, IHS Area Scholarship Coordinator, Albuquerque Area IHS, 4101 Indian Schools Rd., NE., Suite 225, Albuquerque, NM 87110, Tel: (505) 256–6729. Bemidji Area IHS: Illinois, Indiana, Michigan, Minnesota, Wisconsin ...... Mr. Tony Buckanaga, IHS Area Scholarship Coordinator, Bemidji Area IHS, 522 Minnesota Avenue NW., Room 115A, Bemidji, MN 56601, Tel: (218) 444–0486, 1–800–892–3079 (toll free). Billings Area IHS: Montana, Wyoming ...... Mr. Delon Rock Above, Alternate: Ms. Bernice Hugs, IHS Area Schol- arship Coordinator, Billings Area IHS, Area Personnel Office, P.O. Box 36600, 2900 4th Avenue, North, Suite 400, Billings, MT 59107, Tel: (406) 247–7215. California Area IHS: California ...... Mr. Sergio Islas, IHS Area Scholarship Coordinator, California Area IHS, 650 Capitol Mall, Suite 7–100, Sacramento, CA 95814, Tel: (916) 930–3983 ext. 724. Nashville Area IHS: Alabama, Arkansas, Connecticut, Delaware, Flor- Ms. Alyssa Janis, IHS Area Scholarship Coordinator, Nashville Area ida, Georgia, Kentucky, Louisiana, Maine, Maryland, Massachusetts, IHS, 711 Stewarts Ferry Pike, Nashville, TN 37214, Tel: (615) 467– Mississippi, New Hampshire, New Jersey, New York, North Carolina, 1502. Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Vermont, Virginia, West Virginia, District of Columbia. Navajo Area IHS: Arizona, New Mexico, Utah ...... Ms. Aletha John, IHS Area Scholarship Coordinator, Navajo Area IHS, P.O. Box 9020, Window Rock, AZ 86515, Tel: (928) 871–1360. Oklahoma City Area IHS: Kansas, Missouri, Oklahoma, Texas ...... Mr. Keith Bohanan, IHS Area Scholarship Coordinator, Oklahoma City Area IHS, 701 Market Drive, Oklahoma City, OK 73114, Tel: (405) 951–3789, 1–800–722–3357 (toll free). Phoenix Area IHS: Arizona, Nevada, Utah ...... Ms. Trudy Begay, IHS Area Scholarship Coordinator, Phoenix Area IHS, Southwest Region Human Resources, Hopi Health Care Cen- ter, P.O. Box 4000, Polacca, Arizona 86042, Tel: (928) 737–6374. Portland Area IHS: Idaho, Oregon, Washington ...... Ms. Heidi Hulsey, IHS Area Scholarship Coordinator, Portland Area IHS, 1414 NW Northrup Street, Suite 800, Portland, Oregon 97209, Tel: (503) 414–7745. Tucson Area IHS: Arizona ...... Ms. Trudy Begay, (See Phoenix Area).

2. Content and Form Submission • Applicant’s Documents for Indian of a Tribe terminated since 1940 or a Each applicant will be responsible for Eligibility. State recognized Tribe and first or entering their basic applicant account A. If you are a member of a Federally second degree descendant, provide information online, in addition to recognized Tribe or Alaska Native official documentation that you meet submitting required documents, in (recognized by the Secretary of the the requirements of Tribal membership accordance with the IHS Scholarship Interior), provide evidence of as prescribed by the charter, articles of Program Application Handbook membership such as: incorporation or other legal instrument instructions, to the: IHS Scholarship (1) Certification of Tribal enrollment of the Tribe and have been officially Program Branch Office, 5600 Fishers by the Secretary of the Interior, acting designated as a Tribal member as Lane, Mail Stop: OHR (11E53A), through the Bureau of Indian Affairs evidenced by an accompanying Rockville, Maryland 20857. Applicants (BIA) Certification: Form 4432— document signed by an authorized must initiate an application through the Category A or D, (whichever is Tribal official; or other evidence, online portal or the application will be applicable); or satisfactory to the Secretary of the considered incomplete. For more (2) In the absence of BIA certification, Interior, that you are a member of the information on how to use the online documentation that you meet Tribe. In addition, if the terminated or portal, go to www.ihs.gov/scholarship. requirements of Tribal membership as State recognized Tribe of which you are The portal will be open on December prescribed by the charter, articles of a member is not on a list of such Tribes 20, 2016. The application will be incorporation or other legal instrument published by the Secretary of the considered complete when the of the Tribe and have been officially Interior in the Federal Register, you following documents are received: designated as a Tribal member as must submit an official signed • Online application is submitted by evidenced by an accompanying document that the Tribe has been deadline. document signed by an authorized terminated since 1940 or is recognized • Current Letter of Acceptance from Tribal official, i.e., Tribal enrollment by the State in which the Tribe is college/university or proof of card showing enrollment number; or located in accordance with the law of application to a college/university or (3) Other evidence of Tribal that State. health professions program. membership satisfactory to the Secretary C. For Preparatory or Pre-graduate • Official transcripts for all colleges/ of the Interior. Scholarships, only: If you are not a universities attended (or high school Note: If you meet the criteria of Form 4432- Tribal member, but are a natural child transcripts or Certificate of Completion Category B or C, you are eligible only for the or grandchild of a Tribal member you of Home School Program or General Preparatory or Pre-graduate Scholarships, must submit: (1) Evidence of that fact, Education Diploma (GED) for applicants which have eligibility criteria as follows in e.g., your birth certificate and/or your who have not taken college courses). Section B. parent’s/grandparent’s birth/death • Cumulative Grade Point Average B. For Preparatory or Pre-graduate certificate showing the name of the (GPA): Calculated by the applicant. Scholarships, only: If you are a member Tribal member; and (2) evidence of your

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parent’s or grandparent’s Tribal 5. Funding Restrictions The applicant’s narrative will be membership in accordance with judged on how well it is written and its No more than 5% of available funds paragraphs A and B. The relationship to content. will be used for part-time scholarships the Tribal member must be clearly Applications for each health career this fiscal year. Students are considered documented. Failure to submit the category are reviewed and ranked part-time if they are enrolled for a required documentation will result in separately. minimum of six hours of instruction the application not being accepted for • Applicants who are closest to and are not considered in full-time review. graduation or completion of training are • Two Faculty/Employer Evaluations status by their college/university. awarded first. For example, senior and with faculty evaluators identified, Documentation must be received from junior applicants under the Health evaluations transmitted and completed part-time applicants that their school Professions Pre-graduate Scholarship in the online applicant portal. and course curriculum allows less than receive funding before freshmen and • Online narratives-reasons for full-time status. Both part-time and full- sophomores. time scholarship awards will be made in requesting the scholarship. • • Delinquent Debt Form completed in accordance with the authorizing statutes Priority Categories the online applicant portal. at 25 U.S.C §§ 1613 and 1613a and the The following is a list of health • Course Curriculum Verification regulations at 42 CFR part 136 Subpart professions that will be considered for completed in the online applicant J, Subdivisions J–3, J–4, and J–8 and this funding in each scholarship program in portal. information will be published in all FY 2017. • Curriculum for Major. IHSSP Application and Student Æ Indian Health Professions Handbooks as they pertain to the IHSSP. 3. Submission Dates Preparatory Scholarships limited to 6. Other Submissions Requirements junior year and above students pursuing Application Receipt Date: The online the following degrees. continuation application submission New and continuation applicants are A. Pre-Clinical Psychology. deadline for continuation applicants is responsible for using the online B. Pre-Nursing. Tuesday, February 28, 2017. No application system. See section 3. C. Pre-Pharmacy. supporting documents will be accepted Submission Dates for application D. Pre-Social Work (Jr. and Sr. after this postal date, except final Letters deadlines. preparing for an MS in social work). of Acceptance, which must be Æ V. Application Review Information Indian Health Professions Pre- submitted no later than postal date graduate Scholarships limited to junior Tuesday, May 30, 2017. 1. Criteria year and above students pursuing the Application Receipt Date: New Applications will be reviewed and following degrees. applicants must submit their scored with the following criteria. A. Pre-Dentistry. application to include all supporting • B. Pre-Medicine. documents by the postal deadline of Academic Performance (40 Points) C. Pre-Optometry. Tuesday, March 28, 2017. No Applicants are rated according to D. Pre-Podiatry. supporting documents will be accepted their academic performance as Æ Indian Health Professions after this date, except final Letters of evidenced by transcripts and faculty Scholarship. Acceptance, which must be submitted evaluations. In cases where a particular A. Medicine—Allopathic and no later than Tuesday, May 30, 2017. applicant’s school has a policy not to Osteopathic doctorate degrees. Supporting documents shall be rank students academically, faculty B. Nursing—Associate Degree in considered as meeting the deadline if members are asked to provide a Nursing (ADN). they are received by the IHSSP branch personal judgment of the applicant’s C. Nursing—Bachelor of Science office, postmarked on or before the achievement. Preparatory, Pre-graduate (BSN) (Priority consideration will be deadline date. Applicants should and Health Professions applicants with given to Registered Nurses employed by request a legibly dated U.S. Postal a cumulative GPA below 2.0 are not the IHS; in a program conducted under Service postmark or obtain a legibly eligible for award. a contract or compact entered into dated receipt from a commercial carrier • Faculty/Employer Recommendations under the Indian Self-Determination or U.S. Postal Service. Private metered (30 Points) and Education Assistance Act (Pub. L. postmarks will not be acceptable as 93–638) and its amendments; or in a proof of timely mailing and the Applicants are rated according to program assisted under Title V of the application will not be considered for evaluations by faculty members, current IHCIA). funding. Receipts of any kind will not and/or former employers and Tribal D. Nursing (NP, DNP)—Nurse be accepted as proof in meeting the officials regarding the applicant’s Practitioner/Advanced Practice Nurse in postal deadline. potential in the chosen health related Family Practice, Psychiatry, Geriatric, New and continuation applicants may professions. Women’s Health, Pediatric Nursing. check the status of their application • Stated Reasons for Asking for the E. Nursing—Certified Nurse Midwife receipt and processing by logging into Scholarship and Stated Career Goals (CNM). their online account at https:// F. Certified Registered Nurse _ Related to the Needs of the IHS (30 www.ihs.gov/scholarship/online Points) Anesthetist (CRNA). application/index.cfm. Applications G. Physician Assistant (certified). received with postmarks after the Applicants must provide a brief H. Dentistry—DDS or DMD degrees. announced deadline date will not be written explanation of reasons for I. Social Work—Master’s degree. considered for funding. asking for the scholarship and of their J. Chemical Dependency Counseling— career goals. Applicants are considered Master’s degree. 4. Intergovernmental Review for scholarship awards based on their K. Clinical Psychology—Ph.D. or Executive Order 12372 requiring desired career goals and how these goals PsyD. intergovernmental review is not relate to current Indian health personnel L. Counseling Psychology—Ph.D. applicable to this program. needs. M. Optometry—OD.

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N. Pharmacy—PharmD. Section 1613a(b), which shall be met by 3. Reporting O. Podiatry—DPM. service, through full-time clinical Scholarship Program Minimum P. Physical Therapy—MS, DPT. practice (as detailed on page 18 of the Academic Requirements IHS Scholarship Program Service 2. Review and Selection Process. Commitment Handbook at http:// It is the policy of the IHS that a The applications will be reviewed and www.ihs.gov/scholarship/handbooks/ scholarship awardee funded under the scored by the IHS Scholarship service_commitment_handbook.pdf): Indian Health Professions Scholarship Program’s Application Review Program of the IHCIA must maintain a (1) In the IHS; Committee appointed by the IHS. 2.0 cumulative GPA, remain in good Reviewers will not be allowed to review (2) In a program conducted under a academic standing each semester/ an application from their area or their contract or compact entered into under trimester/quarter, maintain full-time own Tribe. Each application will be the Indian Self-Determination and student status (institutional definition of reviewed by three reviewers. The Education Assistance Act (Pub. L. 93– ‘‘minimum hours’’ constituting full-time average score of the three reviews 638) and its amendments; enrollment applies) or part-time student provides the final ranking score for each (3) In a program assisted under Title status (institutional definition of applicant. To determine the ranking of V of the Indian Health Care ‘‘minimum and maximum’’ hours each applicant, these scores are sorted Improvement Act (Pub. L. 94–437) and constituting part-time enrollment from the highest to the lowest within its amendments; or applies) for the entire academic year, as each scholarship health discipline by indicated on the scholarship application (4) In a private practice option of his date of graduation and score. If several submitted for that academic year. The or her profession if the practice (a) is students have the same date of Health Professions Scholarship awardee situated in a health professional graduation and score within the same may not change his or her enrollment shortage area, designated in regulations discipline, the computer will randomly status between terms of enrollment promulgated by the Secretary of Health sort the ranking list and will not sort by during the same academic year unless alphabetical name. Selections are then and Human Services (Secretary) and (b) approved in advance by the Branch made from the top of each ranking list addresses the health care needs of a Chief of Scholarships. New recipients to the extent that funds allocated by the substantial number (75% of the total may request a Leave of Absence during IHS among the three scholarships are served) of Indians as determined by the the first year on a case by case basis. available for obligation. Secretary in accordance with guidelines New recipients may not request a leave of the Service. of absence prior to the start of the first VI. Award Administration Information Pursuant to the IHCIA Section academic year. All requests for leave of 1. Award Notices 1613a(b)(3)(C), an awardee of an IHS absence are to be approved in advance Health Professions Scholarship may, at by the Director, Division of Health It is anticipated that recipients Professions Support. All leave of applying for extension of their the election of the awardee, meet his/ her service obligation prescribed under absence requests during the first year scholarship funding will be notified in must include the following. A written writing during the first week of June IHCIA Section 1613a(b) by a program specified in options (1)–(4) above that: request from the scholarship recipient, 2017 and new applicants will be an official letter from the academic notified in writing during the first week (i) Is located on the reservation of the program administrator supporting the of July 2017. An Award Letter will be Tribe in which the awardee is enrolled; leave of absence and certification from issued to successful applicants. or the academic program that the scholar Unsuccessful applicants will be notified (ii) Serves the Tribe in which the recipient has been approved a leave of in writing, which will include a brief awardee is enrolled, if there is an open absence, has not been removed or explanation of the reason(s) the vacancy available in the discipline for withdrawn from the academic program application was not successful and which the awardee was funded under and will be fully returned to the original provide the name of the IHS official to the IHS Health Professions Scholarship academic program upon return from the contact if more information is desired. during the required 90-day placement approved leave of absence. In addition 2. Administrative and National Policy period. to these requirements, a Health Professions Scholarship awardee must Requirements In summary, all awardees of the be enrolled in an approved/accredited Regulations at 42 CFR 136.304 Indian Health Professions Scholarship school for a health professions degree. provide that the IHS shall, from time to are reminded that acceptance of this An awardee of a scholarship under time, publish a list of allied health scholarship will result in a service the IHS Health Professions Preparatory professions eligible for consideration for obligation required by both statute and and Health Professions Pre-graduate the award of IHS Indian Health contract, which must be performed, Scholarship authority must maintain a Professions Preparatory and Pre- through full-time clinical practice, at an minimum 2.0 cumulative GPA, remain graduate Scholarships and IHS Indian approved service payback facility. The in good standing each semester/ Health Professions Scholarships. IHS Director (Director) reserves the right trimester/quarter and be a full-time Section 104(b)(1) of the IHCIA, 25 to make final decisions regarding student (institutional definition of U.S.C. 1613a(b)(1), authorizes the IHS to assignment of scholarship recipients to ‘‘minimum hours’’ constituting full-time determine the distribution of fulfill their service obligation. enrollment applies, typically 12 credit scholarships among the health Moreover, the Director has the hours per semester) or a part-time professions. authority to make the final student (institutional definition of Awards for the Indian Health determination, designating a facility, ‘‘minimum and maximum’’ hours Professions Scholarships will be made whether managed and operated by IHS, constituting part-time enrollment in accordance with the IHCIA, 25 U.S.C. or one of its Tribal or urban Indian applies, typically 6–11 credit hours). 1613a and 42 C.F.R §§ 136.330–136.334. partners, consistent with IHCIA, as The Preparatory and Pre-graduate Awardees shall incur a service approved for scholar obligated service awardee may not change from part-time obligation prescribed under the IHCIA, payback. status to full-time status or vice versa in

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the same academic year unless unapproved change is made, DEPARTMENT OF HEALTH AND approved in advance by the Branch scholarship payments will be HUMAN SERVICES Chief of Scholarships. New recipients discontinued. may not request a Leave of Absence National Institutes of Health • prior to the start of the first academic Change in Graduation Date National Library of Medicine; Notice of year. Any time that a change occurs in a The following reports must be sent to Closed Meeting scholarship awardee’s expected the IHSSP at the identified time frame. Pursuant to section 10(d) of the Each scholarship awardee will have graduation date, they must notify their Scholarship Program Analyst Federal Advisory Committee Act, as access to online Student and Service amended (5 U.S.C. App), notice is Commitment Handbooks and required immediately in writing. Justification must be attached from the school hereby given of the following meeting. program forms and instructions on The meeting will be closed to the advisor. Approvals must be made by the when, how, and to whom these must be public in accordance with the Branch Chief of Scholarships. submitted, by logging into the IHSSP provisions set forth in sections Web site at www.ihs.gov/scholarship. If VII. Agency Contacts 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., a scholarship awardee fails to submit as amended. The grant applications and these forms and reports as required, 1. Questions on the application the discussions could disclose they will be ineligible for continuation process may be directed to the confidential trade secrets or commercial of scholarship support and scholarship appropriate IHS Area Scholarship property such as patentable materials, award payments will be discontinued. Coordinator. and personal information concerning A. Recipient’s and Initial Progress 2. Questions on other programmatic individuals associated with the grant Report matters may be addressed to: Chief, applications, the disclosure of which would constitute a clearly unwarranted Within thirty (30) days from the Scholarship Program, 5600 Fishers invasion of personal privacy. beginning of each semester/trimester/ Lane, Mail Stop: OHR (11E53A), quarter, scholarship awardees must Rockville, Maryland 20857, Telephone: Name of Committee: National Library of submit a Recipient’s Initial Program (301) 443–6197 (This is not a toll-free Medicine Special Emphasis Panel G08. Progress Report (Form IHS–856–8, number). Date: February 16–17, 2017. Time: 8:30 a.m. to 6:00 p.m. found on the IHS Scholarship Program 3. Questions on payment information Agenda: To review and evaluate grant Web site at http://www.ihs.gov/ may be directed to: Mr. Craig Boswell, applications. scholarship/programresources/ Grants Scholarship Coordinator, Place: National Library of Medicine, 6705 studentforms/). Rockledge Drive, Suite 301, Bethesda, MD Division of Grants Management, Indian 20817 (Telephone Conference Call). B. Transcripts Health Service, 5600 Fishers Lane, Mail Contact Person: Zoe E. Huang, MD, Within thirty (30) days from the end Stop: (07E57B), Rockville, Maryland Scientific Review Officer, Extramural of each academic period, i.e., semester/ 20857, Telephone: (301) 443–0243 (This Programs, National Library of Medicine, NIH, trimester/quarter, or summer session, is not a toll-free number). 6705 Rockledge Drive, Suite 301, Bethesda, scholarship awardees must submit an MD 20892–7968, 301–594–4937, huangz@ VIII. Other Information mail.nih.gov. Official Transcript showing the results of the classes taken during that period. (Catalogue of Federal Domestic Assistance The Public Health Service (PHS) is Program No. 93.879, Medical Library C. Notification of Academic Problem committed to achieving the health Assistance, National Institutes of Health, promotion and disease prevention HHS) If at any time during the semester/ objectives of Healthy People 2020, a trimester/quarter, scholarship awardees Dated: January 4, 2017. PHS-led activity for setting priority are advised to reduce the number of Michelle Trout, areas. This program announcement is credit hours for which they are enrolled Program Analyst, Office of the Federal below the minimum of the 12 (or the related to the priority area of Education Advisory Committee Policy. number of hours considered by their and Community-Based Programs. [FR Doc. 2017–00183 Filed 1–9–17; 8:45 am] Potential applicants may download a school as full-time) for a full-time BILLING CODE 4140–01–P student or at least six hours for part- copy of Healthy People 2020 from time students, or if they experience http://www.healthypeople.gov. academic problems, they must submit Interested individuals are reminded DEPARTMENT OF HEALTH AND this report (Form IHS–856–9, found on that the list of eligible health and allied HUMAN SERVICES the IHS Scholarship Program Web site at professions is effective for applicants for National Institutes of Health www.ihs.gov/scholarship). the 2017–2018 academic year. These D. Change of Status priorities will remain in effect until Notice of Availability of the Office of superseded. Applicants who apply for • Change of Academic Status Dietary Supplements Strategic Plan for health career categories not listed as 2017–2021 Scholarship awardees must priorities during the current scholarship immediately notify their Scholarship cycle will not be considered for a SUMMARY: The Office of Dietary Program Analyst if they are placed on scholarship award. Supplements (ODS) at the National academic probation, dismissed from Institutes of Health (NIH) has completed school, or voluntarily withdraw for any Dated: January 3, 2017. a strategic planning process resulting in reason (personal or medical). Elizabeth A. Fowler, the development of the ODS Strategic • Deputy Director for Management, Operations Plan for 2017–2021, entitled Change of Health Discipline Indian Health Service. Strengthening Knowledge and Scholarship awardees may not change [FR Doc. 2017–00257 Filed 1–9–17; 8:45 am] Understanding of Dietary Supplements. from the approved IHSSP health BILLING CODE 4165–16–P The strategic plan is available in pdf discipline during the school year. If an format on the ODS Web site: https://

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ods.od.nih.gov/About/ The meeting will be closed to the Dated: January 4, 2017. StrategicPlan2017–2021.aspx public in accordance with the Natasha M. Copeland, FOR FURTHER INFORMATION CONTACT: provisions set forth in sections Program Analyst, Office of Federal Advisory Office of Dietary Supplements, National 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Committee Policy. Institutes of Health, 6100 Executive as amended. The grant applications and [FR Doc. 2017–00182 Filed 1–9–17; 8:45 am] Boulevard, Room 3B01, Bethesda, MD the discussions could disclose BILLING CODE 4140–01–P 20892–7517, Email: [email protected]. confidential trade secrets or commercial SUPPLEMENTARY INFORMATION: The ODS property such as patentable material, Strategic Plan for 2017–2021 presents a and personal information concerning DEPARTMENT OF HEALTH AND refreshed set of goals, strategies, and individuals associated with the grant HUMAN SERVICES activities that ODS plans for the next 5 applications, the disclosure of which years. It also provides a review of ODS would constitute a clearly unwarranted National Institutes of Health activities and accomplishments between invasion of personal privacy. 2010 and 2016, and includes examples Eunice Kennedy Shriver National Name of Committee: National Advisory Institute of Child Health & Human of ODS collaborative projects and Environmental Health Sciences Council. programs and summaries of its Development; Notice of Closed Date: February 14–15, 2017. Meeting extramural investments. It was shaped Open: February 14, 2017, 8:30 a.m. to 4:15 by input, comments, and advice from p.m. Pursuant to section 10(d) of the ODS’s stakeholder communities Agenda: Discussion of program policies Federal Advisory Committee Act, as throughout the federal government, and issues. academia, the dietary supplement Place: Nat. Inst. of Environmental Health amended (5 U.S.C. App.), notice is industry, consumer advocacy and Sciences, Building 101, Rodbell Auditorium, hereby given of the following meeting. education groups, and interested 111 T. W. Alexander Drive, Research The meeting will be closed to the consumers. Triangle Park, NC 27709. public in accordance with the Background Closed: February 15, 2017, 8:30 a.m. to provisions set forth in sections 10:00 a.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., The mission of ODS is to support, Agenda: To review and evaluate grant as amended. The grant applications and conduct, and coordinate scientific applications. the discussions could disclose research and provide intellectual Place: Nat. Inst. of Environmental Health confidential trade secrets or commercial leadership for the purpose of Sciences, Building 101, Rodbell Auditorium, property such as patentable material, strengthening the knowledge and 111 T. W. Alexander Drive, Research and personal information concerning understanding of dietary supplements to Triangle Park, NC 27709. individuals associated with the grant foster an enhanced quality of life and Contact Person: Gwen W. Collman, Ph.D., health for the U.S. population. ODS was Director, Division of Extramural Research & applications, the disclosure of which established in the Office of the Director, Training, National Institutes of Health, Nat. would constitute a clearly unwarranted NIH, in 1995 as a major provision of the Inst. of Environmental Health Sciences, 615 invasion of personal privacy. Dietary Supplement Health and Davis Dr. KEY615/3112, Research Triangle Name of Committee: National Institute of Education Act of 1994. Park, NC 27709 (919) 541–4980, collman@ Child Health and Human Development Initial Dated: January 3, 2017. niehs.nih.gov. Review Group; Reproduction, Andrology, Lawrence A. Tabak, and Gynecology Subcommittee. Any interested person may file Date: February 24, 2017. Deputy Director, National Institutes of Health. written comments with the committee Time: 8:00 a.m. to 5:00 p.m. [FR Doc. 2017–00316 Filed 1–9–17; 8:45 am] by forwarding the statement to the Agenda: To review and evaluate grant BILLING CODE 4140–01–P Contact Person listed on this notice. The applications. statement should include the name, Place: Residence Inn Bethesda, 7335 address, telephone number and when Wisconsin Avenue, Bethesda, MD 20814. DEPARTMENT OF HEALTH AND applicable, the business or professional Contact Person: Dennis E. Leszczynski, HUMAN SERVICES affiliation of the interested person. Ph.D., Scientific Review Administrator, National Institutes of Health Information is also available on the Division of Scientific Review, National Institute’s/Center’s home page: http:// Institute of Child Health And Human Development, NIH, 6710B Rockledge Drive, National Institute of Environmental www.niehs.nih.gov/about/boards/ Health Sciences; Notice of Meeting Bethesda, MD 20817, (301) 435–2717, naehsc/, where an agenda and any [email protected]. additional information for the meeting Pursuant to section 10(d) of the (Catalogue of Federal Domestic Assistance will be posted when available. Federal Advisory Committee Act, as Program Nos. 93.864, Population Research; amended (5 U.S.C. App.), notice is (Catalogue of Federal Domestic Assistance 93.865, Research for Mothers and Children; hereby given of a meeting of the Program Nos. 93.115, Biometry and Risk 93.929, Center for Medical Rehabilitation National Advisory Environmental Estimation—Health Risks from Research; 93.209, Contraception and Health Sciences Council. Environmental Exposures; 93.142, NIEHS Infertility Loan Repayment Program, National The meeting will be open to the Hazardous Waste Worker Health and Safety Institutes of Health, HHS) public as indicated below, with Training; 93.143, NIEHS Superfund Dated: January 4, 2017. attendance limited to space available. Hazardous Substances—Basic Research and Individuals who plan to attend and Education; 93.894, Resources and Manpower Michelle Trout, need special assistance, such as sign Development in the Environmental Health Program Analyst, Office of Federal Advisory language interpretation or other Sciences; 93.113, Biological Response to Committee Policy. reasonable accommodations, should Environmental Health Hazards; 93.114, [FR Doc. 2017–00181 Filed 1–9–17; 8:45 am] notify the Contact Person listed below Applied Toxicological Research and Testing, BILLING CODE 4140–01–P in advance of the meeting. National Institutes of Health, HHS)

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DEPARTMENT OF HEALTH AND Designated Federal Official, SAMHSA will include remarks from the Deputy HUMAN SERVICES National Advisory Council, 5600 Assistant Secretary for Mental Health Fishers Lane, Room 18E77A, Rockville, and Substance Abuse, and a report on Substance Abuse and Mental Health Maryland 20857 (mail), Telephone: SAMHSA’s priorities and updates by Services Administration (240) 276–2787, Email: carlos.castillo@ the Centers and Office Directors. There samhsa.hhs.gov. will be a panel discussion by the Notice of Meeting directors of the National Institute of Carlos Castillo, Mental Health (NIMH); the National Pursuant to Public Law 92–463, Committee Management Officer, SAMHSA. notice is hereby given of the meeting of Institute on Drug Abuse (NIDA) and the [FR Doc. 2017–00229 Filed 1–9–17; 8:45 am] the Substance Abuse and Mental Health Acting Deputy Director of the National Services Administration’s (SAMHSA) BILLING CODE 4162–20–P Institute on Alcohol Abuse and National Advisory Council (NAC) on Alcoholism (NIAAA). U.S. Rep. Tim February 3, 2017. Murphy has been invited to offer the DEPARTMENT OF HEALTH AND Special Remarks, which will be The meeting will include a brief HUMAN SERVICES reflection on the February 2, 2017, Joint followed by breakout groups National Advisory Council meeting Substance Abuse and Mental Health discussions with the following titles: (JNAC), followed by a discussion on The Services Administration Suicide Prevention; Underage Drinking; 21st Century Cures Act. There will be a and MAT and Naloxone. council discussion regarding the Notice of Meeting The meeting is open to the public and Transition. will be held at the Substance Abuse and The meeting is open to the public and Pursuant to Public Law 92–463, Mental Health Services Administration, will be held at 5600 Fishers Lane, notice is hereby given of the combined 5600 Fishers Lane, Rockville, MD Rockville, MD. Attendance by the meeting on February 1, 2017, of the 20857. Attendance by the public will be public will be limited to space available. Substance Abuse and Mental Health limited to space available. Interested Interested persons may present data, Services Administration’s (SAMHSA) persons may present data, information, information, or views, orally or in four National Advisory Councils: The or views orally or in writing, on issues writing, on issues pending before the SAMHSA National Advisory Council pending before the Council. Written Council. Written submissions should be (NAC), the Center for Mental Health submissions should be forwarded to the received by the contact person by Services NAC, the Center for Substance contact person by January 25, 2017. Oral January 25, 2017. Oral presentations Abuse Prevention NAC, the Center for presentations from the public will be from the public will be scheduled at the Substance Abuse Treatment NAC; and scheduled at the conclusion of the conclusion of the meeting. Individuals the two SAMHSA Advisory meeting. Individuals interested in interested in making oral presentations Committees: Advisory Committee for making oral presentations are are encouraged to notify the contact by Women’s Services (ACWS) and the encouraged to notify the contact by January 25, 2017. Five minutes will be Tribal Technical Advisory Committee January 25, 2017. Five minutes will be allotted for each presentation. (TTAC). allotted for each presentation. The meeting may be accessed via SAMHSA’s National Advisory The meeting may be accessed via telephone. To attend on site; obtain the Councils were established to advise the telephone and web conferencing will be call-in number, access code, and/or web Secretary, Department of Health and available. To attend on site; obtain the access link; submit written or brief oral Human Services (HHS); the call-in number, access code, and/or web comments; or request special Administrator, SAMHSA; and access link; submit written or brief oral accommodations for persons with SAMHSA’s Center Directors concerning comments; or request special disabilities, please register on-line at: matters relating to the activities carried accommodations for persons with http://nac.samhsa.gov/Registration/ out by and through the Centers and the disabilities, please register on-line at: meetingsRegistration.aspx, or policies respecting such activities. http://nac.samhsa.gov/Registration/ communicate with SAMHSA’s Under Section 501 of the Public meetingsRegistration.aspx, or Committee Management Officer, CDR Health Service Act, the ACWS is communicate with SAMHSA’s Carlos Castillo (see contact information statutorily mandated to advise the Committee Management Officer, CDR below). SAMHSA Administrator and the Carlos Castillo (see contact information Substantive meeting information and Associate Administrator for Women’s below). a roster of Council members may be Services on appropriate activities to be Meeting information and a roster of obtained either by accessing the undertaken by SAMHSA and its Centers Council members may be obtained SAMHSA Council’s Web site at http:// with respect to women’s substance either by accessing the SAMHSA www.samhsa.gov/about-us/advisory- abuse and mental health services. Council’s Web site at http:// councils/ or by contacting CDR Castillo. Pursuant to Presidential Executive www.samhsa.gov/about-us/advisory- Substantive program information may Order No. 13175, November 6, 2000, councils/ or by contacting CDR Castillo. be obtained after the meeting by and the Presidential Memorandum of Substantive program information may accessing the SAMHSA Council’s Web September 23, 2004, SAMHSA be obtained after the meeting by site, http://nac.samhsa.gov/, or by established the TTAC for working with accessing the SAMHSA Council’s Web contacting CDR Castillo. Federally-recognized Tribes to enhance site, http://nac.samhsa.gov/, or by Council Name: Substance Abuse and the government-to-government contacting CDR Castillo. Mental Health Services Administration, relationship, and honor Federal trust Council Names: Substance Abuse and National Advisory Council. responsibilities and obligations to Mental Health Services Administration Date/Time/Type: February 3, 2017, Tribes and American Indian and Alaska National Advisory Council, Center for 8:30 a.m. to 12:30 p.m. (EDT), Open. Natives. The SAMHSA TTAC serves as Mental Health Services National Place: 5600 Fishers Lane, Rockville, an advisory body to SAMHSA. Advisory Council, Center for Substance Maryland 20857. The theme for the February 1, 2017 Abuse Prevention National Advisory Contact: CDR Carlos Castillo, combined meeting is Translating Council, Center for Substance Abuse Committee Management Officer and Science to Service (and Back Again). It Treatment National Advisory Council,

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Advisory Committee for Women’s email CDR Scott Stoermer, USCG related to the economic impact of the Services, Tribal Technical Advisory Headquarters, 2703 Martin Luther King policy, especially in remote areas. Committee Jr. Ave. SE., Stop 7516, Washington DC, Additionally, the Coast Guard is Date/Time/Type: February 2, 2017, 20593, [email protected], (202) interested in public comment regarding 8:30 a.m. to 5:00 p.m. EDT, Open. 372–2234. the exercise and verification aspects of Place: Substance Abuse and Mental SUPPLEMENTARY INFORMATION: the policy. Health Services Administration, 5600 The Coast Guard will consider all of Fishers Lane, Rockville, Maryland Public Participation and Request for the information received from public 20857. Comments comments, including the comments Contact: CDR Carlos Castillo, We encourage you to submit received at the public meeting held on Committee Management Officer and comments (or related material) on the September 21, 2016, as well as written Designated Federal Official, SAMHSA draft APC Guidelines. We will consider comments submitted during the open National Advisory Council, Room all submissions and may adjust our final comment periods. 18E77A, 5600 Fishers Lane, Rockville, action based on your comments. If you This notice is issued under authority Maryland 20857 (mail), Telephone: submit a comment, please include the of 5 U.S.C. 552. (240) 276–2787, Email: carlos.castillo@ docket number for this notice, indicate Dated: January 4, 2017. samhsa.hhs.gov. the specific section of this document to Joseph B. Loring, Carlos Castillo, which each comment applies, and provide a reason for each suggestion or Office of Marine Environmental Response Committee Management Officer, SAMHSA. Policy. recommendation. [FR Doc. 2017–00228 Filed 1–9–17; 8:45 am] We encourage you to submit [FR Doc. 2017–00319 Filed 1–9–17; 8:45 am] BILLING CODE 4162–20–P comments through the Federal BILLING CODE 9110–04–P eRulemaking Portal at http:// www.regulations.gov. If your material DEPARTMENT OF HOMELAND cannot be submitted using http:// DEPARTMENT OF HOMELAND SECURITY www.regulations.gov, contact the person SECURITY in the FOR FURTHER INFORMATION Coast Guard Federal Emergency Management CONTACT section of this document for Agency [Docket No. USCG–2016–0437] alternate instructions. Documents mentioned in this notice and all public [Docket ID FEMA–2013–0006] Update to Alternative Planning Criteria comments, are in our online docket at (APC) National Guidelines http://www.regulations.gov and can be Tribal Declarations Pilot Guidance AGENCY: Coast Guard, DHS. viewed by following that Web site’s AGENCY: Federal Emergency instructions. Additionally, if you go to ACTION: Reopening of comment period. Management Agency, DHS. the online docket and sign up for email ACTION: Notice. SUMMARY: The Coast Guard is reopening alerts, you will be notified when the comment period on the draft comments are posted or a final rule is SUMMARY: This document provides Alternative Planning Criteria (APC) published. notice of the availability of the final National Guidelines. The available draft We accept anonymous comments. All policy Tribal Declarations Pilot is the same as that which was made comments received will be posted Guidance. The Federal Emergency available for comment in May 2016. The without change to http:// Management Agency (FEMA) published APC Guidelines would provide the www.regulations.gov and will include a notice of availability and request for maritime industry with updated any personal information you have comment for the proposed policy on information on the development and provided. For more about privacy and January 8, 2016 at 81 FR 943. submission of an APC request made the docket, you may review a Privacy DATES: This policy is effective January pursuant to existing regulations. In Act notice regarding the Federal Docket 10, 2017. Management System in the March 24, addition to providing guidance to vessel ADDRESSES: This final policy is available 2005, issue of the Federal Register (70 owners and operators on developing online at http://www.regulations.gov FR 15086). APC requests, the APC Guidelines and on FEMA’s Web site at http:// would also facilitate consistency in the Discussion www.fema.gov. The proposed and final review of APC requests by Coast Guard policy, all related Federal Register personnel. Comments previously The U.S. Coast Guard Office of Marine Environmental Response Policy is Notices, and all public comments submitted do not need to be submitted received during the comment period are again. continuing to refine its national-level policy to clarify APC submissions and available at http://www.regulations.gov DATES: Comments must reach the USCG processes pursuant to 33 CFR 155.1065 under docket ID FEMA–2013–0006. You by April 10, 2017. and 155.5067. We made a draft policy may also view a hard copy of the final ADDRESSES: You may submit comments available for public comment on May policy at the Office of Chief Counsel, identified by docket number USCG– 27, 2016 (81 FR 33685), and held a Federal Emergency Management 2016–0437 using the Federal public meeting on September 21, 2016, Agency, Room 8NE, 500 C Street SW., eRulemaking Portal at http:// during the public comment period (81 Washington, DC 20472. www.regulations.gov. See the ‘‘Public FR 54584). The Coast Guard is aware of FOR FURTHER INFORMATION CONTACT: Participation and Request for APC’s critical role in tank and non-tank Jessica Specht, Federal Emergency Comments’’ portion of the vessel response preparedness, and Management Agency, 500 C Street SW., SUPPLEMENTARY INFORMATION section for therefore desires to thoroughly consider Washington, DC 20472, 202–212–2288. further instructions on submitting all facets of the policy’s SUPPLEMENTARY INFORMATION: The Sandy comments. implementation. Although open to any Recovery Improvement Act of 2013 FOR FURTHER INFORMATION CONTACT: For comments, the Coast Guard is amended the Robert T. Stafford Disaster information about this document call or specifically interested in comments Relief and Emergency Assistance Act, as

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amended, 42 U.S.C. 5121 et seq., to DATES: The purpose of this notice is to including the validity of the provide federally-recognized Indian allow an additional 30 days for public methodology and assumptions used; Tribal governments the option to comments. Comments are encouraged (3) Enhance the quality, utility, and request a Presidential emergency or and will be accepted until February 9, 1 clarity of the information to be major disaster declaration. On January 2017. This process is conducted in collected; and 8, 2016, FEMA published a notice accordance with 5 CFR 1320.10. seeking comment on a proposed pilot ADDRESSES: Written comments and/or (4) Minimize the burden of the program to manage declaration requests suggestions regarding the item(s) collection of information on those who from Indian Tribal governments. In contained in this notice, especially are to respond, including through the response to comments received, FEMA regarding the estimated public burden use of appropriate automated, made several revisions to the proposed and associated response time, must be electronic, mechanical, or other guidance, including reducing the directed to the OMB USCIS Desk Officer technological collection techniques or minimum damage amount from the via email at oira_submission@ other forms of information technology, proposed amount of $300,000 to omb.eop.gov. Comments may also be e.g., permitting electronic submission of $250,000, and expanding eligibility for submitted via fax at (202) 395–5806. responses. individual assistance under a Tribal (This is not a toll-free number.) All Overview of This Information declaration to non-enrolled individuals submissions received must include the Collection: who are members of the Tribal agency name and the OMB Control community. Number 1615–0130. (1) Type of Information Collection FEMA is now issuing a final policy You may wish to consider limiting the Request: Extension, Without Change, of implementing the pilot program. This amount of personal information that you a Currently Approved Collection. final policy does not have the force or provide in any voluntary submission effect of law. you make. For additional information (2) Title of the Form/Collection: (Authority: Pub. L. 113–2.) please read the Privacy Act notice that Record of Abandonment of Lawful is available via the link in the footer of Permanent Resident Status. Dated: January 4, 2017. http://www.regulations.gov. (3) Agency form number, if any, and W. Craig Fugate, FOR FURTHER INFORMATION CONTACT: the applicable component of the DHS Administrator, Federal Emergency Management Agency. USCIS, Office of Policy and Strategy, sponsoring the collection: Form I407; Regulatory Coordination Division, USCIS. [FR Doc. 2017–00315 Filed 1–9–17; 8:45 am] Samantha Deshommes, Chief, 20 BILLING CODE 9111–23–P (4) Affected public who will be asked Massachusetts Avenue NW., or required to respond, as well as a brief Washington, DC 20529–2140, abstract: Primary: Individuals or Telephone number (202) 272–8377 DEPARTMENT OF HOMELAND households. Lawful Permanent SECURITY (This is not a toll-free number; comments are not accepted via Residents (LPRs) use Form I–407 to telephone message.). Please note contact inform USCIS and formally record their U.S. Citizenship and Immigration abandonment of lawful permanent Services information provided here is solely for questions regarding this notice. It is not resident status. U.S. Citizenship and [OMB Control Number 1615–0130] for individual case status inquiries. Immigration Services uses the Applicants seeking information about information collected in Form I–407 to Agency Information Collection the status of their individual cases can record the LPR’s abandonment of lawful Activities: Record of Abandonment of check Case Status Online, available at permanent resident status. Lawful Permanent Resident Status, the USCIS Web site at http:// Form I–407; Extension, Without (5) An estimate of the total number of www.uscis.gov, or call the USCIS Change, of a Currently Approved respondents and the amount of time National Customer Service Center at Collection estimated for an average respondent to (800) 375–5283; TTY (800) 767–1833. respond: 12,527 responses at 15 minutes AGENCY: U.S. Citizenship and SUPPLEMENTARY INFORMATION: per response. Immigration Services, Department of Homeland Security. Comments (6) An estimate of the total public burden (in hours) associated with the ACTION: 30-day notice. You may access the information collection instrument with instructions, collection: 3,132 annual burden hours. SUMMARY: The Department of Homeland or additional information by visiting the (7) An estimate of the total public Security (DHS), U.S. Citizenship and Federal eRulemaking Portal site at: burden (in cost) associated with the Immigration Services (USCIS) will be http://www.regulations.gov and enter collection: The estimated total annual submitting the following information USCIS–2013–0005 in the search box. cost burden associated with this collection request to the Office of Written comments and suggestions from collection of information is $30,691. Management and Budget (OMB) for the public and affected agencies should review and clearance in accordance address one or more of the following Dated: January 4, 2017. with the Paperwork Reduction Act of four points: Samantha Deshommes, 1995. The information collection notice (1) Evaluate whether the proposed Chief, Regulatory Coordination Division, was previously published in the Federal collection of information is necessary Office of Policy and Strategy, U.S. Citizenship Register on October 24, 2016, at 81 FR for the proper performance of the and Immigration Services, Department of 73128, allowing for a 60-day public functions of the agency, including Homeland Security. comment period. USCIS did not receive whether the information will have [FR Doc. 2017–00231 Filed 1–9–17; 8:45 am] any comment in connection with the 60- practical utility; BILLING CODE 9111–97–P day notice. (2) Evaluate the accuracy of the agency’s estimate of the burden of the 1 Public Law 113–2, 1110. proposed collection of information,

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DEPARTMENT OF HOMELAND information about the status of their (2) Title of the Form/Collection: SECURITY individual cases can check Case Status Citizenship and Integration Direct Online, available at the USCIS Web site Services Grant Program. U.S. Citizenship and Immigration at http://www.uscis.gov, or call the (3) Agency form number, if any, and Services USCIS National Customer Service the applicable component of the DHS Center at 800–375–5283 (TTY 800–767– [OMB Control Number 1615–NEW] sponsoring the collection: G–1482; 1833). USCIS. Agency Information Collection SUPPLEMENTARY INFORMATION: (4) Affected public who will be asked Activities: Citizenship and Integration Comments Direct Services Grant Program, Form or required to respond, as well as a brief G–1482; Existing Collection in Use You may access the information abstract: Primary: Not-for-profit Without an OMB Control Number collection instrument with instructions, institutions. The USCIS Office of or additional information by visiting the Citizenship (OoC) will use the AGENCY: U.S. Citizenship and Federal eRulemaking Portal site at: information collected during the grant Immigration Services, Department of http://www.regulations.gov and enter application period to determine the Homeland Security. USCIS–2016–0002 in the search box. number of, and amounts for, approved ACTION: 60-day notice. Regardless of the method used for grant applications. In recent years submitting comments or material, all SUMMARY: The Department of Homeland USCIS has been authorized to expend submissions will be posted, without funds that are collected for adjudication Security (DHS), U.S. Citizenship and change, to the Federal eRulemaking and naturalization services and Immigration (USCIS) invites the general Portal at http://www.regulations.gov, deposited into the Immigration public and other Federal agencies to and will include any personal comment upon this proposed new information you provide. Therefore, Examination Fee Account for the collection of information. In accordance submitting this information makes it Citizenship and Integration Grant with the Paperwork Reduction Act public. You may wish to consider Program (CIGP). The USCIS Office of (PRA) of 1995, the information limiting the amount of personal Citizenship will use the data being collection notice is published in the information that you provide in any collected from grant recipients after Federal Register to obtain comments voluntary submission you make to DHS. funding awards have been made to regarding the nature of the information DHS may withhold information conduct an ongoing evaluation of collection, the categories of provided in comments from public citizenship education and naturalization respondents, the estimated burden (i.e. viewing that it determines may impact outcomes for program participants. the time, effort, and resources used by the privacy of an individual or is (5) An estimate of the total number of the respondents to respond), the offensive. For additional information, respondents and the amount of time estimated cost to the respondent, and please read the Privacy Act notice that estimated for an average respondent to the actual information collection is available via the link in the footer of instruments. respond: The estimated total number of http://www.regulations.gov. respondents for the information Written comments and suggestions DATES: Comments are encouraged and collection G–1482 is 300 and the from the public and affected agencies will be accepted for 60 days until March estimated hour burden per response is should address one or more of the 13, 2017. 40 hours. The estimated total number of ADDRESSES: All submissions received following four points: (1) Evaluate whether the proposed respondents for the post award must include the OMB Control Number collection of information is necessary evaluation is 85 and the estimated hour 1615–NEW in the subject box, the for the proper performance of the burden per response is 28 hours. agency name and Docket ID USCIS– functions of the agency, including 2016–0002. To avoid duplicate (6) An estimate of the total public whether the information will have submissions, please use only one of the burden (in hours) associated with the practical utility; following methods to submit comments: collection: The total estimated annual (2) Evaluate the accuracy of the (1) Online. Submit comments via the hour burden associated with this agency’s estimate of the burden of the Federal eRulemaking Portal Web site at collection is 42,940 hours. proposed collection of information, http://www.regulations.gov under e- including the validity of the (7) An estimate of the total public Docket ID number USCIS–2016–0002; methodology and assumptions used; burden (in cost) associated with the (2) Mail. Submit written comments to (3) Enhance the quality, utility, and collection: The estimated total annual DHS, USCIS, Office of Policy and clarity of the information to be cost burden associated with this Strategy, Chief, Regulatory Coordination collected; and collection of information is 2,524,872. Division, 20 Massachusetts Avenue NW, (4) Minimize the burden of the Dated: January 4, 2017. Washington, DC 20529–2140. collection of information on those who Samantha Deshommes, FOR FURTHER INFORMATION CONTACT: are to respond, including through the USCIS, Office of Policy and Strategy, use of appropriate automated, Chief, Regulatory Coordination Division, Regulatory Coordination Division, electronic, mechanical, or other Office of Policy and Strategy, U.S. Citizenship Samantha Deshommes, Chief, 20 technological collection techniques or and Immigration Services, Department of Homeland Security. Massachusetts Avenue NW, other forms of information technology, Washington, DC 20529–2140, telephone e.g., permitting electronic submission of [FR Doc. 2017–00230 Filed 1–9–17; 8:45 am] number 202–272–8377 (This is not a responses. BILLING CODE 9111–97–P toll-free number. Comments are not accepted via telephone message). Please Overview of This Information note contact information provided here Collection is solely for questions regarding this (1) Type of Information Collection: notice. It is not for individual case Existing Collection in Use without an status inquiries. Applicants seeking OMB Control Number.

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DEPARTMENT OF THE INTERIOR relictus), and blunt-nosed leopard lizard and California tiger salamander (Santa (Gambelia silus), in conjunction with Barbara County and Sonoma County Fish and Wildlife Service survey activities and scientific research Distinct Population Segment (DPS)) [FWS–R8–ES–2016–N234]; throughout the range of the species in (Ambystoma californiense); and take [FXES11130800000–167–FF08E00000] California for the purpose of enhancing (survey by pursuit) the Quino the species’ survival. checkerspot butterfly (Euphydryas Endangered Species Recovery Permit editha quino), and Delhi Sands flower- Permit No. TE–068745 Applications loving fly (Rhaphiomidas terminatus Applicant: Jeffery T. Wilcox, Vallejo, abdominalis) in conjunction with AGENCY: Fish and Wildlife Service, California. survey activities throughout the range of Interior. The applicant requests a permit the species in California for the purpose ACTION: Notice of receipt of permit renewal and amendment to take (harass of enhancing the species’ survival. applications; request for comment. by survey, capture, handle, collect Permit No. TE–221411 SUMMARY: We, the U.S. Fish and tissue samples, and release) the Wildlife Service, invite the public to California tiger salamander (Santa Applicant: Center for Natural Lands comment on the following applications Barbara County and Sonoma County Management, Temecula, California. to conduct certain activities with Distinct Population Segment (DPS)) The applicant requests a permit endangered species. With some (Ambystoma californiense) in renewal to take (harass by survey, exceptions, the Endangered Species Act conjunction with survey and research capture, handle, mark, and release) the (Act) prohibits activities with activities throughout the range of the tidewater goby (Eucyclogobius endangered and threatened species species in California for the purpose of newberryi), Tipton kangaroo rat unless a Federal permit allows such enhancing the species’ survival. (Dipodomys nitratoides nitratoides), activity. The Act also requires that we Permit No. TE–069534 giant kangaroo rat (Dipodomys ingens), invite public comment before issuing San Bernardino Merriam’s kangaroo rat Applicant: Victor C. Novik, San Diego, recovery permits to conduct certain (Dipodomys merriami parvus), California. activities with endangered species. Stephens’ kangaroo rat (Dipodomys DATES: Comments on these permit The applicant requests a permit stephensi), and California tiger applications must be received on or renewal to take (survey by pursuit) the salamander (Santa Barbara County and before February 9, 2017. Quino checkerspot butterfly Sonoma County Distinct Population ADDRESSES: Written data or comments (Euphydryas editha quino); and take Segment (DPS)) (Ambystoma should be submitted to the Endangered (harass by survey, capture, handle, californiense); take (survey by pursuit) Species Program Manager, U.S. Fish and release, collect vouchers, and collect the Quino checkerspot butterfly Wildlife Service, Region 8, 2800 Cottage branchiopod cysts) the San Diego fairy (Euphydryas editha quino); take (harass Way, Room W–2606, Sacramento, CA shrimp (Branchinecta sandiegonensis) by survey, locate and monitor nests, and 95825 (telephone: 916–414–6464; fax: and Riverside fairy shrimp remove brown-headed cowbird 916–414–6486). Please refer to the (Streptocephalus woottoni), in (Molothrus ater) eggs and chicks from respective permit number for each conjunction with survey activities parasitized nests) the southwestern application when submitting comments. throughout the range of the species in willow flycatcher (Empidonax traillii California for the purpose of enhancing FOR FURTHER INFORMATION CONTACT: extimus); take (locate and monitor nests the species’ survival. Daniel Marquez, Fish and Wildlife and remove brown-headed cowbird Biologist; see ADDRESSES (telephone: Permit No. TE–57065B (Molothrus ater) eggs and chicks from parasitized nests) the least Bell’s vireo 760–431–9440; fax: 760–431–9624). Applicant: Steven Morris, Huntington (Vireo bellii pusillus); and remove/ SUPPLEMENTARY INFORMATION: The Beach, California. reduce to possession from lands under following applicants have applied for The applicant requests a new permit scientific research permits to conduct Federal jurisdiction Acanthomintha to take (harass by survey) the ilicifolia (San Diego thorn-mint) and certain activities with endangered southwestern willow flycatcher species under section 10(a)(1)(A) of the Ambrosia pumila (San Diego ambrosia) (Empidonax traillii extimus) in in conjunction with survey, population Act (16 U.S.C. 1531 et seq.). We seek conjunction with survey activities review and comment from local, State, monitoring, and research activities throughout the range of the species in throughout the range of the species in and Federal agencies and the public on California for the purpose of enhancing the following permit requests. California for the purpose of enhancing the species’ survival. the species’ survival. Applicants Permit No. TE–95006A Permit No. TE–043630 Permit No. TE–94654B Applicant: Steven C. Chen, San Luis Applicant: Mesa Biological, LLC., Obispo, California. Applicant: San Francisco Estuary Institute, Richmond, California. Bakersfield, California. The applicant requests a permit The applicant requests a new permit renewal and amendment to take (harass The applicant requests a permit to take (harass by survey, capture, by survey, capture, handle, and release) renewal to take (harass by survey using handle, and release) the Fresno the Fresno kangaroo rat (Dipodomys taped vocalization callback, and collect kangaroo rat (Dipodomys nitratoides nitratoides exilis), Tipton kangaroo rat non-viable eggs) the California exilis), Tipton kangaroo rat (Dipodomys (Dipodomys nitratoides nitratoides), Ridgway’s rail (California clapper r.) nitratoides nitratoides), giant kangaroo giant kangaroo rat (Dipodomys ingens), (Rallus obsoletus obsoletus) (R. rat (Dipodomys ingens), Morro Bay San Bernardino Merriam’s kangaroo rat longirostris o.) in conjunction with kangaroo rat (Dipodomys heermanni (Dipodomys merriami parvus), survey and research activities morroensis), Pacific pocket mouse Stephens’ kangaroo rat (Dipodomys throughout the range of the species in (Perognathus longimembris pacificus), stephensi), Morro Bay kangaroo rat California for the purpose of enhancing Buena Vista Lake shrew (Sorex ornatus (Dipodomys heermanni morroensis), the species’ survival.

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Permit No. TE–177979 range of the species for the purpose of Permit No. TE–14558C enhancing the species’ survival. Applicant: Allison Rudalevige, Garden Applicant: Colleen DelVecchio, Ojai, Grove, California. Permit No. TE–31406A California. The applicant requests a permit Applicant: California State Parks, renewal to take (harass by survey, Ventura, California. The applicant requests a permit capture, handle, release, collect renewal to take (harass by survey, and The applicant requests a permit vouchers, and collect branchiopod locate and monitor nests) the California renewal to take (harass by survey, locate cysts) the Conservancy fairy shrimp least tern (Sternula antillarum browni) and monitor nests, install symbolic (Branchinecta conservatio), longhorn (Sterna a. browni) in conjunction with fencing, and install and use remote fairy shrimp (Branchinecta survey and population monitoring cameras in nesting areas) the California longiantenna), San Diego fairy shrimp activities throughout the range of the least tern (Sternula antillarum browni) (Branchinecta sandiegonensis), species in California for the purpose of (Sterna a. browni) in conjunction with Riverside fairy shrimp (Streptocephalus enhancing the species’ survival. woottoni), and vernal pool tadpole survey and population monitoring shrimp (Lepidurus packardi) in activities throughout the range of the Permit No. TE–14560C conjunction with survey activities species in California for the purpose of enhancing the species’ survival. Applicant: Lance Woolley, San Diego, throughout the range of the species in California. California for the purpose of enhancing Permit No. TE–01768B the species’ survival. The applicant requests a new permit Applicant: Brian Karpman, Costa Mesa, to take (harass by survey, capture, Permit No. TE–14134C California. handle, release, collect vouchers, and Applicant: Lawrence Travanti, The applicant requests a permit collect branchiopod cysts) the Roseville, California. renewal to take (locate and monitor Conservancy fairy shrimp (Branchinecta The applicant requests a new permit nests and remove brown-headed conservatio), longhorn fairy shrimp to take (harass by survey, capture, cowbird (Molothrus ater) eggs and (Branchinecta longiantenna), San Diego handle, release, collect vouchers, and chicks from parasitized nests) the least fairy shrimp (Branchinecta collect branchiopod cysts) the Bell’s vireo (Vireo bellii pusillus) in sandiegonensis), Riverside fairy shrimp Conservancy fairy shrimp (Branchinecta conjunction with survey and population (Streptocephalus woottoni), and vernal conservatio), longhorn fairy shrimp monitoring activities throughout the pool tadpole shrimp (Lepidurus (Branchinecta longiantenna), San Diego range of the species in California for the packardi) in conjunction with survey fairy shrimp (Branchinecta purpose of enhancing the species’ activities throughout the range of the sandiegonensis), Riverside fairy shrimp survival. species in California for the purpose of (Streptocephalus woottoni), and vernal Permit No. TE–814222 enhancing the species’ survival. pool tadpole shrimp (Lepidurus Applicant: California Department of packardi) in conjunction with survey Permit No. TE–835365 Parks and Recreation, San Diego, activities throughout the range of the California. Applicant: California Department of species in California for the purpose of Water Resources, West Sacramento, The applicant requests a permit enhancing the species’ survival. California. renewal to take (harass by survey, and Permit No. TE–02351A locate and monitor nests) the California The applicant requests a permit Applicant: Timothy Searl, Hemet, least tern (Sternula antillarum browni) renewal and amendment to take (harass California. (Sterna a. browni); take (harass by by survey, capture, handle, and release) The applicant requests a new permit survey; locate and monitor nests, and the salt marsh harvest mouse to take (harass by survey; and locate and remove brown-headed cowbird (Reithrodontomys raviventris); take monitor nests) the southwestern willow (Molothrus ater) eggs and chicks from (perform egg mass surveys; and harass flycatcher (Empidonax traillii extimus); parasitized nests) the southwestern by survey, capture, handle, and release) take (locate and monitor nests) least willow flycatcher (Empidonax traillii the California tiger salamander (Santa Bell’s vireo (Vireo bellii pusillus); and extimus); and take (locate and monitor Barbara County and Sonoma County take (harass by survey, capture, handle, nests, and remove brown-headed Distinct Population Segment (DPS)) and release) the San Bernardino cowbird (Molothrus ater) eggs and (Ambystoma californiense)); take (harass Merriam’s kangaroo rat (Dipodomys chicks from parasitized nests) the least by survey using taped vocalization) the merriami parvus) and Stephens’ Bell’s vireo (Vireo bellii pusillus) in California Ridgway’s rail (California kangaroo rat (Dipodomys stephensi) in conjunction with survey and population clapper r.) (Rallus obsoletus obsoletus) conjunction with surveys and monitoring activities throughout the (R. longirostris o.); and take (harass by population monitoring activities range of the species in California for the survey, capture, handle, release, collect throughout the range of the species for purpose of enhancing the species’ vouchers, and collect branchiopod the purpose of enhancing the species’ survival. cysts) the Conservancy fairy shrimp survival. Permit No. TE–14554C (Branchinecta conservatio), longhorn fairy shrimp (Branchinecta Permit No. TE–14532C Applicant: Jaime Morales, Carlsbad, longiantenna), San Diego fairy shrimp Applicant: Hannah Donaghe, Santa California. (Branchinecta sandiegonensis), Barbara, California. The applicant requests a new permit Riverside fairy shrimp (Streptocephalus The applicant requests a new permit to take (survey by pursuit) the Quino woottoni), and vernal pool tadpole to take (harass by survey, capture, checkerspot butterfly (Euphydryas shrimp (Lepidurus packardi) in handle, and release) the tidewater goby editha quino) in conjunction with conjunction with survey and research (Eucyclogobius newberryi) in survey activities throughout the range of activities throughout the range of the conjunction with survey and population the species in California, for the purpose species in California for the purpose of monitoring activities throughout the of enhancing the species’ survival. enhancing the species’ survival.

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Permit No. TE–128462 The applicant requests a new permit Permit No. TE–27502B Applicant: Jonathan Feenstra, Altadena, to take (harass by survey, capture, Applicant: Patricia Schuyler, Vista, California. handle, release, collect vouchers, and California. collect branchiopod cysts) the The applicant requests a permit The applicant requests a new permit renewal to take (harass by survey) the Conservancy fairy shrimp (Branchinecta conservatio), longhorn fairy shrimp to take (survey by pursuit) the Quino southwestern willow flycatcher checkerspot butterfly (Euphydryas (Empidonax traillii extimus) in (Branchinecta longiantenna), San Diego fairy shrimp (Branchinecta editha quino) in conjunction with conjunction with survey activities survey activities throughout the range of throughout the range of the species in sandiegonensis), Riverside fairy shrimp (Streptocephalus woottoni), and vernal the species in California, for the purpose California for the purpose of enhancing of enhancing the species’ survival. the species’ survival. pool tadpole shrimp (Lepidurus packardi) in conjunction with survey Permit No. TE–039466 Permit No. TE–006559 activities throughout the range of the Applicant: U.S. Geological Survey, Applicant: Dale Powell, Riverside, species in California for the purpose of Idaho Cooperative Fish and Wildlife California. enhancing the species’ survival. Research Unit, Moscow, Idaho. The applicant requests a permit Permit No. TE–036499 The applicant requests a permit amendment to take (harass by survey, amendment to take (harass by capture, Applicant: Golden Gate National capture, and release) the Casey’s June handle, band, attach satellite beetle (Dinacoma caseyi); and take Recreation Area, San Francisco, transmitter, and release) the Yuma (harass by survey, capture, handle, California. Ridgway’s rail (Yuma clapper rail) release, collect vouchers, and collect (Rallus obsoletus yumanensis) (R. branchiopod cysts) the Conservancy The applicant requests a permit renewal and amendment to take (harass longirostris y.) in conjunction with fairy shrimp (Branchinecta conservatio), surveys and population studies longhorn fairy shrimp (Branchinecta by survey, capture, handle, collect voucher specimens, and release) the throughout the range of the species in longiantenna), San Diego fairy shrimp Arizona, California, and Nevada for the (Branchinecta sandiegonensis), tidewater goby (Eucyclogobius newberryi), and California freshwater purpose of enhancing the species’ Riverside fairy shrimp (Streptocephalus survival. woottoni), and vernal pool tadpole shrimp (Syncaris pacifica); take (harass shrimp (Lepidurus packardi) in by survey, capture, handle, and release) Permit No. TE–36118B conjunction with survey activities the San Francisco garter snake (Thamnophis sirtalis tetrataenia); take Applicant: Callie Amoaku, Escondido, throughout the range of the species in California. California, for the purpose of enhancing (harass by survey and pursuit) the the species’ survival. mission blue butterfly (Icaricia The applicant requests a new permit icarioides missionensis) and San Bruno to take (harass by survey, capture, Permit No. TE–787376 elfin butterfly (Callophrys mossii handle, and release) the Casey’s June Applicant: Bloom Biological Inc., Santa bayensis); and remove/reduce to beetle (Dinacoma caseyi); and take Ana, California. possession from lands under Federal (survey by pursuit) the Quino The applicant requests a permit jurisdiction Arctostaphylos montana checkerspot butterfly (Euphydryas renewal to take (harass by survey, subsp. ravenii (=A. hookeri subsp. editha quino) in conjunction with capture, handle, and release) the Pacific ravenii) (Raven’s manzanita), Suaeda survey activities throughout the range of pocket mouse (Perognathus californica (California seablite), Clarkia the species in California, for the purpose longimembris pacificus) and the arroyo franciscana (Presidio clarkia), Lessingia of enhancing the species’ survival. germanorum (=L.g. var. germanorum) toad (arroyo southwestern) (Anaxyrus Permit No. TE–181713 californicus); take (harass by performing (San Francisco lessingia), Hesperolinon predator management activities) the congestum (Marin dwarf flax), Potentilla Applicant: Cynthia Hartley, Ventura, California least tern (Sternula hickmanii (Hickman’s potentilla), California. antillarum browni) (Sterna a. browni); Arenaria paludicola (marsh sandwort), The applicant requests a permit take (harass by survey, locate and and Arctostaphylos franciscana amendment to take (harass by nest monitor nests, capture, handle, measure, (Franciscan manzanita) in conjunction monitoring using trail cameras) the weigh, band, color-band, and release) with survey, research, habitat California least tern (Sternula the southwestern willow flycatcher restoration, and invasive species antillarum browni) (Sterna a. browni) in (Empidonax traillii extimus); and take management activities in Marin, San conjunction with survey and population (harass by survey, locate and monitor Francisco, and San Mateo Counties in monitoring activities throughout the nests, remove brown-headed cowbird California for the purpose of enhancing range of the species in California for the (Molothrus ater) eggs and chicks from the species’ survival. purpose of enhancing the species’ survival. parasitized vireo nests; capture, Permit No. TE–14615C measure, weigh, band, color-band, and Permit No. TE–799568 release) least Bell’s vireo (Vireo bellii Applicant: Christopher Allen, Bishop, Applicant: Dana Kamada, San Clemente, pusillus) in conjunction with survey, California. population monitoring, and scientific California. research activities throughout the range The applicant requests a permit The applicant requests a permit of the species in California for the renewal to take (harass by survey) the renewal to take (survey by pursuit) the purpose of enhancing the species’ southwestern willow flycatcher Quino checkerspot butterfly survival. (Empidonax traillii extimus) in (Euphydryas editha quino); take (harass conjunction with survey activities in by survey, locate and monitor nests, Permit No. TE–14587C Mono and Inyo Counties in California remove brown-headed cowbird Applicant: Andrew McGuirk, Rocklin, for the purpose of enhancing the (Molothrus ater) eggs and chicks from California. species’ survival. parasitized nests; capture, measure,

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weigh, band, color-band, and release) Permit No. TE–79192A eggs/cysts; and perform hatching the southwestern willow flycatcher Applicant: Dallas Pugh, San Diego, experiments for species identifications) (Empidonax traillii extimus); take California. the Conservancy fairy shrimp (locate and monitor nests, remove (Branchinecta conservatio), longhorn brown-headed cowbird (Molothrus ater) The applicant requests a permit fairy shrimp (Branchinecta eggs and chicks from parasitized vireo renewal to take (survey by pursuit) the longiantenna), San Diego fairy shrimp nests; capture, measure, weigh, band, Quino checkerspot butterfly (Branchinecta sandiegonensis), color-band, and release) the least Bell’s (Euphydryas editha quino) in Riverside fairy shrimp (Streptocephalus vireo (Vireo bellii pusillus) in conjunction with survey activities woottoni), and vernal pool tadpole conjunction with survey, population throughout the range of the species in shrimp (Lepidurus packardi) in monitoring, and research activities California, for the purpose of enhancing conjunction with survey and research the species’ survival. throughout the range of the species in activities throughout the range of the California for the purpose of enhancing Permit No. TE–097516 species for the purpose of enhancing the species’ survival. the species’ survival. Applicant: Thomas Ryan, Monrovia, Permit No. TE–802089 California. Permit No. TE–776608 The applicant requests a permit Applicant: Monk and Associates, Inc., Applicant: Patricia Tatarian, Santa Rosa, amendment to take (harass by attaching Walnut Creek, California. California. global positioning system (gps) tags) the The applicant requests a permit The applicant requests a permit California least tern (Sternula renewal to take (harass by survey, renewal to take (harass by survey, antillarum browni) (Sterna a. browni) in capture, handle, measure, mark, and capture, handle, mark, PIT-tag, implant conjunction with telemetry and release) the salt marsh harvest mouse radio transmitters, collect tissue for scientific research activities throughout (Reithrodontomys raviventris); take genetic analysis, collect voucher the range of the species in California for (harass by survey, capture, handle, specimens, and release) the California the purpose of enhancing the species’ collect tissue samples for genetic tiger salamander (Santa Barbara County survival. analysis, collect voucher specimens, and Sonoma County Distinct Population Permit No. TE–96471A and release) the California tiger Segment (DPS)) (Ambystoma salamander (Santa Barbara County and californiense) in conjunction with Applicant: Mason Holmes, San Ramon, Sonoma County Distinct Population survey and research activities California. Segment (DPS)) (Ambystoma throughout the range of the species in The applicant requests a permit californiense)); and take (harass by California for the purpose of enhancing renewal to take (harass by survey, survey, capture, handle, release, collect the species’ survival. capture, handle, and release) the vouchers, and collect branchiopod California tiger salamander (Santa cysts) the Conservancy fairy shrimp Permit No. TE–14831C Barbara County and Sonoma County (Branchinecta conservatio), longhorn Distinct Population Segment (DPS)) fairy shrimp (Branchinecta Applicant: Orange County Zoo, Orange, (Ambystoma californiense) in California. longiantenna), San Diego fairy shrimp conjunction with survey activities (Branchinecta sandiegonensis), The applicant requests a new permit throughout the range of the species in Riverside fairy shrimp (Streptocephalus to take (acquire, care for, and California for the purpose of enhancing woottoni), and vernal pool tadpole educationally exhibit non-releasable the species’ survival. shrimp (Lepidurus packardi) in individuals) the San Joaquin kit fox Permit No. TE–14862C conjunction with survey, research, and (Vulpes macrotis mutica), giant population monitoring activities kangaroo rat (Dipodomys ingens), arroyo Applicant: Joseph Vu, Westminster, throughout the range of the species in toad (arroyo southwestern) (Anaxyrus California. California for the purpose of enhancing californicus), and Mexican wolf (Canis The applicant requests a new permit the species’ survival. lupus ssp. baileyi) in conjunction with to take (locate and monitor nests) the general husbandry of the acquired least Bell’s vireo (Vireo bellii pusillus) Permit No. TE–094642 specimens at the Orange County Zoo in in conjunction with survey and Applicant: Howard Shaffer, Los Orange, California, for the purpose of population monitoring activities Angeles, California. enhancing the species’ survival. throughout the range of the species in The applicant requests a permit California for the purpose of enhancing Permit No. TE–13632B renewal and amendment to take (harass the species’ survival. by survey; capture; handle; mark; insert Applicant: Elena Gregg, Chico, Permit No. TE–796284 passive integrated transponder (PIT) California. tags; swab for disease; release; relocate; Applicant: David Rogers, Lawrence, collect eggs and tissue or small The applicant requests a new permit Kansas. individuals for genetic analysis; to take (harass by survey, capture, The applicant requests a permit sacrifice/remove from the wild for handle, release, collect vouchers, and renewal to take (harass by survey, voucher specimens; captive rear; collect branchiopod cysts) the capture, handle, measure, and release) conduct stomach flushing for a diet Conservancy fairy shrimp (Branchinecta the Morro shoulderband snail (Banded study; and conduct instructional conservatio), longhorn fairy shrimp dune) (Helminthoglypta walkeriana) workshops involving field survey (Branchinecta longiantenna), and vernal and California freshwater shrimp methods) the California tiger pool tadpole shrimp (Lepidurus (Syncaris pacifica); and take (harass by salamander (Santa Barbara County and packardi) in conjunction with survey survey, capture, handle, release, collect Sonoma County Distinct Population activities throughout the range of the adult vouchers, collect branchiopod Segment (DPS)) (Ambystoma species in California for the purpose of cysts, retain in captivity, propagate, californiense); take (harass by survey; enhancing the species’ survival. process soil, microscopically identify capture, handle; mark and release;

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relocate; collect eggs and tissue or small Management and Budget (OMB) 2. The accuracy of the BLM’s estimate individuals for genetic analysis; previously approved this information of the burden of collecting the sacrifice/remove from the wild for collection activity, and assigned it information, including the validity of voucher specimens) the Santa Cruz control number 1004–0168. the methodology and assumptions used; long-toed salamander (Ambystoma DATES: The OMB is required to respond 3. The quality, utility and clarity of macrodactylum croceum); and take to this information collection request the information to be collected; and (harass by survey, capture, handle, within 60 days but may respond after 30 4. How to minimize the information release, collect vouchers, and collect days. For maximum consideration, collection burden on those who are to branchiopod cysts) the Conservancy written comments should be received respond, including the use of fairy shrimp (Branchinecta conservatio) on or before February 9, 2017. appropriate automated, electronic, in conjunction with survey, population ADDRESSES: Please submit comments mechanical, or other forms of monitoring, and research activities directly to the Desk Officer for the information technology. throughout the range of the species in Department of the Interior (OMB #1004– Please send comments as directed California for the purpose of enhancing 0168), Office of Management and under ADDRESSES and DATES. Please the species’ survival. Budget, Office of Information and refer to OMB control number 1004–0168 Public Comments Regulatory Affairs, fax 202–395–5806, in your correspondence. Before or by electronic mail at OIRA_ including your address, phone number, We invite public review and comment [email protected]. Please email address, or other personal on each of these recovery permit provide a copy of your comments to the identifying information in your applications. Comments and materials BLM. You may do so via mail, fax, or comment, you should be aware that we receive will be available for public electronic mail. your entire comment—including your inspection, by appointment, during Mail: U.S. Department of the Interior, personal identifying information—may normal business hours at the address Bureau of Land Management, 1849 C be made publicly available at any time. listed in the ADDRESSES section of this Street NW., Room 2134LM, Attention: While you can ask us in your comment notice. Jean Sonneman, Washington, DC 20240. to withhold your personal identifying Before including your address, phone Fax: Jean Sonneman at 202–245– information from public review, we number, email address, or other 0050. cannot guarantee that we will be able to personal identifying information in your Electronic mail: [email protected]. do so. comment, you should be aware that Please indicate ‘‘Attn: 1004–0168’’ The following information pertains to your entire comment—including your regardless of the form of your this request: personal identifying information—may comments. Title: Tramroads and Logging Roads be made publicly available at any time. (43 CFR part 2810). While you can ask us in your comment FOR FURTHER INFORMATION CONTACT: Form: BLM OR Form 2812–6, Report to withhold your personal identifying Dustin Wharton, at 541–471–6659. of Road Use. information from public review, we Persons who use a telecommunication cannot guarantee that we will be able to device for the deaf may call the Federal OMB Control Number: 1004–0168. do so. Relay Service at 1–800–877–8339, to Abstract: The BLM issues permits and leave a message for Mr. Wharton. You enters into right-of-way agreements to Angela Picco, may also review the information govern the use and construction of Acting Regional Director, Pacific Southwest collection request online at http:// tramroads and logging roads. Permits Region, Sacramento, California. www.reginfo.gov/public/do/PRAMain. required for these agreements provide [FR Doc. 2017–00285 Filed 1–9–17; 8:45 am] SUPPLEMENTARY INFORMATION: The for fees to be charged by the United BILLING CODE 4333–15–P Paperwork Reduction Act (44 U.S.C. States for road use and maintenance. 3501–3521) and OMB regulations at 5 The permittee must file the BLM OR CFR part 1320 provide that an agency Form 2812–6, Report of Road Use, DEPARTMENT OF THE INTERIOR may not conduct or sponsor a collection annually, biannually, quarterly, or monthly, depending on the terms of the Bureau of Land Management of information unless it displays a currently valid OMB control number. permit or agreement for a right-of-way [LLOR931000L63100000.HD000016X] Until OMB approves a collection of on BLM lands. Information in the form information, you are not obligated to is used by the BLM to monitor right-of- Renewal of Approved Information respond. In order to obtain and renew way compliance and to determine Collection; OMB Control No. 1004– an OMB control number, Federal appropriate fees associated with road 0168 agencies are required to seek public use and maintenance. Frequency: On occasion. AGENCY: Bureau of Land Management, comment on information collection and Interior. recordkeeping activities (see 5 CFR Description of Respondents: Individuals seeking a right-of-way ACTION: 30-day notice and request for 1320.8(d) and 1320.12(a)). agreement for tramroads and logging comments. As required at 5 CFR 1320.8(d), the BLM published a 60-day notice in the roads. SUMMARY: The Bureau of Land Federal Register on July 13, 2016 (81 FR Estimated Number of Responses Management (BLM) has submitted an 45302), and the comment period ended Annually: 272. information collection request to the September 12, 2016. The BLM received Estimated Reporting and Office of Management and Budget no comments. The BLM now requests Recordkeeping ‘‘Hour’’ Burden (OMB) to continue the collection of comments on the following subjects: Annually: 2,176. information to monitor right-of-way 1. Whether the collection of Estimated Reporting and compliance and determine road use and information is necessary for the proper Recordkeeping ‘‘Non-Hour Cost’’ road maintenance fees to be charged to functioning of the BLM, including Burden Annually: None. permit holders for tramroads and whether the information will have The estimated burdens are itemized in logging roads. The Office of practical utility; the following table:

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D. Total hours A. Type of response and 43 CFR citation B. Number of C. Hours per (column B × responses response column C)

Form OR–2812–6, Report of Road Use 43 CFR 2812.3 and 43 CFR 2812.5 ...... 272 8 2,176

Jean Sonneman, NPS Goals IIa1 (visitor satisfaction) and comment, you should be aware that Bureau of Land Management, Information IIb1 (visitor understanding and your entire comment, including your Collection Clearance Officer. appreciation). The Visitor Survey Card personal identifying information, may [FR Doc. 2017–00258 Filed 1–9–17; 8:45 am] (VSC) was developed to measure each be made publicly available at any time. BILLING CODE 4310–84–P park unit’s performance related to these While you can ask us in your comment two goals. The Visitor Survey Card to withhold your personal identifying contains eight questions regarding information from public review, we DEPARTMENT OF INTERIOR visitor evaluations of service and facility cannot guarantee that we will be able to quality, awareness of park significance, do so. National Park Service and basic demographic information. Dated: January 4, 2017. [NPS–WASO–NRSS–EQD–SSB XXXXX; Each year, all NPS units nationwide Madonna L. Baucum, (approximately 332) are required to PPWONRADE3, PPMRSNR1Y.NM000 (177)] Information Collection Clearance Officer, collect data using the Visitor Survey National Park Service. Proposed Information Collection; Card. Data and information collected National Park Service Visitor Survey through the VSC are used to measure [FR Doc. 2017–00211 Filed 1–9–17; 8:45 am] Card and report performance related to a BILLING CODE 4312–52–P broad list of GPRA Goals and to provide AGENCY: National Park Service, Interior. feedback used by Superintendents and ACTION: Notice; request for comments. other managers to develop performance INTERNATIONAL TRADE improvement plans. COMMISSION SUMMARY: We (National Park Service) will ask the Office of Management and II. Data [Investigation No. 337–TA–967] Budget (OMB) to approve an OMB Number: 1024–0216. Certain Document Cameras and information collection (IC) described Title: National Park Service Visitor Software for Use Therewith; below. As required by the Paperwork Survey Card. Commission Decision To Rescind a Reduction Act of 1995 and as part of our Type of Request: Renewal. Limited Exclusion Order and Cease continuing efforts to reduce paperwork Affected Public: General Public, any and Desist Order and respondent burden, we invite the person visiting the park during the general public and other federal sampling period. AGENCY: U.S. International Trade agencies to take this opportunity to Respondent Obligation: Voluntary. Commission. comment on this IC. We may not Frequency of Collection: One-time, on ACTION: Notice. conduct or sponsor, and a person is not occasion. SUMMARY: required to respond to, a collection of Estimated Number of Annual Notice is hereby given that information unless it displays a Responses: 175,000. the U.S. International Trade currently valid OMB Control Number. Annual Burden Hours: 4,116 hours. Commission has rescinded a limited exclusion order denying entry of certain DATES: To ensure that your comments Estimated Reporting and on this IC are considered, we must Recordkeeping ‘‘Non-Hour Cost’’ document cameras and software for use receive them on or before March 13, Burden: We have not identified any therewith and a cease and desist order 2017. ‘‘non-hour cost’’ burdens associated against QOMO HiteVision, LLC with this collection of information. (‘‘QOMO’’) based on settlement. ADDRESSES: Direct all written comments FOR FURTHER INFORMATION CONTACT: on this IC to Phadrea Ponds, III. Request for Comments Amanda Pitcher Fisherow, Esq., Office Information Collection Coordinator, We invite comments concerning this of the General Counsel, U.S. National Park Service, 1201 Oakridge information collection on: International Trade Commission, 500 E Drive, Fort Collins, CO 80525 (mail); or • Street SW., Washington, DC 20436, _ The practical utility of the phadrea [email protected] (email). Please information being gathered; telephone (202) 205–2737. Copies of reference Information Collection 1024– • The accuracy of the burden for this non-confidential documents filed in 0216 in the subject line. collection of information; connection with this investigation are or FOR FURTHER INFORMATION CONTACT: Bret • Ways to enhance the quality, utility, will be available for inspection during Meldrum, Chief Social Science Program, and clarity of the information to be official business hours (8:45 a.m. to 5:15 1201 Oakridge Drive, Fort Collins, CO, collected; and p.m.) in the Office of the Secretary, U.S. 80525 (mail) or [email protected] • Ways to minimize the burden of the International Trade Commission, 500 E (email). collection of information on Street SW., Washington, DC 20436, SUPPLEMENTARY INFORMATION: respondents. telephone (202) 205–2000. General Comments that you submit in information concerning the Commission I. Abstract response to this notice are a matter of may also be obtained by accessing its The National Park Service (NPS) is public record. We will include or Internet server at https://www.usitc.gov. required to provide an understanding of summarize each comment in our request The public record for this investigation visitor satisfaction and an to OMB to approve this IC. Before may be viewed on the Commission’s understanding of the park and agency’s including your address, phone number, electronic docket (EDIS) at https:// performance related to The Government email address, or other personal edis.usitc.gov. Hearing-impaired Performance and Results Act (GPRA) identifying information in your persons are advised that information on

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this matter can be obtained by By order of the Commission. This notice announces the extension of contacting the Commission’s TDD Issued: January 4, 2017. the deadline for the solicitation of terminal on (202) 205–1810. Lisa R. Barton, applications for this Commissioner SUPPLEMENTARY INFORMATION: The Secretary to the Commission. vacancy until January 26, 2017. The National Commission on Forensic Commission instituted this investigation [FR Doc. 2017–00179 Filed 1–9–17; 8:45 am] Science was chartered on April 23, 2013 on September 24, 2015, based on a BILLING CODE 7020–02–P complaint filed on behalf of Pathway and the charter was renewed on April Innovations & Technologies, Inc. of San 23, 2015. The Commission is co-chaired Diego, California (‘‘Complainant’’). 80 by the Department of Justice and DEPARTMENT OF JUSTICE FR 57642 (September 24, 2015). The National Institute of Standards and complaint alleges violations of Section [Docket No. ODAG 167] Technology. The Commission provides 337 of the Tariff Act of 1930, as recommendations and advice to the amended, 19 U.S.C. 1337, in the sale for National Commission on Forensic Department of Justice concerning importation, importation, or sale within Science Extension of the Deadline for national methods and strategies for: the United States after importation of the Solicitation of Applications for Strengthening the validity and certain document cameras and software Additional Statistician Commission reliability of the forensic sciences for use therewith by reason of Membership (including medico-legal death infringement of certain claims of U.S. investigation); enhancing quality AGENCY: Department of Justice. Design Patent No. D647,906; U.S. Design assurance and quality control in Patent No. D674,389; U.S. Design Patent ACTION: Extension of the deadline for the forensic science laboratories and units; No. D715,300; and U.S. Patent No. solicitation of applications for identifying and recommending 8,508,751. The Commission’s notice of additional Commission membership scientific guidance and protocols for investigation named the following with subject matter expertise in evidence seizure, testing, analysis, and respondents: Recordex USA, Inc., of statistics for the National Commission reporting by forensic science Long Island City, New York on Forensic Science. laboratories and units; and identifying (‘‘Recordex’’); QOMO of Wixom, and assessing other needs of the forensic SUMMARY: Pursuant to the Federal Michigan; and Adesso, Inc. of Walnut, science communities to strengthen their Advisory Committee Act, as amended, a California (‘‘Adesso’’). The Office of disciplines and meet the increasing notice that announced the solicitation of Unfair Import Investigations was named demands generated by the criminal and as a party but has subsequently applications for additional Commission civil justice systems at all levels of withdrawn from the investigation. membership on the National government. Commission membership Adesso was terminated based on a Commission on Forensic Science includes Federal, State, and Local consent order stipulation and consent specifically to fill a current statistician forensic science service providers; order. Order No. 5 (unreviewed) (Nov. Commissioner vacancy was published research scientists and academicians; 23, 2015). QOMO was found to be in in the Federal Register on December 27, prosecutors, defense attorneys, and default. Order No. 10 (unreviewed) 2016 and that applications must be judges; law enforcement; and other (Dec. 7, 2015). Recordex was terminated received on or before January 11, 2017 relevant backgrounds. The Commission based on settlement. Order No. 19 (81 FR 95196). This notice announces reports to the Attorney General, who (unreviewed) (May 13, 2016). the extension of the deadline for the through the Deputy Attorney General, On December 7, 2015, the solicitation of applications for this shall direct the work of the Commission Commission determined not to review Commissioner vacancy until January 26, in fulfilling its mission. an initial determination finding QOMO 2017. The duties of the Commission in default. On August 5, 2016, the DATES: Applications must be received include: (a) Recommending priorities Commission issued a limited exclusion on or before January 26, 2017. for standards development; (b) order and cease and desist order ADDRESSES: All applications should be reviewing and recommending directed to QOMO. submitted to: Jonathan McGrath, endorsement of guidance identified or On November 22, 2016, Complainant Designated Federal Officer, 810 7th developed by subject-matter experts; (c) filed a petition to rescind the limited Street NW., Washington, DC 20531, by developing proposed guidance exclusion order and cease and desist email at [email protected]. concerning the intersection of forensic order because the parties had entered science and the courtroom; (d) FOR FURTHER INFORMATION CONTACT: into a settlement agreement. The developing policy recommendations, Jonathan McGrath, Designated Federal petition argued that the parties’ including a uniform code of Officer, 810 7th Street NW., agreement constitutes changed professional responsibility and Washington, DC 20531, by email circumstances sufficient under minimum requirements for training, [email protected], or by Commission Rule 210.76(a)(1) to accreditation and/or certification; and warrant rescission of the limited phone at (202) 514–6277. (e) identifying and assessing the current exclusion order and cease and desist SUPPLEMENTARY INFORMATION: Pursuant and future needs of the forensic sciences order. to the Federal Advisory Committee Act, to strengthen their disciplines and meet The Commission has determined to as amended (5 U.S.C. App.), a notice growing demand. grant the petition and to rescind the that announced the solicitation of Members will be appointed by the limited exclusion order and cease and applications for additional Commission Attorney General in consultation with desist order direct to QOMO. membership on the National the Director of the National Institute of The authority for the Commission’s Commission on Forensic Science Standards and Technology and the vice- determination is contained in section specifically to fill a current chairs of the Commission. Additional 337 of the Tariff Act of 1930, as Commissioner vacancy with expertise in members will be selected to fill amended (19 U.S.C. 1337), and in part statistics was published in the Federal vacancies to maintain a balance of 210 of the Commission’s Rules of Register on December 27, 2016 and that perspective and diversity of Practice and Procedure (19 CFR part applications must be received on or experiences, including Federal, State, 210). before January 11, 2017 (81 FR 95196). and Local forensic science service

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providers; research scientists and a statement of support from the used for cost-effectiveness analysis, academicians; Federal, State, Local applicant’s employer. Potential including lease-purchase analysis, as prosecutors, defense attorneys and candidates may be asked to provide specified in the revised Circular. They judges; law enforcement; and other detailed information as necessary do not apply to regulatory analysis. relevant stakeholders. DOJ encourages regarding financial interests, DATES: The revised discount rates will submissions from applicants with employment, and professional be in effect through December 2017. respect to diversity of backgrounds, affiliations to evaluate possible sources professions, ethnicities, gender, and of conflicts of interest. The application FOR FURTHER INFORMATION CONTACT: geography. The Commission shall period will remain open through Gideon Lukens, Office of Economic consist of approximately 30 voting January 26, 2017. The applications must Policy, Office of Management and members. Members will serve without be sent in one complete package, by Budget, (202) 395–3316. compensation. The Commission email, to Jonathan McGrath (contact Devin O’Connor, generally meets four times each year at information above) with the subject line Associate Director for Economic Policy, Office approximately three-month intervals. of the email entitled, ‘‘NCFS of Management and Budget. Membership 2017.’’ Other sources, in The next Commission meetings will be Attachment addition to the Federal Register notice, held on January 9–10, 2017 and April OMB Circular No. A–94 10–11, 2017 in Washington, DC may be utilized in the solicitation of Additional information regarding the applications. Appendix C Commission can be found at: http:// Dated: January 4, 2017. (Revised November 2016) www.justice.gov/ncfs. Jonathan McGrath, Note: The Commission is developing Discount Rates for Cost-Effectiveness, Designated Federal Officer, National Lease Purchase, and Related Analyses a draft Views document on Statistical Commission on Forensic Science. Statements in Forensic Testimony, and [FR Doc. 2017–00210 Filed 1–9–17; 8:45 am] Effective Dates. This appendix is it is anticipated that the additional BILLING CODE 4410–18–P updated annually. This version of the Commissioner member will contribute appendix is valid for calendar year to the Commission’s discussions on this 2017. A copy of the updated appendix topic, as well as all other Commission OFFICE OF MANAGEMENT AND can be obtained in electronic form activities. On December 12, 2016, the BUDGET through the OMB home page at http:// Department of Justice published in the www.whitehouse.gov/omb/circulars_ Federal Register a Notice announcing Discount Rates for Cost-Effectiveness a094/a94_appx-c/. The text of the the January 9–10, 2017, Federal Analysis of Federal Programs Circular is found at http:// Advisory Committee Meeting of the www.whitehouse.gov/omb/circulars_ AGENCY: Office of Management and National Commission on Forensic Budget. a094/, and a table of past years’ rates is Science (81 FR 89509). That Notice also located at http://www.whitehouse.gov/ ACTION: announced that comments on draft work Revisions to Appendix C of sites/default/files/omb/assets/a94/ OMB Circular A–94. products can be submitted through dischist.pdf. Updates of the appendix www.regulations.gov starting on SUMMARY: The Office of Management are also available upon request from December 23, 2016. Any comments and Budget revised Circular A–94 in OMB’s Office of Economic Policy (202– should be posted to 1992. The revised Circular specified 395–3316). www.regulations.gov no later than certain discount rates to be updated Nominal Discount Rates. A forecast of January 25, 2017. annually when the interest rate and nominal or market interest rates for Applications: Any qualified person inflation assumptions used to prepare calendar year 2017 based on the may apply to be considered for the Budget of the United States economic assumptions for the 2018 appointment to this advisory committee. Government were changed. These Budget is presented below. These Each application should include: (1) A discount rates are found in Appendix C nominal rates are to be used for resume or curriculum vitae; (2) a of the revised Circular. The updated discounting nominal flows, which are statement of interest describing the discount rates are shown below. The often encountered in lease-purchase applicant’s relevant experience; and (3) discount rates in Appendix C are to be analysis.

NOMINAL INTEREST RATES ON TREASURY NOTES AND BONDS OF SPECIFIED MATURITIES [in percent]

3-Year 5-Year 7-Year 10-Year 20-Year 30-Year

1.4 1.7 1.9 2.1 2.5 2.8

Real Discount Rates. A forecast of real on the economic assumptions from the constant-dollar flows, as is often interest rates from which the inflation 2018 Budget is presented below. These required in cost-effectiveness analysis. premium has been removed and based real rates are to be used for discounting

REAL INTEREST RATES ON TREASURY NOTES AND BONDS OF SPECIFIED MATURITIES [in percent]

3-Year 5-Year 7-Year 10-Year 20-Year 30-Year

¥0.5 ¥0.3 0.0 0.1 0.5 0.7

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Analyses of programs with terms and Agency Assistance (ACRA) using requesting disposition authority, this different from those presented above one of the following means: notice lists the organizational unit(s) may use a linear interpolation. For Mail: NARA (ACRA); 8601 Adelphi accumulating the records (or notes that example, a four-year project can be Road; College Park, MD 20740–6001. the schedule has agency-wide evaluated with a rate equal to the Email: [email protected]. applicability when schedules cover average of the three-year and five-year FAX: 301–837–3698. records that may be accumulated rates. Programs with durations longer You must cite the control number, throughout an agency); provides the than 30 years may use the 30-year which appears in parentheses after the control number assigned to each interest rate. name of the agency that submitted the schedule, the total number of schedule [FR Doc. 2017–00209 Filed 1–9–17; 8:45 am] schedule, and a mailing address. If you items, and the number of temporary items (the records proposed for BILLING CODE P would like an appraisal report, please include that in your request. destruction); and includes a brief FOR FURTHER INFORMATION CONTACT: description of the temporary records. The records schedule itself contains a NATIONAL ARCHIVES AND RECORDS Margaret Hawkins, Director, by mail at full description of the records at the file ADMINISTRATION Records Appraisal and Agency Assistance (ACRA); National Archives unit level as well as their disposition. If [NARA–2017–018] and Records Administration; 8601 NARA staff has prepared an appraisal Adelphi Road; College Park, MD 20740– memorandum for the schedule, it also Records Schedules; Availability and 6001, by phone at 301–837–1799, or by includes information about the records. Request for Comments email at [email protected]. You may request additional information about the disposition process at the AGENCY: National Archives and Records SUPPLEMENTARY INFORMATION: Each year, addresses above. Administration (NARA). Federal agencies create billions of ACTION: Notice of availability of records on paper, film, magnetic tape, Schedules Pending proposed records schedules; request for and other media. To control this 1. Department of the Army, Agency- comments. accumulation, agency records managers wide (DAA–AU–2016–0063, 1 item, 1 prepare schedules proposing records temporary item). Master files of an SUMMARY: The National Archives and retention periods and submit these Records Administration (NARA) electronic information system used to schedules for NARA’s approval. These provide background data for safety and publishes notice at least once monthly schedules provide for timely transfer of certain Federal agency requests for occupational health programs. into the National Archives of 2. Department of Homeland Security, records disposition authority (records historically valuable records and schedules). Once approved by NARA, Transportation Security Administration authorize the agency to dispose of all (DAA–0560–2017–0001, 1 item, 1 records schedules provide mandatory other records after the agency no longer instructions on what happens to records temporary item). Files related to needs them to conduct its business. employee requests for a change in duty when agencies no longer need them for Some schedules are comprehensive and current Government business. The station due to a personal hardship. cover all the records of an agency or one 3. Department of Homeland Security, records schedules authorize agencies to of its major subdivisions. Most United States Citizenship and preserve records of continuing value in schedules, however, cover records of Immigration Services (DAA–0566– the National Archives of the United only one office or program or a few 2016–0021, 5 items, 5 temporary items). States and to destroy, after a specified series of records. Many of these update Applications for approval of potential period, records lacking administrative, previously approved schedules, and job-creating commercial enterprises that legal, research, or other value. NARA some include records proposed as immigrant investors may finance. publishes notice in the Federal Register permanent. 4. Department of Homeland Security, for records schedules in which agencies The schedules listed in this notice are United States Citizenship and propose to destroy records not media neutral unless otherwise Immigration Services (DAA–0566– previously authorized for disposal or specified. An item in a schedule is 2016–0022, 8 items, 8 temporary items). reduce the retention period of records media neutral when an agency may Applications for a travel document to already authorized for disposal. NARA apply the disposition instructions to demonstrate to a commercial invites public comments on such records regardless of the medium in transportation carrier a permanent records schedules, as required by 44 which it creates or maintains the resident’s eligibility to enter the United U.S.C. 3303a(a). records. Items included in schedules States. DATES: NARA must receive requests for submitted to NARA on or after 5. Department of Homeland Security, copies in writing by February 9, 2017. December 17, 2007, are media neutral United States Citizenship and Once NARA finishes appraising the unless the item is expressly limited to Immigration Services (DAA–0566– records, we will send you a copy of the a specific medium. (See 36 CFR 2017–0001, 9 items, 9 temporary items). schedule you requested. We usually 1225.12(e).) Petitions from large multinational prepare appraisal memoranda that Agencies may not destroy Federal corporations to be granted approval to contain additional information records without Archivist of the United participate in a simplified process for concerning the records covered by a States’ approval. The Archivist approves requesting visas for intra-company proposed schedule. You may also destruction only after thoroughly transfers of managers and professionals. request these. If you do, we will also considering the records’ administrative 6. Department of Justice, Federal provide them once we have completed use by the agency of origin, the rights Bureau of Investigation (DAA–0065– the appraisal. You have 30 days after we of the Government and of private people 2016–0002, 1 item, 1 temporary item). send to you these requested documents directly affected by the Government’s Master files of an electronic information in which to submit comments. activities, and whether or not the system used to track actions and results ADDRESSES: You may request a copy of records have historical or other value. related to encounters between law any records schedule identified in this In addition to identifying the Federal enforcement officials and known or notice by contacting Records Appraisal agencies and any subdivisions suspected terrorists, including

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namecheck verification results and of July 5, 2016, these sessions will be subsection (c)(6) of section 552b of title encounter analysis. closed to the public pursuant to 5, United States Code. 7. Department of the Treasury, Bureau subsection (c)(6) of section 552b of Title Dated: January 5, 2017. of Engraving and Printing (DAA–0318– 5, United States Code. Kathy Plowitz-Worden, 2017–0001, 2 items, 2 temporary items). Dated: January 5, 2017. Facility security surveillance Panel Coordinator, National Endowment for Kathy Plowitz-Worden, the Arts. recordings. 8. Federal Communications Panel Coordinator, National Endowment for [FR Doc. 2017–00243 Filed 1–9–17; 8:45 am] the Arts. Commission, International Bureau BILLING CODE 7537–01–P (DAA–0173–2016–0012, 6 items, 6 [FR Doc. 2017–00244 Filed 1–9–17; 8:45 am] temporary items). Records related to BILLING CODE 7537–01–P meetings of the International NUCLEAR REGULATORY Telecommunications Union. COMMISSION NATIONAL FOUNDATION ON THE Laurence Brewer, ARTS AND THE HUMANITIES [Docket No. 50–346; NRC–2010–0298] Chief Records Officer for the U.S. Government. National Endowment for the Arts FirstEnergy Nuclear Operating Company; Davis-Besse Nuclear Power [FR Doc. 2017–00192 Filed 1–9–17; 8:45 am] Arts Advisory Panel Meetings Station, Unit No. 1 BILLING CODE 7515–01–P AGENCY: National Endowment for the AGENCY: Nuclear Regulatory Arts, National Foundation on the Arts Commission. NATIONAL FOUNDATION ON THE and Humanities. ACTION: Environmental assessment and ARTS AND THE HUMANITIES ACTION: Notice of meetings. finding of no significant impact; issuance. National Endowment for the Arts SUMMARY: Pursuant to the Federal Advisory Committee Act, as amended, SUMMARY: The U.S. Nuclear Regulatory Federal Advisory Committee on notice is hereby given that 3 meetings of Commission (NRC) is considering International Exhibitions (FACIE) Panel the Arts Advisory Panel to the National issuance of an amendment to Renewed Meeting Council on the Arts will be held by Facility Operating License No. NPF–3 AGENCY: National Endowment for the teleconference unless otherwise noted. for the Davis-Besse Nuclear Power Arts, National Foundation on the Arts DATES: All meetings are Eastern time Station, Unit No. 1 (Davis-Besse), as and the Humanities. and ending times are approximate: requested by FirstEnergy Nuclear Operating Company (FENOC, the ACTION: Notice of meeting. Music (review of applications): This meeting will be closed. licensee). SUMMARY: Pursuant to the Federal Date and time: February 8, 2017— DATES: The environmental assessment Advisory Committee Act, as amended, 3:00 p.m. to 5:00 p.m. (EA) referenced in this document is notice is hereby given that a meeting of State/Regional (review of partnership available on January 10, 2017. the Federal Advisory Committee on agreements): This meeting will be open. ADDRESSES: Please refer to Docket ID International Exhibitions (FACIE) Panel Date and time: February 8, 2017— NRC–2010–0298 when contacting the will be held by teleconference from the 2:00 p.m. to 2:40 p.m. NRC about the availability of National Endowment for the Arts, State/Regional (review of information regarding this document. Constitution Center, 400 7th St. SW., applications): This meeting will be You may obtain publicly available Washington, DC 20506 as follows (all closed. information related to this document meetings are Eastern time and ending Date and time: February 8, 2017— using any of the following methods: times are approximate): Federal 2:45 p.m. to 3:15 p.m. • Federal Rulemaking Web site: Go to Advisory Committee on International ADDRESSES: National Endowment for the http://www.regulations.gov and search Exhibitions (application review): This Arts, Constitution Center, 400 7th St. for Docket ID NRC–2010–0298. Address meeting will be closed. SW., Washington, DC 20506. questions about NRC dockets to Carol DATES: February 23, 2017—2:00 p.m. to FOR FURTHER INFORMATION CONTACT: Gallagher; telephone: 301–415–3463; 4:00 p.m. Further information with reference to email: [email protected]. For FOR FURTHER INFORMATION CONTACT: these meetings can be obtained from Ms. technical questions, contact the Further information with reference to Kathy Plowitz-Worden, Office of individual listed in the FOR FURTHER these meetings can be obtained from Ms. Guidelines & Panel Operations, National INFORMATION CONTACT section of this Kathy Plowitz-Worden, Office of Endowment for the Arts, Washington, document. Guidelines & Panel Operations, National DC 20506—[email protected], or call • NRC’s Agencywide Documents Endowment for the Arts, Washington, 202/682–5691. Access and Management System DC 20506; [email protected], or call SUPPLEMENTARY INFORMATION: The (ADAMS): You may obtain publicly- 202/682–5691. closed portions of meetings are for the available documents online in the SUPPLEMENTARY INFORMATION: The purpose of Panel review, discussion, ADAMS Public Documents collection at closed portions of meetings are for the evaluation, and recommendations on http://www.nrc.gov/reading-rm/ purpose of Panel review, discussion, financial assistance under the National adams.html. To begin the search, select evaluation, and recommendations on Foundation on the Arts and the ‘‘ADAMS Public Documents’’ and then financial assistance under the National Humanities Act of 1965, as amended, select ‘‘Begin Web-based ADAMS Foundation on the Arts and the including information given in Search.’’ For problems with ADAMS, Humanities Act of 1965, as amended, confidence to the agency. In accordance please contact the NRC’s Public including information given in with the determination of the Chairman Document Room (PDR) reference staff at confidence to the agency. In accordance of July 5, 2016, these sessions will be 1–800–397–4209, 301–415–4737, or by with the determination of the Chairman closed to the public pursuant to email to [email protected]. The

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ADAMS accession number for each implementation of certain 10 CFR organ dose rate limit of 1500 mrem per document referenced (if it is available in 50.36a requirements applicable to year (approximately 0.17 mrem per ADAMS) is provided the first time that Davis-Besse. In June 1999, the NRC hour). it is mentioned in this document. approved Technical Specification Task The proposed action is in accordance • NRC’s PDR: You may examine and Force (TSTF) Traveler TSTF–258, with the licensee’s application dated purchase copies of public documents at Revision 4, ‘‘Changes to Section 5.0, February 9, 2016 (ADAMS Accession the NRC’s PDR, Room O1–F21, One Administrative Controls’’ (ADAMS No. ML16041A115). White Flint North, 11555 Rockville Accession No. ML040620102), which Need for the Proposed Action Pike, Rockville, Maryland 20852. included similar changes to the FOR FURTHER INFORMATION CONTACT: radioactive effluents control program to The proposed action would provide Blake Purnell, Office of Nuclear Reactor what the licensee has proposed. The the licensee with operational flexibility Regulation, U.S. Nuclear Regulatory changes in TSTF–258, Revision 4, were to temporarily increase the Commission, Washington, DC 20555– subsequently incorporated into concentrations of radioactive material in 0001; telephone: 301–415–1380; email: NUREG–1430. gaseous and liquid effluents released [email protected]. Davis-Besse TS 5.5.3.b provides from the site. SUPPLEMENTARY INFORMATION: limitations on the instantaneous Environmental Impacts of the Proposed concentrations of radioactive material in Action I. Introduction liquid effluents released to unrestricted The NRC has evaluated the proposed The NRC is considering issuance of an areas. Currently, the licensee may action and concludes that the proposed amendment to Renewed Facility release liquid effluents with action will not significantly increase the Operating License No. NPF–3, issued to instantaneous radioactive material concentrations less than or equal to the probability or consequences of FENOC, for Davis-Besse, located on the accidents. No changes are being made in south-western shore of Lake Erie in average annual concentration values in 10 CFR part 20, appendix B, Table 2, the types of effluents that may be Ottawa County, Ohio, approximately 21 released offsite. miles east of Toledo, Ohio. The Column 2. The proposed change would allow the licensee to release liquid The licensee would still be required proposed amendment would revise by Davis-Besse TS 5.5.3 to monitor, Davis-Besse Technical Specification effluents with instantaneous radioactive material concentrations up to 10 times sample, and analyze gaseous and liquid (TS) 5.5.3, ‘‘Radioactive Effluent effluents, and to determine the Controls Program,’’ to allow an increase the annual average concentration values in 10 CFR part 20, appendix B, Table 2, cumulative and projected dose in the instantaneous concentrations of contributions from radioactive effluents radioactive material released in liquid Column 2. The current limits are equivalent to a dose rate limit of 50 for the current calendar quarter and effluents and an increase in the current calendar year at least every 31 instantaneous dose rates from millirem (mrem) per year (approximately 0.0057 mrem per hour). days. The licensee must continue to radioactive material released in gaseous meet the criteria in 10 CFR part 50, effluents. The licensee would continue The revised limits are equivalent to a dose rate limit of 500 mrem per year appendix I, ‘‘Numerical Guides for to maintain the same TS and regulatory Design Objectives and Limiting limitations on the overall level of (approximately 0.057 mrem per hour). Davis-Besse TS 5.5.3.g provides Conditions for Operation to Meet the effluent control at Davis-Besse, Criterion ‘As Low as is Reasonably including limitations on the dose to a limitations on the instantaneous dose rate resulting from radioactive material Achievable’ for Radioactive Material in member of the public in an unrestricted released in gaseous effluent from the Light-Water-Cooled Nuclear Power area. In accordance with the National site. The licensee proposes to change Reactor Effluents,’’ which: (1) Limit the Environmental Policy Act of 1969, as the instantaneous dose rate limits in TS annual public dose from liquid effluents amended (42 U.S.C. 4321 et seq.) and 5.5.3.g such that they are no longer to 3 mrem to the total body and 10 section 51.21 of title 10 of the Code of based on the average annual effluent mrem to any organ, (2) limit the annual Federal Regulations (10 CFR), the NRC concentrations in air that are tabulated air dose due to gaseous effluents to 10 performed an EA. Based on the results in 10 CFR part 20, appendix B, Table 2, millirad for gamma radiation and 20 of the EA that follows, the NRC has Column 1. The current limits millirad for beta radiation, and (3) limit concluded that the proposed action will correspond to a dose rate limit of 50 annual organ doses to members of the have no significant environmental mrem (approximately 0.0057 mrem per public to 15 mrem for iodines and impact, and is issuing a finding of no hour) per year for inhalation of the particulates. The regulations in 10 CFR significant impact. gaseous effluent, or a dose rate limit of 20.1301 require the licensee to limit the II. Environmental Assessment 100 mrem per year (approximately 0.011 dose to members of the public to 100 mrem per hour) if submersion in the mrem total effective dose equivalent Description of the Proposed Action gaseous effluent (i.e., external dose) is annually and 2 mrem in any 1 hour The proposed action would revise the more limiting. from external sources. The regulations radiological effluent controls program in For noble gases, the revised Davis- in 40 CFR part 190 require the licensee Davis-Besse TS 5.5.3, specifically TS Besse TS 5.5.3.g would allow an to limit the annual dose to a member of 5.5.3.b and TS 5.5.3.g, to be consistent increase in the instantaneous whole the public to 25 mrem whole body, 75 with TS 5.5.4.b and TS 5.5.4.g, body external dose rate limit to 500 mrem thyroid, and 25 mrem to any respectively, in NUREG–1430, mrem per year (approximately 0.057 other organ. As stated above, the revised ‘‘Standard Technical Specifications, mrem per hour) and an increase in the TSs would limit dose rates from Babcock and Wilcox Plants,’’ Revision instantaneous skin dose rate limit to instantaneous releases to substantially 4.0, published in April 2012 (ADAMS 3000 mrem per year (approximately 0.34 less than 1 mrem per hour. Accession No. ML12100A177). TS 5.5.4, mrem per hour). For iodine-131, iodine- Thus, the proposed action would ‘‘Radiological Effluent Controls 133, tritium, and all radionuclides in allow an increase in the instantaneous Program,’’ of NUREG–1430, Revision particulate form with half-lives greater concentrations of radioactive material 4.0, contains guidance on the standard than 8 days, the revised Davis-Besse TS released in liquid effluents and an format and content of the TSs for the 5.5.3.g would establish an instantaneous increase in the instantaneous dose rates

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from radioactive material released in limitations on the overall level of Dated: January 5, 2017. gaseous effluents, without allowing an effluent control at Davis-Besse, Brent J. Fields, increase in the dose limits to members including limitations on the dose to a Secretary. of the public in unrestricted areas member of the public in an unrestricted [FR Doc. 2017–00376 Filed 1–6–17; 11:15 am] specified in 10 CFR 20.1301, Appendix area. Based on the environmental BILLING CODE 8011–01–P I to 10 CFR part 50, and 40 CFR 190. assessment, the NRC concludes that the With regard to potential non- proposed action will not have a radiological impacts, the proposed significant effect on the quality of the SECURITIES AND EXCHANGE action does not have any foreseeable human environment. Accordingly, the COMMISSION impacts to land, air quality, or water NRC has determined not to prepare an [Release No. 34–79734; File No. SR–NSCC– resources, including impacts to biota. In environmental impact statement for the 2016–007] addition, there are also no known proposed action. socioeconomic or environmental justice Dated at Rockville, Maryland, this 4th day Self-Regulatory Organizations; impacts or impacts to historic and of January 2017. National Securities Clearing cultural resources associated with the For the Nuclear Regulatory Commission. Corporation; Order Granting Approval proposed action. Therefore, there are no Blake A. Purnell, of Proposed Rule Change To significant non-radiological Accommodate Shorter Standard Project Manager, Plant Licensing Branch III, environmental impacts associated with Settlement Cycle and Make Other the proposed action. Division of Operating Reactor Licensing, Office of Nuclear Reactor Regulation. Changes Accordingly, the NRC concludes that there are no significant environmental [FR Doc. 2017–00263 Filed 1–9–17; 8:45 am] January 4, 2017. impacts associated with the proposed BILLING CODE 7590–01–P On November 7, 2016, National action. Securities Clearing Corporation NSCC filed with the Securities and Exchange Environmental Impacts of the SECURITIES AND EXCHANGE Commission (‘‘Commission’’) proposed Alternatives to the Proposed Action COMMISSION rule change SR–NSCC–2016–007, As an alternative to the proposed pursuant to Section 19(b)(1) of the action, the NRC staff considered denial Sunshine Act Meeting Securities Exchange Act of 1934 of the proposed action (i.e., the ‘‘no- Notice is hereby given, pursuant to (‘‘Act’’) 1 and Rule 19b–4 thereunder.2 action’’ alternative). Denial of the TS the provisions of the Government in the The proposed rule change was amendment request would result in no Sunshine Act, Public Law 94–409, that published for comment in the Federal change in current environmental the Securities and Exchange Register on November 25, 2016.3 The impacts. The environmental impacts of Commission will hold a closed meeting Commission did not receive any the proposed TS amendment request on Thursday, January 12, 2017 at 2 p.m. comment letters on the proposed rule and the ‘‘no action’’ alternative are Commissioners, Counsel to the change. For the reasons discussed similar. Commissioners, the Secretary to the below, the Commission is granting approval of the proposed rule change. Alternative Use of Resources Commission, and recording secretaries will attend the closed meeting. Certain The action does not involve the use of I. Description of the Proposed Rule staff members who have an interest in Change any different resources than those the matters also may be present. previously considered in the ‘‘Generic The General Counsel of the The proposed rule change consists of Environmental Impact Statement for Commission, or her designee, has amendments to NSCC’s Rules & 4 License Renewal of Nuclear Plants certified that, in her opinion, one or Procedures (‘‘Rules’’) in order to [NUREG–1437], Supplement 52, more of the exemptions set forth in 5 ensure, according to NSCC, that the Regarding Davis-Besse Nuclear Power U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Rules are consistent with the Station, Final Report,’’ Volumes 1 and 2, and 17 CFR 200.402(a)(3), (a)(5), (a)(7), anticipated industry-wide move to a dated April 2015 (ADAMS Accession (a)(9)(ii) and (a)(10), permit shorter standard settlement cycle for 5 Nos. ML15112A098 and ML15113A187, consideration of the scheduled matter at certain securities from the third respectively). the closed meeting. business day after the trade date (‘‘T+3’’) to the second business day after the Agencies and Persons Consulted Commissioner Piwowar, as duty officer, voted to consider the items trade date (‘‘T+2’’), as described below. The staff did not enter into listed for the closed meeting in closed However, NSCC would not implement consultation with any other Federal session. agency or with the State of Ohio The subject matter of the closed 1 15 U.S.C. 78s(b)(1). regarding the environmental impact of meeting will be: 2 17 CFR 240.19b–4. the proposed action. Institution and settlement of 3 See Securities Exchange Act Release No. 79356 (November 18, 2016), 81 FR 85299 (November 25, III. Finding of No Significant Impact injunctive actions; 2016) (SR–NSCC–2016–007); (‘‘Notice’’). Institution and settlement of 4 Capitalized terms not defined herein are defined The licensee has requested an administrative proceedings; and in the Rules, available at http://dtcc.com/∼/media/ amendment to revise Davis-Besse TS Other matters relating to enforcement Files/Downloads/legal/rules/nscc_rules.pdf. 5.5.3 to provide operational flexibility proceedings. 5 The financial services industry, in coordination by allowing an increase in the At times, changes in Commission with its regulators, is planning to shorten the standard settlement cycle for equities, corporate instantaneous concentrations of priorities require alterations in the and municipal bonds, unit investment trusts and radioactive material released in liquid scheduling of meeting items. financial instruments comprised of the foregoing effluents and an increase in the For further information and to products traded on the secondary market from T+3 instantaneous dose rates from ascertain what, if any, matters have been to T+2 (‘‘Shortened Settlement Cycle’’). See Securities Exchange Act Release No. 78962 radioactive material released in gaseous added, deleted or postponed; please (September 28, 2016), 81 FR 69240 (October 5, effluents. The licensee would continue contact Brent J. Fields from the Office of 2016) (S7–22–16) (Amendment to Securities to maintain the TS and regulatory the Secretary at (202) 551–5400. Transaction Settlement Cycle).

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the proposed rule change until NSCC 3. Procedure III (Trade Recording position or a short Settling Trade files with the Commission a subsequent Service (Interface With Qualified position in a security to which an proposed rule change, under Rule 19b– Clearing Agencies)) exercise privilege attaches, delete the 6 4, to establish an effective date for the In Section B, with regards to the reference to ‘‘T+2’’ and replace it with proposed change. Settlement Date for the exercise or ‘‘T+1.’’ While the core functions of NSCC assignment of options at The Options 6. Procedure XIII (Definitions) would continue to operate in the same Clearing Corporation, delete the In the definition for ‘‘T,’’ delete the way in the Shortened Settlement Cycle, reference to ‘‘three days’’ and replace it reference to ‘‘T+3’’ and replace it with NSCC has determined that the move to with ‘‘two days.’’ ‘‘T+2.’’ T+2 would necessitate certain 4. Procedure V (Balance Order amendments to the Rules because 7. Procedure XVI (ID Net Service) Accounting Operation) currently the Rules are designed to In Procedure XVI, with regards to the accommodate a T+3 settlement cycle. In In Section C, (i) with regards to the timing for processing by NSCC of ID Net particular, NSCC has identified and timing for the netting of trades in Service transactions, delete references to proposes to change (i) rules that have Balance Order Securities, delete ‘‘the evening of T+2’’ and ‘‘the night of timeframes and/or cutoff times that are references to ‘‘T and T+1’’ and replace T+2’’ and replace them with ‘‘the tied to the current T+3 standard them with ‘‘T’’ and (ii) with regards to evening prior to Settlement Date’’ and settlement cycle, and (ii) rules affected the listing of the Clearance Cash ‘‘the night prior to Settlement Date,’’ by process changes relating to the Adjustment amount for all Balance respectively. Shortened Settlement Cycle. In Orders on the Consolidated Trade addition, NSCC also proposes to make a Summary, delete the reference to the 8. Addendum A (Fee Structure) number of technical changes and Consolidated Trade Summary being In Section E.1, with regards to the fee corrections to the Rules. available on T+2. for Index Creation and Redemption A. Rules Tied to the Current T+3 5. Procedure VII (CNS Accounting instructions submitted for regular way Standard Settlement Cycle Operation) settlement, delete the explanatory parenthetical ‘‘(T+3)’’ and replace it NSCC proposes changes to the In Section B, (i) with regards to the with ‘‘(T+2).’’ following Rules because they contain timing of the comparison or recording of 9. Addendum K (Interpretation of the provisions that are tied to the current trades in CNS Securities for inclusion Board of Directors Application of T+3 standard settlement cycle and on the Consolidated Trade Summary, Clearing Fund would need to be changed to facilitate delete the words ‘‘T+1 up to’’ and (ii) the move to Shortened Settlement with regards to the timing of as-of trades In Section I.2, with regards to the Cycle: in CNS Securities that are reported on endpoint of NSCC’s guaranty for balance the Consolidated Trade Summary, order transactions, delete the reference 1. Rule 4A (Supplemental Liquidity delete references to ‘‘T+2’’ and ‘‘T+3’’ to ‘‘T+3’’ and replace it with ‘‘T+2.’’ Deposits) and replace them with ‘‘T+1’’ and ‘‘T+2,’’ respectively. B. Rules Covering Processes Affected by In Section 2, delete references to the In Section G.3, with regards to the a Shortened Settlement Cycle ‘‘third Settlement Day’’ and replace time period for determining the rate of According to NSCC, it conducted an them with references to the ‘‘second the split for adjustments to Current in-depth review of its internal Settlement Day’’ in the definition of Market Price in the case of stock splits, operational processes to identify those ‘‘Options Expiration Activity Period.’’ delete the reference to ‘‘last two days’’ processes that would require changes in 2. Procedure II (Trade Comparison and and replace it with ‘‘one day.’’ order to accommodate the Shortened Recording Service) In Section H.4(b), (i) with regards to Settlement Cycle. In connection with timing related to securities subject to that review, NSCC has identified the In Section C.1.(p), with regards to voluntary reorganizations, delete following provisions in the Rules that trade input and comparison of debt references to protect periods of ‘‘two would need to be updated in connection securities transactions submitted for days,’’ ‘‘three days,’’ and ‘‘greater than with such process changes: non-standard settlement, delete the three days’’ and replace them with ‘‘one reference to ‘‘T+2 and T+1 settlement’’ day,’’ ‘‘two days,’’ and ‘‘greater than two 1. Procedure V (Balance Order and replace it with ‘‘T+1 settlement.’’ days,’’ respectively, and delete Accounting Operation) In Section D.2.(A)(1)(b), with regards references to ‘‘E+2,’’ ‘‘E+3,’’ and ‘‘E+4’’ In Section B, with regards to trades to municipal and corporate debt and replace them with ‘‘E+1,’’ ‘‘E+2,’’ that are to be processed on a trade-for- securities, delete the reference to ‘‘two and ‘‘E+3,’’ respectively; (ii) in the table trade basis, clarify that such processing days’’ and replace it with ‘‘one day.’’ listing the time frames for the occurs for trades that are compared or processing of securities subject to otherwise entered into the Balance In Section F.2, with regards to the voluntary reorganizations with a protect Order Accounting Operation on SD–1, Settlement Date for the Index Receipts, period, delete the reference to ‘‘two days ‘‘after the cutoff time established by the delete the reference to ‘‘T+1, T+2 or or less’’ and replace it with ‘‘one day or Corporation.’’ This is because under the T+3’’ and replace it with ‘‘T+1 or T+2.’’ less’’ as well as delete the entries for the Shortened Settlement Cycle, trades that In Section G, with regards to the two-day protect period; and (iii) with are compared or otherwise entered into eligibility of trades to be settled in the regards to the timing for the recording the Balance Order Accounting normal settlement cycle and the cutoff of ID Net Service eligible transactions Operation on SD–1 would be processed time for updating the totals reported for on the Miscellaneous Activity Report, as multilaterally netted balance orders such trades, delete references to ‘‘T+3’’ delete the words ‘‘on the night of T+2.’’ when reported on the Consolidated and replace them with ‘‘T+2.’’ In Section K, with regards to the Trade Summary issued at approximately timing for advising a Member about its 12:00 p.m. ET on SD–1. Trades 6 17 CFR 240.19b–4. potential liability with respect to a short compared and reported thereafter would

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continue to be processed on a trade-for- and replace it with ‘‘Settlement Date’’ in III. Conclusion trade basis. the definition for ‘‘T’’ to clarify that T+2 Similarly, in Section B, with regards would normally be the Settlement Date On the basis of the foregoing, the to trades that are to be processed on a after the implementation of the Commission finds that the proposals are trade-for-trade basis, clarify that such Shortened Settlement Cycle. consistent with the requirements of the Act and in particular with the process occurs for securities that are • In Procedure XVI, correct a requirements of Section 17A of the subject to a voluntary corporate grammatical error. reorganization which have a trade date Act 11 and the rules and regulations on or before the expiration of the II. Discussion and Commission thereunder. voluntary corporate reorganization and Findings It is therefore ordered, pursuant to which are compared or received ‘‘on Section 19(b)(2)(C) of the Act 7 directs Section 19(b)(2) of the Act, that SD–1, after the cutoff time established proposed rule change SR–NSCC–2016– by the Corporation’’ and not ‘‘after SD– the Commission to approve a proposed 007 be, and hereby is, approved.12 1.’’ This shift in cutoff time is because rule change of a self-regulatory ‘‘as of’’ regular way trades compared organization if it finds that such For the Commission, by the Division of and received prior to 11:30 a.m. on SD– proposed rule change is consistent with Trading and Markets, pursuant to delegated 1 would be processed as multilaterally the requirements of the Act and rules authority.13 netted balance orders when reported on and regulations thereunder applicable to Eduardo A. Aleman, the Consolidated Trade Summary issued such organization. The Commission Assistant Secretary. believes the proposal is consistent with at approximately 12:00 p.m. ET on SD– [FR Doc. 2017–00218 Filed 1–9–17; 8:45 am] 1. ‘‘As of’’ regular way trades compared Section 17A(b)(3)(F) of the Act. BILLING CODE 8011–01–P and reported thereafter would continue Section 17A(b)(3)(F) of the Act to be processed on a trade-for-trade requires, in part, that NSCC’s Rules be basis. designed to promote the prompt and SECURITIES AND EXCHANGE 2. Procedure VII (CNS Accounting accurate clearance and settlement of COMMISSION 8 Operation) securities transactions. The Commission believes that the proposed [Release No. 34–79739; File No. SR–NSCC– In Section D.1, with regards to the changes are consistent with the 2016–009] timing of the distribution of Projection requirements of Section 17A(b)(3)(F) Reports, delete the reference to ‘‘[e]ach because by conforming NSCC’s morning’’ and replace it with ‘‘[t]wice a Self-Regulatory Organizations; timeframes and/or cutoff times to National Securities Clearing day’’ because currently NSCC accommodate the Shortened Settlement distributes the Projection Report only Corporation; Notice of Filing and Cycle, the proposal would help ensure Immediate Effectiveness of Proposed once a day; however, after the that securities transactions would be Rule Change To Adjust Fees Related to implementation of the Shortened promptly and accurately cleared and Insurance and Retirement Processing Settlement Cycle, NSCC would be settled within the Shortened Settlement Services distributing the Projection Reports twice Cycle. Similarly, the related process a day to enable Members to view their changes proposed are designed to January 4, 2017. updated positions on a more timely update NSCC’s operations in order to basis. facilitate the move to the Shortened Pursuant to Section 19(b)(1) of the Settlement Cycle and, by extension, Securities Exchange Act of 1934 C. Other Technical Changes and 1 2 Corrections facilitate the prompt and accurate (‘‘Act’’) and Rule 19b–4 thereunder, clearance and settlement of securities notice is hereby given that on December During its review of the Rules in transactions submitted to NSCC for 28, 2016, National Securities Clearing connection with the Shortened clearing and settlement. Therefore, the Corporation (‘‘NSCC’’) filed with the Settlement Cycle, NSCC has identified proposed rule change would help Securities and Exchange Commission the following technical changes and/or promote the prompt and accurate (‘‘Commission’’) the proposed rule corrections that it proposes to make to clearance and settlement of securities change as described in Items I, II and III the Rules in order to ensure that the transactions, consistent with Section below, which Items have been prepared Rules remain consistent and accurate: 9 • In Rule 3, Section 1(c), add a 17A(b)(3)(F) of the Act. by the clearing agency. NSCC filed the footnote that identifies the term As the proposed rule change pertains proposed rule change pursuant to 3 ‘‘CUSIP’’ as a registered trademark of to technical changes to the Rules, the Section 19(b)(3)(A) of the Act and Rule 4 the American Bankers Association. Commission finds the technical changes 19b–4(f)(2) thereunder. The proposed • In Procedure II, Section G, correct a also consistent with Section rule change was effective upon filing grammatical error. 17A(b)(3)(F) of the Act 10 because the with the Commission. The Commission • In Procedure VII, Sections B and D, technical updates are designed to make is publishing this notice to solicit correct grammatical errors. the Rules more clear, consistent, and comments on the proposed rule change • In Procedure X, Section B, delete current for Members that rely on them. from interested persons. the reference to the timeframe for the Therefore, the proposed technical delivery of Liability Notices to the changes would help support NSCC’s 11 15 U.S.C. 78q–1. contra party by Members holding the prompt and accurate clearance and 12 In approving the proposed rule change, the receive balance orders for warrants, settlement of securities transactions Commission considered the proposal’s impact on rights, convertible securities or certain efficiency, competition, and capital formation. 15 made by Members. U.S.C. 78c(f). other securities so the Members would 13 17 CFR 200.30–3(a)(12). remain solely subject to the schedules of 7 15 U.S.C. 78s(b)(2)(C). 1 15 U.S.C. 78s(b)(1). the relevant exchanges. 8 15 U.S.C. 78q–1(b)(3)(F). 2 17 CFR 240.19b–4. • In Procedure XIII, delete the 9 Id. 3 15 U.S.C. 78s(b)(3)(A). incorrect reference to ‘‘Settlement Day’’ 10 Id. 4 17 CFR 240.19b–4(f)(2).

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I. Clearing Agency’s Statement of the a monthly transaction volume between necessary and appropriate in Terms of Substance of the Proposed 30,001–40,000 items would be charged furtherance of the Act. Specifically, the Rule Change a fee of $0.25 per transaction, per side; proposed rule change is necessary to The proposed rule change consists of and a monthly transaction volume over better align the fees charged for the STL modifications to Addendum A (Fee 40,000 items would be charged a fee of feature with the costs and expenses Structure) of Rules & Procedures $0.15 per transaction, per side. As with required for NSCC to provide this (‘‘Rules’’) of NSCC in order to all I&RS products, volume would be service to its members, because, as implement a tiered pricing structure for calculated on an aggregate basis among volumes increase the cost of providing the Settlement Processing for Insurance qualified insurance carrier members or this service decreases. The proposed (‘‘STL’’)SM feature of NSCC’s Insurance qualified distributor members, as rule change is appropriate because, as and Retirement Processing Services applicable.9 stated, the proposed fee would be (‘‘I&RS’’), as described below.5 The proposed fee structure is equitably allocated among members intended to incentivize use of the STL based on each member’s utilization of II. Clearing Agency’s Statement of the feature by discounting transaction fees the STL feature, as measured by their Purpose of, and Statutory Basis for, the for members that reach the defined monthly STL volume. Proposed Rule Change transaction tier volume thresholds. In (C) Clearing Agency’s Statement on In its filing with the Commission, the addition, by basing the fee on each Comments on the Proposed Rule clearing agency included statements member’s utilization of the STL feature, Change Received From Members, concerning the purpose of and basis for the proposed rule change would reduce Participants, or Others the proposed rule change and discussed STL fees to further align these fees with any comments it received on the the costs of providing the service NSCC has not received or solicited proposed rule change. The text of these because, as volumes increase the cost of any written comments relating to this statements may be examined at the providing this service decreases. proposal. NSCC will notify the places specified in Item IV below. The The proposed changes would take Commission of any written comments clearing agency has prepared effect on January 1, 2017. received by NSCC. summaries, set forth in sections A, B, 2. Statutory Basis and C below, of the most significant III. Date of Effectiveness of the aspects of such statements. Section 17A(b)(3)(D) of the Act 10 Proposed Rule Change and Timing for requires that NSCC’s Rules provide for Commission Action (A) Clearing Agency’s Statement of the the equitable allocation of reasonable Purpose of, and Statutory Basis for, the The foregoing rule change has become dues, fees, and other charges among its Proposed Rule Change effective pursuant to Section 19(b)(3)(A) members. The proposed fee is equitably of the Act 12 and subparagraph (f) of 1. Purpose allocated among members because it is Rule 19b–4 thereunder.13 At any time The proposed rule change would based on each member’s utilization of within 60 days of the filing of the adjust the fee schedule associated with the STL feature, as measured by their proposed rule change, the Commission NSCC’s I&RS.6 Specifically, NSCC monthly STL volume. summarily may temporarily suspend proposes to implement a tiered pricing In addition, NSCC believes that the such rule change if it appears to the structure for the STL feature.7 Currently, proposed fee is reasonable because it Commission that such action is NSCC charges a flat rate of $0.65 per would enable NSCC to better align its necessary or appropriate in the public transaction per side for the STL feature.8 revenue for STL with the costs and interest, for the protection of investors, The proposed tiered structure would expenses required for NSCC to provide or otherwise in furtherance of the reduce the monthly fees for increased this service to its members, while also purposes of the Act. STL volumes. Therefore, under the providing this service to members at a IV. Solicitation of Comments proposed tiered pricing structure, a lower cost. Specifically, as STL volumes monthly transaction volume between 0– increase, the costs of providing the STL Interested persons are invited to 20,000 items would be charged a fee of feature decreases. NSCC has determined submit written data, views, and $0.65 per transaction, per side; a that reducing the fees as volumes arguments concerning the foregoing, monthly transaction volume between increase would better align the revenue including whether the proposed rule 20,001–30,000 items would be charged from STL to the cost of providing this change is consistent with the Act. a fee of $0.35 per transaction, per side; service to members. Comments may be submitted by any of Therefore, NSCC believes the the following methods: 5 Capitalized terms not defined herein are defined proposed rule change is consistent with in the Rules, available at http://www.dtcc.com/∼/ Section 17A(b)(3)(D).11 Electronic Comments _ media/Files/Downloads/legal/rules/nscc rules.pdf. • 6 I&RS is a suite of non-guaranteed services that (B) Clearing Agency’s Statement on Use the Commission’s Internet enables NSCC members using I&RS to exchange Burden on Competition comment form (http://www.sec.gov/ information and settle payments with respect to rules/sro.shtml); or NSCC believes that the proposed rule insurance products, retirement plans or programs, • Send an email to rule-comments@ and other benefit plans or programs. See Rule 57 change could have an impact on sec.gov. Please include File Number SR– (Insurance and Retirement Processing Services), competition because the proposed rule supra note 5. NSCC–2016–009 on the subject line. change would charge a lower fee for 7 STL automates and centralizes the settlement of money/funding activities between insurance higher STL volumes. NSCC believes, Paper Comments companies and their intermediaries, such as broker- however, that any burden on • Send paper comments in triplicate dealers, banks, and insurance agencies, that competition that would be created by to Secretary, Securities and Exchange distribute participating insurance products. STL is the proposed rule change would be a service within the In Force Transaction suite of Commission, 100 F Street NE., services within I&RS. See Section 9 of Rule 57 Washington, DC 20549. (Insurance and Retirement Processing Services), 9 See note 6 to Section IV(K) of Addendum A of supra note 5. the Rules, supra note 5. 8 See Section IV(K)(3), TIER 4 of Addendum A of 10 15 U.S.C. 78q–1(b)(3)(D). 12 15 U.S.C. 78s(b)(3)(A). the Rules, supra note 5. 11 Id. 13 17 CFR 240.19b–4(f).

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All submissions should refer to File notice is hereby given that on December and to provide a revised date for adding Number SR–NSCC–2016–009. This file 23, 2016, ISE Gemini, LLC (‘‘ISE replacement issues to the Penny Pilot number should be included on the Gemini’’ or ‘‘Exchange’’) filed with the Program. The Exchange proposes that subject line if email is used. To help the Securities and Exchange Commission any Penny Pilot Program issues that Commission process and review your (‘‘SEC’’ or ‘‘Commission’’) the proposed have been delisted may be replaced on comments more efficiently, please use rule change as described in Items I and the second trading day following only one method. The Commission will II, below, which Items have been January 1, 2017. The replacement issues post all comments on the Commission’s prepared by the Exchange. The will be selected based on trading Internet Web site (http://www.sec.gov/ Commission is publishing this notice to activity for the most recent six month rules/sro.shtml). Copies of the solicit comments on the proposed rule period excluding the month submission, all subsequent change from interested persons. immediately preceding the replacement amendments, all written statements (i.e., beginning June 1, 2016, and ending I. Self-Regulatory Organization’s with respect to the proposed rule November 30, 2016). This filing does Statement of the Terms of Substance of change that are filed with the not propose any substantive changes to the Proposed Rule Change Commission, and all written the Penny Pilot Program: All classes communications relating to the The Exchange proposes to amend its currently participating will remain the proposed rule change between the rules to extend a pilot program to quote same and all minimum increments will Commission and any person, other than and to trade certain options classes in remain unchanged. The Exchange those that may be withheld from the penny increments. believes the benefits to public customers public in accordance with the The text of the proposed rule change and other market participants who will provisions of 5 U.S.C. 552, will be is available on the Exchange’s Web site be able to express their true prices to available for Web site viewing and at www.ise.com, at the principal office buy and sell options have been printing in the Commission’s Public of the Exchange, and at the demonstrated to outweigh any increase Reference Room, 100 F Street NE., Commission’s Public Reference Room. in quote traffic. Washington, DC 20549, on official II. Self-Regulatory Organization’s 2. Statutory Basis business days between the hours of Statement of the Purpose of, and 10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule The Exchange believes that the filing also will be available for Change proposed rule change is consistent with inspection and copying at the principal the requirements of the Act and the office of NSCC and on DTCC’s Web site In its filing with the Commission, the rules and regulations thereunder that (http://dtcc.com/legal/sec-rule- Exchange included statements are applicable to a national securities filings.aspx). All comments received concerning the purpose of and basis for exchange, and, in particular, with the will be posted without change; the the proposed rule change and discussed requirements of Section 6(b) of the Act.4 Commission does not edit personal any comments it received on the Specifically, the proposed rule change is identifying information from proposed rule change. The text of these consistent with Section 6(b)(5) of the submissions. You should submit only statements may be examined at the Act,5 because it is designed to promote information that you wish to make places specified in Item IV below. The just and equitable principles of trade, available publicly. All submissions Exchange has prepared summaries, set remove impediments to and perfect the should refer to File Number SR–NSCC– forth in sections A, B, and C below, of mechanisms of a free and open market 2016–009 and should be submitted on the most significant aspects of such and a national market system and, in or before January 31, 2017. statements. general, to protect investors and the For the Commission, by the Division of A. Self-Regulatory Organization’s public interest. In particular, the Trading and Markets, pursuant to delegated Statement of the Purpose of, and proposed rule change, which extends authority.14 Statutory Basis for, the Proposed Rule the Penny Pilot Program for an Eduardo A. Aleman, Change additional six months, will enable Assistant Secretary. public customers and other market 1. Purpose [FR Doc. 2017–00223 Filed 1–9–17; 8:45 am] participants to express their true prices BILLING CODE 8011–01–P Under the Penny Pilot Program, the to buy and sell options to the benefit of minimum price variation for all all market participants. participating options classes, except for B. Self-Regulatory Organization’s the Nasdaq–100 Index Tracking Stock SECURITIES AND EXCHANGE Statement on Burden on Competition COMMISSION (‘‘QQQQ’’), the SPDR S&P 500 Exchange Traded Fund (‘‘SPY’’) and the iShares In accordance with Section 6(b)(8) of [Release No. 34–79741; File No. SR– the Act,6 the Exchange does not believe ISEGemini–2016–25] Russell 2000 Index Fund (‘‘IWM’’), is $0.01 for all quotations in options series that the proposed rule change will Self-Regulatory Organizations; ISE that are quoted at less than $3 per impose any burden on intermarket or Gemini, LLC; Notice of Filing and contract and $0.05 for all quotations in intramarket competition that is not Immediate Effectiveness of Proposed options series that are quoted at $3 per necessary or appropriate in furtherance Rule Change To Amend Rules To contract or greater. QQQQ, SPY and of the purposes of the Act. Specifically, Extend a Pilot Program IWM are quoted in $0.01 increments for the Exchange believes that, by extending all options series. The Penny Pilot the expiration of the Penny Pilot January 4, 2017. Program is currently scheduled to Program, the proposed rule change will Pursuant to Section 19(b)(1) of the expire on December 31, 2016.3 The allow for further analysis of the Penny Securities Exchange Act of 1934 Exchange proposes to extend the Penny Pilot Program and a determination of (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Pilot Program through June 30, 2017, how the Penny Pilot Program should be

14 17 CFR 200.30–3(a)(12). 3 See Exchange Act Release No. 78201 (June 30, 4 15 U.S.C. 78f(b). 1 15 U.S.C. 78s(b)(1). 2016), 81 FR 44393 (July 7, 2016) (SR–ISE Gemini– 5 15 U.S.C. 78f(b)(5). 2 17 CFR 240.19b–4. 2016–06). 6 15 U.S.C. 78f(b)(8).

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structured in the future. In doing so, the Exchange and the Commission public in accordance with the proposed rule change will also serve to additional time to analyze the impact of provisions of 5 U.S.C. 552, will be promote regulatory clarity and the Pilot Program. Accordingly, the available for Web site viewing and consistency, thereby reducing burdens Commission designates the proposed printing in the Commission’s Public on the marketplace and facilitating rule change as operative upon filing Reference Room. Copies of such filing investor protection. with the Commission.12 also will be available for inspection and At any time within 60 days of the C. Self-Regulatory Organization’s copying at the principal office of the filing of such proposed rule change, the ISE. All comments received will be Statement on Comments on the Commission summarily may posted without change; the Commission Proposed Rule Change Received From temporarily suspend such rule change if does not edit personal identifying Members, Participants, or Others it appears to the Commission that such No written comments were either action is necessary or appropriate in the information from submissions. You solicited or received. public interest, for the protection of should submit only information that you wish to make available publicly. All III. Date of Effectiveness of the investors, or otherwise in furtherance of the purposes of the Act. If the submissions should refer to File Proposed Rule Change and Timing for Number SR–ISEGemini–2016–25 and Commission Action Commission takes such action, the Commission shall institute proceedings should be submitted by January 31, The Exchange has filed the proposed under Section 19(b)(2)(B) 13 of the Act to 2017. rule change pursuant to Section determine whether the proposed rule For the Commission, by the Division of 19(b)(3)(A)(iii) of the Act 7 and Rule change should be approved or 8 Trading and Markets, pursuant to delegated 19b–4(f)(6) thereunder. Because the disapproved. 14 proposed rule change does not: (i) authority. Significantly affect the protection of IV. Solicitation of Comments Eduardo A. Aleman, investors or the public interest; (ii) Interested persons are invited to Assistant Secretary. impose any significant burden on submit written data, views, and [FR Doc. 2017–00225 Filed 1–9–17; 8:45 am] competition; and (iii) become operative arguments concerning the foregoing, BILLING CODE 8011–01–P prior to 30 days from the date on which including whether the proposed rule it was filed, or such shorter time as the change is consistent with the Act. Commission may designate, if Comments may be submitted by any of SECURITIES AND EXCHANGE consistent with the protection of the following methods: COMMISSION investors and the public interest, the Electronic Comments proposed rule change has become [Release No. 34–79728; File No. SR– • Use the Commission’s Internet effective pursuant to Section 19(b)(3)(A) NYSEMKT–2016–126] of the Act and Rule 19b–4(f)(6)(iii) comment form http://www.sec.gov/ thereunder. rules/sro.shtml); or • Self-Regulatory Organizations; NYSE A proposed rule change filed under Send an Email to rule-comments@ MKT LLC; Notice of Filing and Rule 19b–4(f)(6) 9 normally does not sec.gov. Please include File No. SR– Immediate Effectiveness of Proposed become operative prior to 30 days after ISEGemini–2016–25 on the subject line. Rule Change Amending the NYSE MKT the date of the filing.10 However, Paper Comments Equities Price List and the NYSE Amex pursuant to Rule 19b–4(f)(6)(iii),11 the Commission may designate a shorter • Send paper comments in triplicate Options Fee Schedule Related to Co- time if such action is consistent with the to Secretary, Securities and Exchange Location Services To Increase LCN protection of investors and the public Commission, 100 F Street NE., and IP Network Fees and Add a interest. The Exchange has asked the Washington, DC 20549–1090. Description of Access to Trading and Commission to waive the 30-day All submissions should refer to File Execution Services and Connectivity operative delay so that the proposal may Number SR–ISEGemini–2016–25. This to Included Data Products become operative immediately upon file number should be included on the January 4, 2017. filing. The Commission believes that subject line if email is used. To help the waiving the 30-day operative delay is Commission process and review your Pursuant to Section 19(b)(1) 1 of the consistent with the protection of comments more efficiently, please use Securities Exchange Act of 1934 (the investors and the public interest only one method. The Commission will ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 because doing so will allow the Pilot post all comments on the Commission’s notice is hereby given that, on December Program to continue without Internet Web site (http://www.sec.gov/ 22, 2016, NYSE MKT LLC (the interruption in a manner that is rules/sro.shtml). Copies of the ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with consistent with the Commission’s prior submission, all subsequent the Securities and Exchange approval of the extension and expansion amendments, all written statements Commission (the ‘‘Commission’’) the of the Pilot Program and will allow the with respect to the proposed rule proposed rule change as described in change that are filed with the Items I, II, and III below, which Items 7 15 U.S.C. 78s(b)(3)(A)(iii). Commission, and all written have been prepared by the self- 8 17 CFR 240.19b–4(f)(6). communications relating to the regulatory organization. The 9 17 CFR 240.19b–4(f)(6). proposed rule change between the 10 Commission is publishing this notice To 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Commission and any person, other than 4(f)(6)(iii) requires the Exchange to give the solicit comments on the proposed rule those that may be withheld from the Commission written notice of the Exchange’s intent change from interested persons. to file the proposed rule change along with a brief description and the text of the proposed rule 12 For purposes only of waiving the operative change, at least five business days prior to the date delay for this proposal, the Commission has 14 17 CFR 200.30–3(a)(12). of filing of the proposed rule change, or such considered the proposed rule’s impact on 1 shorter time as designated by the Commission. The efficiency, competition, and capital formation. See 15 U.S.C. 78s(b)(1). Exchange has satisfied this pre-filing requirement. 15 U.S.C. 78c(f). 2 15 U.S.C. 78a. 11 17 CFR 240.19b–4(f)(6)(iii). 13 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s the Liquidity Center Network (‘‘LCN’’) Exchange and its Affiliate SROs (the Statement of the Terms of the Substance and internet protocol (‘‘IP’’) network, ‘‘Exchange Systems’’), provided the of the Proposed Rule Change local area networks available in the data User has authorization from the The Exchange proposes to amend the center; and (b) modify certain fees for Exchange or relevant Affiliate SRO. In NYSE MKT Equities Price List (‘‘Price access to the LCN and IP networks. The addition, when a User purchases access List’’) and the NYSE Amex Options Fee Exchange proposes to implement the fee to the LCN or IP network, it will receive Schedule (‘‘Fee Schedule’’) related to changes effective January 1, 2017. connectivity to certain market data co-location services to (a) provide a The Exchange offers LCN access of 1, products (the ‘‘Included Data more detailed description of the access 10 and 40 Gigabits (‘‘Gb’’) as well as a Products’’), provided the User has have to trading and execution services and lower-latency 10 Gb LCN connection, entered into a contract with the provider 6 connectivity to data provided to Users referred to as the ‘‘LCN 10 Gb LX.’’ The of the data feed. The Exchange proposes with local area networks available in the Exchange offers IP network access in 1, to revise the Price List and Fee Schedule 7 data center; and (b) modify certain fees 10 and 40 Gb capacities. A User also to provide a more detailed description for access to the local area networks in may purchase access to the LCN or IP of the access to the Exchange Systems the Exchange’s data center. The network through purchase of 1 Gb or 10 (‘‘Access’’) and connectivity to Included proposed change is available on the Gb bundled network access or a Partial Data Products (‘‘Connectivity’’) that Exchange’s Web site at www.nyse.com, Cabinet Solution bundle, which include comes with connections to the LCN or at the principal office of the Exchange, 1 and 10 Gb LCN and IP network IP network when the User has 8 and at the Commission’s Public connections. authorization from the Exchange or Reference Room. Access to Trading and Execution Affiliate SRO for such access or has a Services and Connectivity to Data contract from the market data provider II. Self-Regulatory Organization’s for such connectivity. Statement of the Purpose of, and As the Exchange has previously Access to certification and testing Statutory Basis for, the Proposed Rule stated, a User’s connection to the LCN feeds comes with the purchase of some Change or IP network provides it access to the Included Data Products from the In its filing with the Commission, the Exchange’s trading and execution provider of such data. Certification self-regulatory organization included systems and Exchange market data 9 feeds are used to certify that a User statements concerning the purpose of, products. More specifically, when a conforms to any relevant technical and basis for, the proposed rule change User purchases access to the LCN or IP requirements for receipt of data or and discussed any comments it received network, it will receive access to the access to Exchange Systems. Test feeds on the proposed rule change. The text trading and execution systems of the provide Users an environment in which of those statements may be examined at to conduct tests with non-live data, the places specified in Item IV below. York Stock Exchange LLC (‘‘NYSE LLC’’) and NYSE Arca, Inc. (‘‘NYSE Arca’’ and, together with NYSE including testing for upcoming The Exchange has prepared summaries, LLC, the ‘‘Affiliate SROs’’). See Securities Exchange Exchange releases and product set forth in sections A, B, and C below, Act Release No. 70176 (August 13, 2013), 78 FR enhancements or the User’s own of the most significant parts of such 50471 (August 19, 2013) (SR–NYSEMKT–2013–67). software development. Such feeds are statements. 6 See Original Co-location Filing, supra note 4, at solely used for certification and testing 59299; and Securities Exchange Act Release Nos. A. Self-Regulatory Organization’s 70176 (August 13, 2013), 78 FR 50471 (August 19, and do not carry live production data. Statement of the Purpose of, and 2013) (SR–NYSEMKT–2013–67) (notice of filing When access to certification and testing and immediate effectiveness of proposed rule Statutory Basis for, the Proposed Rule feeds comes with the purchase of an change to offer LCN 40 Gb connection); and 70886 Included Data Product from the Change (November 15, 2013), 78 FR 69904 (November 21, 2013) (SR–NYSEMKT–2013–92) (notice of filing provider of such data, the purchase of 1. Purpose and immediate effectiveness of proposed rule access to the IP network from the The Exchange proposes to amend the change to offer LCN 10 Gb LX connection). Exchange 10 will provide Connectivity 7 4 See Securities Exchange Act Release 74220 to such certification and testing feeds Fee Schedules related to co-location (February 6, 2015), 80 FR 7894 (February 12, 2015) services offered by the Exchange to (a) (SR–NYSEMKT–2015–08) (notice of filing and The Exchange provides Access and provide a more detailed description of immediate effectiveness of proposed rule change to Connectivity as conveniences to Users. the access to trading and execution include IP network connections as co-location Use of Access or Connectivity is services) (the ‘‘IP Network Release’’) and 76373 completely voluntary, and several other services and connectivity to data (November 5, 2015), 80 FR 70024 (November 12, 5 provided to Users with connections to 2015) (SR–NYSEMKT–2015–90) (notice of filing access and connectivity options are and immediate effectiveness of proposed rule available to a User. As alternatives to 4 The Exchange initially filed rule changes change to offer 40 Gb IP network connection). using the Access and Connectivity relating to its co-location services with the 8 See Securities Exchange Act Release Nos. 62731 provided by the Exchange, a User may Securities and Exchange Commission (August 16, 2010), 75 FR 51515 (August 20, 2010) (‘‘Commission’’) in 2010. See Securities Exchange (SR–NYSEMKT–2010–80) (notice of proposed rule access or connect to such services and Act Release No. 62961 (September 21, 2010), 75 FR change to reflect fees charged for co-location products through another User or 59299 (September 27, 2010) (SR–NYSEAmex–2010– services, including bundled network access; and through a connection to an Exchange 80) (the ‘‘Original Co-location Filing’’). The 77071 (February 5, 2016), 81 FR 7382 (February 11, access center outside the data center, Exchange operates a data center in Mahwah, New 2016) (SR–NYSEMKT–2015–89) (notice of filing Jersey (the ‘‘data center’’) from which it provides and accelerated approval of proposed rule change third party access center, or third party co-location services to Users. to offer Partial Cabinet Bundle Options). vendor. The User may make such 5 For purposes of the Exchange’s co-location 9 See Original Co-location Filing, supra note 4, at connection through a third party services, a ‘‘User’’ means any market participant 59299 (‘‘According to Amex, SFTI and LCN both telecommunication provider, third party that requests to receive co-location services directly provide Users with access to the Exchange’s trading wireless network, the Secure Financial from the Exchange. See Securities Exchange Act and execution systems and to the Exchange’s Release No. 76009 (September 29, 2015), 80 FR proprietary market data products.’’) and IP Network 60213 (October 5, 2015) (SR–NYSEMKT–2015–67). Release, supra note 7, at 7894 (‘‘Like the LCN, the 10 Access to certification and testing feeds is only As specified in the Price List and Fee Schedule, a IP network provides Users with access to the available over the IP network. A User that does not User that incurs co-location fees for a particular co- Exchange’s trading and execution systems and to have an IP network connection may obtain an IP location service pursuant thereto would not be the Exchanges’ proprietary market data products.’’). network circuit for purposes of testing and subject to co-location fees for the same co-location The IP network was previously sometimes referred certification for free for three months. See IP service charged by the Exchange’s affiliates New to as SFTI. See id. Network Release, supra note 7, at 7894.

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Transaction Infrastructure (‘‘SFTI’’) Included Data Products also include the as a resilient feed, as ‘‘Feed A’’ or as network, or a combination thereof.11 data feeds disseminated by the ‘‘Feed B.’’ Resilient feeds include two Consolidated Tape Association (‘‘CTA’’) copies of the same feed, for redundancy Access to Exchange Systems (such data feeds, the ‘‘NMS feeds’’). purposes. Feed A and Feed B are As the Exchange has previously CTA is responsible for disseminating identical feeds.18 stated, Users’ connections to the LCN or consolidated, real-time trade and quote For some Included Data Products, IP networks include access to Exchange information in NYSE listed securities connectivity to identical Feeds A and B Systems when the User has (Network A) and NYSE MKT, NYSE is only available on the IP network. authorization from the Exchange or Arca and other regional exchanges’ relevant Affiliate SRO.12 The Exchange listed securities (Network B) pursuant to The Included Data Products are as notes that including access to Exchange a national market system plan.15 The follows: Systems with the purchase of access to NMS feeds include the Consolidated the LCN or IP network is consistent with Tape System and Consolidated Quote NMS Feeds Nasdaq’s colocation service, which does System data streams, as well as Options NYSE: not charge its co-located customers a Price Reporting Authority feeds. NYSE Alerts. separate fee for access to Exchange In order to connect to an Included NYSE BBO. 13 Systems. Data Product, a User enters into a NYSE Integrated Feed. Accordingly, the Exchange proposes contract with the provider of such data, NYSE OpenBook. to add a new note to the Price List and pursuant to which the User is charged NYSE Order Imbalances. Fee Schedule stating the following: for the Included Data Product. After the NYSE Trades. When a User purchases access to the LCN User and data provider enter into the or IP network, it receives the ability to access contract and the Exchange receives NYSE Amex Options the trading and execution systems of the authorization from the provider of the NYSE, NYSE MKT and NYSE Arca data feed, the Exchange provides the NYSE Arca: (Exchange Systems), subject, in each case, to User with connectivity to the Included NYSE ArcaBook. authorization by the NYSE, NYSE MKT or NYSE Arca BBO. Data Product over the User’s LCN or IP NYSE Arca, as applicable. Such access NYSE Arca Integrated Feed. includes access to the customer gateways that network port. The Exchange does not NYSE Arca Order Imbalances. provide for order entry, order receipt (i.e. charge the User separately for such NYSE Arca Trades. confirmation that an order has been connectivity to the Included Data NYSE Arca Options received), receipt of drop copies and trade Product, as it is included in the NYSE Best Quote and Trades (BQT) reporting (i.e. whether a trade is executed or purchase of the access to the LCN or IP NYSE Bonds cancelled), as well as for sending information network. NYSE MKT: to shared data services for clearing and The Included Data Products are NYSE MKT Alerts. settlement. A User can change the access it NYSE MKT BBO. receives at any time, subject to authorization available over both the LCN and IP 16 NYSE MKT Integrated Feed. by NYSE, NYSE MKT or NYSE Arca, as network. For a User that purchases NYSE MKT OpenBook. applicable. NYSE, NYSE MKT and NYSE access to the LCN and IP network, the Arca also offer access to Exchange Systems Exchange works with such User to NYSE MKT Order Imbalances. to their members, such that a User does not allocate its connectivity to Included NYSE MKT Trades. have to purchase access to the LCN or IP Data Products between its LCN and IP network to obtain access to Exchange network connections. Some Included In addition to the above list of Systems. Data Products require a network Included Data Products, the Exchange Connectivity to Included Data Products connection with a minimum Gb size in proposes to add the following language order to accommodate the feed.17 The to the Price List and Fee Schedule: The majority of the Included Data Included Data Products do not provide Products are proprietary feeds of the When a User purchases access to the LCN access or order entry to the Exchange’s or IP network it receives connectivity to any Exchange and the Affiliate SROs.14 The execution system. of the Included Data Products that it selects, The Exchange offers connectivity to subject to any technical provisioning 11 A User that opted to obtain connectivity to requirements and authorization from the Included Data Products through another User, a Included Data Products in three forms: telecommunication provider, third party wireless provider of the data feed. Market data fees for network, or the SFTI network would receive the (establishing the NYSE Integrated Feed); 74127 (Jan. the Included Data Products are charged by corresponding testing and certification feeds. 23, 2015), 80 FR 4956 (Jan. 29, 2015) (SR– the provider of the data feed. A User can 12 See note 9, supra. NYSEMKT–2015–06) (establishing the NYSE MKT change the Included Data Products to which 13 See Nasdaq Stock Market Rule 7034— Integrated Feed); and 76968 (January 22, 2016), 81 it receives connectivity at any time, subject Connectivity to Nasdaq. FR 4689 (January 27, 2016) (establishing NYSE Arca to authorization from the provider of the data 14 See Securities Exchange Act Release Nos. Order Imbalances). feed. The Exchange is not the exclusive 15 44138 (December 7, 2001), 66 FR 64895 (December The Included Data Products do not include the method to connect to the Included Data data feeds disseminated pursuant to the ‘‘Joint Self- 14, 2001) (SR–NYSE–2001–42) (establishing fees for Products. NYSE OpenBook); 50844 (December 13, 2004), 69 Regulatory Organization Plan Governing the FR 76806 (December 22, 2004) (SR–NYSE–2004–53) Collection, Consolidation and Dissemination of (establishing fee for NYSE Alerts); 59290 (January Quotation and Transaction Information for Nasdaq- 18 A User that wants redundancy would connect 23, 2009) 74 FR 5707 (January 30, 2009) (SR–NYSE– Listed Securities Traded on Exchanges on an to both Feed A and Feed B or two resilient feeds, 2009–05) (establishing pilot program for NYSE Unlisted Trading Privilege Basis’’ (the ‘‘UTP Plan’’). using two different ports. A User may opt to Trades); 59543 (March 9, 2009), 74 FR 11159 The UTP Plan is responsible for disseminating connect both Feed A and Feed B to the same port, (March 16, 2009) (establishing fee for NYSE Order consolidated, real-time trade and quote information the effect of which would be the same as if the User Imbalances); 62181 (May 26, 2010), 75 FR 31488 in Nasdaq Stock Exchange LLC listed securities had connected to a resilient feed. The form of feed (June 3, 2010) (SR–NYSE–2010–30) (establishing (Network C). that a User selects may affect the connection it NYSE BBO); 65669 (Nov. 2, 2011), 76 FR 69311 16 As noted above, certification and testing feeds requires. For example, a User connecting to the (Nov. 8, 2011) (SR–NYSEArca–2011–78) included by a data provider with an Included Data NYSE Arca Integrated Feed, NYSE Integrated Feed (establishing the NYSE Arca Integrated Feed); Product are only available over the IP network. or NYSE MKT Integrated Feed would need at least 73553 (Nov. 6, 2014), 79 FR 67491 (Nov. 13, 2014) 17 Because each Included Data Product uses part a 1 Gb IP network connection in order to connect (SR–NYSE–2014–40) (establishing the NYSE Best of a User’s bandwidth, a User may wish to limit the to either Feed A or Feed B. To connect to a resilient Quote & Trades Data Feed); 74128 (Jan. 23, 2015), number of Included Data Products that it receives feed, the User would require an LCN or IP network 80 FR 4951 (Jan. 29, 2015) (SR–NYSE–2015–03) to those that it requires. connection of at least 10 Gb.

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Fees for Access to the LCN and IP GB LCN Circuit without being subject to Access Services’’). The Exchange has Network an additional MRC. not increased the MRCs for the Network Users that connect to the LCN or IP The Exchange proposes to amend the Access Services since they were first network pay an initial non-recurring MRCs for 10 and 40 Gb LCN circuits, 10 filed: the proposed change will be the 19 charge and a monthly recurring charge Gb LX LCN circuits, 10 and 40 Gb IP first increase in such fees. (‘‘MRC’’). A User that purchases five 10 network circuits, and the 10 Gb bundled The proposed changes to the Network GB LCN Circuits receives the sixth 10 network access (together, the ‘‘Network Access Service MRCs are as follows:

Amount of Type of service Description Amount of proposed current MRC MRC

LCN Access ...... 10 Gb Circuit ...... $12,000 $14,000 LCN Access ...... 10 Gb LX Circuit ...... 20,000 22,000 LCN Access ...... 40 Gb Circuit ...... 20,000 22,000 Bundled Network Access (2 LCN connections, 2 IP network connec- 10 Gb Bundle ...... 47,000 53,000 tions, and 2 optic connections to outside access center). IP Network Access ...... 10 Gb Circuit ...... 10,000 11,000 IP Network Access ...... 40 Gb Circuit ...... 17,000 18,000

The initial non-recurring charge for basis; 20 and (iii) a User would only general, to protect investors and the the Network Access Services would not incur one charge for the particular co- public interest and because it is not change, and Users that purchase five 10 location service described herein, designed to permit unfair Gb LCN circuits will continue to receive regardless of whether the User connects discrimination between customers, the sixth 10 Gb LCN Circuit without an only to the Exchange or to the Exchange issuers, brokers, or dealers. additional MRC. The Exchange does not and one or both of its Affiliate SROs.21 The Exchange believes that revising propose to change the fees associated The proposed change is not otherwise the Price List and Fee Schedule to with 1 Gb LCN and 1 Gb IP network intended to address any other issues provide a more detailed description of access, 1 Gb bundled network access, or relating to co-location services and/or the Access and Connectivity Users the Partial Cabinet Solution bundles. related fees, and the Exchange is not receive with their purchase of access to Currently, the Price List and Fee aware of any problems that Users would the LCN or IP network would remove Schedule use both ‘‘Gb’’ and ‘‘GB’’ as an have in complying with the proposed impediments to, and perfect the abbreviation for gigabits. To make the change. mechanisms of, a free and open market usage consistent, the Exchange proposes and a national market system and, in 2. Statutory Basis to make non-substantive changes to the general, protect investors and the public Price List and Fee Schedule to replace The Exchange believes that the interest because the proposed changes ‘‘GB’’ with ‘‘Gb.’’ proposed rule change is consistent with would make the descriptions of access 22 to the LCN and IP network more General Section 6(b) of the Act, in general, and furthers the objectives of Section 6(b)(5) accessible and transparent, thereby As is the case with all Exchange co- of the Act,23 in particular, because it is providing market participants with location arrangements, (i) neither a User designed to prevent fraudulent and clarity as to what connectivity is nor any of the User’s customers would manipulative acts and practices, to included in the purchase of access to be permitted to submit orders directly to promote just and equitable principles of the LCN and IP network. Including the the Exchange unless such User or trade, to foster cooperation and more detailed description of Access and customer is a member organization, a coordination with persons engaged in Connectivity in the Price List and Fee Sponsored Participant or an agent regulating, clearing, settling, processing Schedule is consistent with Nasdaq’s thereof (e.g., a service bureau providing information with respect to, and Rule 7034, which includes similar order entry services); (ii) use of the co- facilitating transactions in securities, to information.24 location services proposed herein would remove impediments to, and perfect the Co-location was created to permit be completely voluntary and available mechanisms of, a free and open market Users ‘‘to rent space on premises to all Users on a non-discriminatory and a national market system and, in controlled by the Exchange in order that

19 The 10 Gb LCN circuits and 10 Gb bundled effectiveness of proposed rule change to offer 1 Gb co-located, in sending orders to, and receiving network access were first filed in 2010, and the 40 and 10 Gb IP network connections); and 76373 market data from, the Exchange. Gb LCN and 10 Gb LX LCN circuits were first filed (Nov. 5, 2015), 80 FR 70024 (Nov. 12, 2015) (SR– 21 See SR–NYSEMKT–2013–67, supra note 5, at in 2013. The 10 and 40 Gb IP network circuits were NYSEMKT–2015–90) (notice of filing and 50471. The Affiliate SROs have also submitted first filed in 2015. See Securities Exchange Act immediate effectiveness of proposed rule change to substantially the same proposed rule change to Release Nos. 62731, supra note 8; 65240 (Aug. 31, offer 40 Gb IP network connection). propose the changes described herein. See SR– 2011), 76 FR 55434 (Sept. 7, 2011) (SR– 20 As is currently the case, Users that receive co- NYSEAmex–2011–65) (notice of filing and NYSE–2016–92 and SR–NYSEArca–2016–172. location services from the Exchange will not receive immediate effectiveness of proposed rule change 22 15 U.S.C. 78f(b). any means of access to the Exchange’s trading and adding MRC for 10 Gb circuit); 70285 (Aug. 29, 23 15 U.S.C. 78f(b)(5). execution systems that is separate from, or superior 2013), 78 FR 54697 (Sept. 5, 2013) (SR–NYSEMKT– 24 to, that of other Users. In this regard, all orders sent See Nasdaq Stock Market Rule 7034—Market 2013–71) (notice of filing and immediate Data Connectivity (‘‘Pricing is for connectivity only effectiveness of proposed rule change to offer LCN to the Exchange enter the Exchange’s trading and and is similar to connectivity fees imposed by other 40 Gb connection); 70982 (Dec. 4, 2013), 78 FR execution systems through the same order gateway, 74197 (Dec. 10, 2013) (SR–NYSEMKT–2013–97) regardless of whether the sender is co-located in the vendors. The fees are generally based on the (notice of filing and immediate effectiveness of data center or not. In addition, co-located Users do amount of bandwidth needed to accommodate a proposed rule change amending price list in order not receive any market data or data service product particular feed and Nasdaq is not the exclusive to provide fees for LCN 10 Gb LX); 74220 (Feb. 6, that is not available to all Users, although Users that method to get market data connectivity. Market data 2015), 80 FR 7894 (Feb. 12, 2015) (SR–NYSEMKT– receive co-location services normally would expect fees are charged independently by the Nasdaq Stock 2015–08) (notice of filing and immediate reduced latencies, as compared to Users that are not Market and other exchanges.’’)

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they may locate their electronic servers provides Access and Connectivity as interest because the proposed changes in close physical proximity to the conveniences to Users. Use of Access or would make the Price List and Fee Exchange’s trading and execution Connectivity is completely voluntary, Schedule more transparent, thereby systems.’’ 25 The expectation was that and each User has several other access providing market participants with normally Users ‘‘would expect reduced and connectivity options available to it. additional clarity. latencies in sending orders to the As alternatives to using the Access and The Exchange also believes that the Exchange and in receiving market data Connectivity provided by the Exchange, proposed rule changes are consistent from the Exchange.’’ 26 Accordingly, the a User may access or connect to such with Section 6(b)(4) of the Act,27 in Exchange believes the Access and services and products through another particular, because it provides for the Connectivity is directly related to the User or through a connection to an equitable allocation of reasonable dues, purpose of co-location, and so revising Exchange access center outside the data fees, and other charges among its the Price List and Fee Schedule to center, third party access center, or third members, issuers and other persons increase the description of such Access party vendor. The User may make such using its facilities and does not unfairly and Connectivity would remove connection through a third party discriminate between customers, impediments to, and perfect the telecommunication provider, third party issuers, brokers or dealers. mechanisms of, a free and open market wireless network, the SFTI network, or The Exchange believes that the and a national market system and, in a combination thereof. proposed changes are consistent with general protect investors and the public Similarly, the Exchange believes that Section 6(b)(4) of the Act 28 for multiple interest by increasing the transparency the proposed fee changes remove reasons. The Exchange operates in a around Access and Connectivity. impediments to, and perfect the highly competitive market in which Further, the Exchange believes that mechanisms of, a free and open market exchanges offer co-location services as a revising the Price List and Fee Schedule and a national market system and, in means to facilitate the trading and other to provide a more detailed description general, protect investors and the public market activities of those market of the Access and Connectivity Users interest because, by offering the participants who believe that co- receive with their purchase of access to Network Access Services, the Exchange location enhances the efficiency of their the LCN or IP network would promote gives each User options for access to the operations. Accordingly, fees charged just and equitable principles of trade LCN and IP network, responding to User for co-location services are constrained and remove impediments to, and perfect demand for options. Users have the by the active competition for the order the mechanisms of, a free and open convenience of choosing among the flow of, and other business from, such market and a national market system as array of different Network Access market participants. If a particular it would make clear that all Users that Services available, as well as the 1 Gb exchange charges excessive fees for co- voluntarily select to access the LCN or LCN and 1 Gb IP network access location services, affected market IP network would receive the same options, 1 Gb bundled network access participants will opt to terminate their Access and Connectivity, and would not and Partial Cabinet Solutions, helping co-location arrangements with that be subject to a charge above and beyond them tailor their data center operations exchange, and adopt a possible range of the fee paid for the relevant LCN or IP to the requirements of their business alternative strategies, including placing network access. Users are not required operations by allowing them to select their servers in a physically proximate to use any of their bandwidth to access the capacity, form and latency of location outside the exchange’s data Exchange Systems or connect to an connectivity that best suits their needs. center (which could be a competing Included Data Product unless they wish The Exchange believes that the exchange), or pursuing strategies less to do so. Rather, a User only receives the proposed fee changes remove dependent upon the lower exchange-to- Access and Connectivity that it selects, impediments to, and perfect the participant latency associated with co- and a User can change what Access or mechanisms of, a free and open market location. Accordingly, the exchange Connectivity it receives at any time, and a national market system and, in charging excessive fees would stand to subject to authorization from the data general, protect investors and the public lose not only co-location revenues but provider or relevant Exchange or interest because the Exchange provides also the liquidity of the formerly co- Affiliate SRO. Network Access Services as located trading firms, which could have The Exchange believes that the conveniences to Users. Use of Network additional follow-on effects on the proposed changes remove impediments Access Services is completely market share and revenue of the affected to, and perfect the mechanisms of, a free voluntary, and each User has several exchange. and open market and a national market other options available to it. As The Exchange believes that the system and, in general, protect investors alternatives to using the Network Access proposed changes to the Network and the public interest because, by Services provided by the Exchange, a Access Service MRCs would provide for offering Access and Connectivity, the User may access or connect to the the equitable allocation of reasonable Exchange gives each User additional Exchange through another User, as well dues, fees, and other charges among its options for addressing its access and as through a connection to an Exchange members, issuers and other persons connectivity needs, responding to User access center outside the data center, using its facilities, and are not designed demand for access and connectivity third party access center, or third party to permit unfair discrimination between options. Providing Access and vendor. The User may make such customers, issuers, brokers, or dealers, Connectivity helps each User tailor its connection through a third party because the Network Access Services data center operations to the telecommunication provider, third party are available to all Users on an equal requirements of its business operations wireless network, the SFTI network, or basis (i.e., the same products and by allowing it to select the form and a combination thereof. services are available to all Users). All latency of access and connectivity that The Exchange believes that Users that voluntarily purchase a best suits its needs. The Exchange conforming the use of ‘‘Gb’’ would Network Access Service would be remove impediments to, and perfect the charged the same amount for the same 25 Original Co-Location Filing, supra note 4, at mechanisms of, a free and open market 59299. and a national market system and, in 27 15 U.S.C. 78f(b)(4). 26 Id. general, protect investors and the public 28 15 U.S.C. 78f(b)(4).

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service. As is currently the case, the Network Access Services are reasonable For the reasons above, the proposed purchase of any colocation service because they reflect the inclusion of changes do not unfairly discriminate (including Network Access Services) additional data products in the list of between or among market participants would be completely voluntary. Included Data Products. More that are otherwise capable of satisfying Furthermore, each of the Network specifically, the Exchange has opted to any applicable co-location fees, Access Services can be purchased include connectivity to the three requirements, terms and conditions independently of each other, and integrated feeds and the NYSE BQT as established from time to time by the independently of any other colocation Included Data Products. Exchange. services or products that a User may The Exchange believes that its For these reasons, the Exchange choose. proposed MRCs for the Network Access believes that the proposal is consistent The Exchange believes that the Services are comparable to the fees with the Act. proposed changes to the Network Nasdaq charges its co-location B. Self-Regulatory Organization’s Access Service MRCs are reasonable, customers. For instance, the ongoing Statement on Burden on Competition equitably allocated and not unfairly monthly fees for 40 Gb and 10 Gb fiber In accordance with Section 6(b)(8) of discriminatory because the MRCs for the connections to Nasdaq are $20,000 and the Act,33 the Exchange believes that the Network Access Services have been the $10,000, respectively, compared to the proposed rule change will not impose same since they were first filed, with proposed $22,000 and $14,000 for the any burden on competition that is not some MRCs dating to the inception of 40 Gb and 10 Gb LCN circuits and 29 necessary or appropriate in furtherance co-location in 2010. During the time $18,000 and $11,000 for the 40 Gb and of the purposes of the Act because, in since the MRCs for the Network Access 10 Gb IP network circuits, addition to the proposed services being Services were filed, however, the respectively.30 Exchange has made numerous completely voluntary, they are available Excluding the Partial Cabinet improvements to the network hardware to all Users on an equal basis (i.e. the Solutions with 10 Gb connections to the and technology infrastructure. The same products and services are available LCN and IP networks from the proposed Exchange has expanded the network to all Users). The Exchange believes that changes to MRCs is a business decision infrastructure to keep pace with the the proposed changes are reasonable that the Exchange believes is reasonable, increased number of services available and designed to be fair and equitable, equitably allocated and not unfairly to Users, including the increasing and therefore, will not unduly burden discriminatory because the MRCs for the demand for bandwidth, and has any particular group of Users. established additional administrative Partial Cabinet Solutions have been in The Exchange believes that providing controls. The Exchange offers the place less than a year, and so the Users with Access and Connectivity Network Access Services as Exchange believes they more accurately does not impose any burden on reflect the value of the services provided competition that is not necessary or conveniences to Users, but in order to 31 do so must provide, maintain and than those in place for longer periods. appropriate in furtherance of the operate the data center facility hardware The Exchange believes that excluding purposes of the Act because such and technology infrastructure. The the Partial Cabinet Solution MRCs from Access and Connectivity satisfies User Exchange must handle the installation, the present proposed changes would demand for access and connectivity administration, monitoring, support and continue to make it more cost effective options, and each User has several other maintenance of the Network Access for smaller Users, including those with access and connectivity options Services, including by responding to minimal power or cabinet space available to it. As alternatives to using any production issues. The Exchange demands or those for which the costs the Access and Connectivity provided accordingly believes that the proposed attendant with having a dedicated by the Exchange, a User may access or changes to the Network Access Service cabinet or greater network connection connect to such services and products MRCs will allow them to more bandwidth are too burdensome, to through another User or through a accurately reflect the value of the utilize co-location.32 connection to an Exchange access center services provided. Excluding the 1 Gb LCN, 1 Gb IP outside the data center, third party The Exchange believes the proposed network access and 1 Gb bundled access center, or third party vendor. The fees are reasonable because they allow network access options from the User may make such connection the Exchange to defray or cover the proposed changes to the MRC is a through a third party costs associated with offering the business decision that the Exchange telecommunication provider, third party Network Access Services while believes is reasonable, equitably wireless network, the SFTI network, or providing Users the benefit of choosing allocated and not unfairly a combination thereof. Users that opt to among the array of different Network discriminatory, because the Exchange use Access or Connectivity would not Access Services available, as well as the believes that the current MRCs for the receive access or connectivity that is not 1 Gb LCN and 1 Gb IP network access services reflect the value of the services available to all Users, as all market options, 1 Gb bundled network access provided to the smallest connections. In participants that contract with the and Partial Cabinet Solutoins, helping addition, Users with 1 Gb connections relevant market or content provider may them tailor their data center operations generally do not connect to the new receive access or connectivity. In this to the requirements of their business Included Data Products, which way, the proposed changes would operations by allowing them to select generally require a larger connection enhance competition by helping Users the capacity, form and latency of than 1 Gb. tailor their Access and Connectivity to connectivity that best suits their needs. the needs of their business operations In addition, the Exchange believes the 30 See Nasdaq Stock Market Rule 7034— by allowing them to select the form and proposed increases in the MRCs for the Connectivity to Nasdaq. latency of access and connectivity that 31 The order approving the proposed rule change best suits their needs. 29 See note 19, supra. The 10 LCN circuits and 1 to provide that co-location services include the The Exchange believes that revising Gb bundled network access were first filed in 2010, Partial Cabinet Solution Bundles was issued in and the 40 Gb LCN and 10 Gb LX LCN circuits were February, 2016. See Securities Exchange Act the Price List and Fee Schedule to first filed in 2013. The 10 and 40 Gb IP network Release No. 77071, supra note 8. circuits were first filed in 2015. 32 See id., at 7384. 33 15 U.S.C. 78f(b)(8).

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provide a more detailed description of accordingly believes that the proposed investors, or otherwise in furtherance of the Access and Connectivity available to changes to the Network Access Service the purposes of the Act. If the Users would make such descriptions MRCs will allow them to more Commission takes such action, the more accessible and transparent, accurately reflect the value of the Commission shall institute proceedings thereby providing market participants services provided. under Section 19(b)(2)(B) 37 of the Act to with clarity as to what Access and The Exchange operates in a highly determine whether the proposed rule Connectivity is available to them and competitive market in which exchanges change should be approved or what the related costs are, thereby offer co-location services as a means to disapproved. enhancing competition by ensuring that facilitate the trading and other market IV. Solicitation of Comments all Users have access to the same activities of those market participants information regarding Access and who believe that co-location enhances Interested persons are invited to Connectivity. the efficiency of their operations. submit written data, views, and Similarly, the Exchange believes that Accordingly, fees charged for co- arguments concerning the foregoing, the proposed changes to the Network location services are constrained by the including whether the proposed rule Access Service MRCs would not impose active competition for the order flow of, change is consistent with the Act. any burden on competition that is not and other business from, such market Comments may be submitted by any of necessary or appropriate in furtherance participants. If a particular exchange the following methods: of the purposes of the Act because, by charges excessive fees for co-location Electronic Comments offering the Network Access Services, services, affected market participants • the Exchange gives each User options will opt to terminate their co-location Use the Commission’s Internet for access to the LCN and IP network, arrangements with that exchange, and comment form (http://www.sec.gov/ responding to User demand for options. adopt a possible range of alternative rules/sro.shtml); or • Send an email to rule- All Users that voluntarily purchase strategies, including placing their [email protected]. Please include File Network Access Services would be servers in a physically proximate No. SR–NYSEMKT–2016–126 on the charged the same amount for the same location outside the exchange’s data subject line. services. As is currently the case, the center (which could be a competing purchase of any colocation service exchange), or pursuing strategies less Paper Comments (including network and capacities) dependent upon the lower exchange-to- • Send paper comments in triplicate would be completely voluntary. participant latency associated with co- to Secretary, Securities and Exchange Furthermore, each of the Network location. Accordingly, the exchange Commission, 100 F Street NE., Access Services can be purchased charging excessive fees would stand to Washington, DC 20549–1090. independently of each other, and lose not only co-location revenues but independently of any other colocation also the liquidity of the formerly co- All submissions should refer to File No. services or products that a User may located trading firms, which could have SR–NYSEMKT–2016–126. This file choose. additional follow-on effects on the number should be included on the The Exchange believes that the market share and revenue of the affected subject line if email is used. To help the proposed changes to the Network exchange. For the reasons described Commission process and review your Access Service MRCs would not impose above, the Exchange believes that the comments more efficiently, please use only one method. The Commission will any burden on competition that is not proposed rule change reflects this post all comments on the Commission’s necessary or appropriate in furtherance competitive environment. of the purposes of the Act because the Internet Web site (http://www.sec.gov/ MRCs for the Network Access Services C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the have been the same since they were first Statement on Comments on the submission, all subsequent filed, with some MRCs dating to the Proposed Rule Change Received From amendments, all written statements inception of co-location in 2010.34 Members, Participants, or Others with respect to the proposed rule During the time since the MRCs for the No written comments were solicited change that are filed with the Network Access Services were filed, or received with respect to the proposed Commission, and all written however, the Exchange has made rule change. communications relating to the numerous improvements to the network proposed rule change between the hardware and technology infrastructure. III. Date of Effectiveness of the Commission and any person, other than The Exchange has expanded the Proposed Rule Change and Timing for those that may be withheld from the network infrastructure to keep pace Commission Action public in accordance with the with the increased number of services The foregoing rule change is effective provisions of 5 U.S.C. 552, will be available to Users, including the upon filing pursuant to Section available for Web site viewing and increasing demand for bandwidth, and 19(b)(3)(A) 35 of the Act and printing in the Commission’s Public has established additional subparagraph (f)(2) of Rule 19b–4 36 Reference Room, 100 F Street NE., administrative controls. The Exchange thereunder, because it establishes a due, Washington, DC 20549 on official offers the Network Access Services as fee, or other charge imposed by the business days between the hours of conveniences to Users, but in order to Exchange. 10:00 a.m. and 3:00 p.m. Copies of such do so must provide, maintain and At any time within 60 days of the filing also will be available for operate the data center facility hardware filing of such proposed rule change, the inspection and copying at the principal and technology infrastructure. The Commission summarily may office of the Exchange. All comments Exchange must handle the installation, temporarily suspend such rule change if received will be posted without change; administration, monitoring, support and it appears to the Commission that such the Commission does not edit personal maintenance of the Network Access action is necessary or appropriate in the identifying information from Services, including by responding to public interest, for the protection of submissions. You should submit only any production issues. The Exchange information that you wish to make 35 15 U.S.C. 78s(b)(3)(A). 34 See note 19, supra. 36 17 CFR 240.19b–4(f)(2). 37 15 U.S.C. 78s(b)(2)(B).

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available publicly. All submissions 1(a) under the Act that would shorten acts and practices, to promote just and should refer to File No. SR–NYSEMKT– the standard settlement cycle to T+2. equitable principles of trade, to foster 2016–126, and should be submitted on A. Current T+3 Settlement Cycle cooperation and coordination with or before January 31, 2017. persons engaged in regulating, clearing, Currently, Exchange Rule 7.4 provides For the Commission, by the Division of settling, processing information with that transactions in stocks traded Trading and Markets, pursuant to delegated respect to, and facilitating transactions ‘‘regular’’ shall be ‘‘ex-dividend’’ or ‘‘ex- authority.38 in securities, to remove impediments to rights,’’ as the case may be, on the Eduardo A. Aleman, and perfect the mechanism of a free and second business day preceding the Assistant Secretary. record date fixed by the company or the open market and a national market [FR Doc. 2017–00212 Filed 1–9–17; 8:45 am] date of the closing of transfer books, system, and to protect investors and the BILLING CODE 8011–01–P except when the Board of Directors public interest. rules otherwise.5 Further, current The Commission notes that the Exchange Rule 7.4 provides that, should proposal would conform Exchange Rule SECURITIES AND EXCHANGE the record date or closing of transfer 7.4 to the amendment that the COMMISSION books occur on a day other than a Commission has proposed to Rule 15c6– [Release No. 34–79732; File No. SR– business day, the rule shall apply for the 1(a) under the Act. The Commission NYSEArca–2016–145] third preceding business day. also notes that the proposed amendment B. Proposed T+2 Settlement Cycle to Rule 15c6–1(a) under the Act has not Self-Regulatory Organizations; NYSE yet been adopted by the Commission, Proposed new Exchange Rule 7.4T Arca, Inc.; Order Granting Approval of and that the Exchange has, accordingly, would provide that transactions in a Proposed Rule Change To Conform not proposed to make its amended rule to Proposed Amendment to Rule 15c6– stocks traded ‘‘regular’’ shall be ‘‘ex- effective at present. Instead, the 1(a) Under the Securities Exchange Act divided’’ or ‘‘ex-rights,’’ as the case may Exchange has proposed to establish the of 1934 To Shorten the Standard be, on the business day preceding the operative date of the Exchange’s Settlement Cycle From Three Business record date fixed by the company or the Days After the Trade Date (‘‘T+3’’) to date of the closing of transfer books, proposal by filing a separate proposed Two Business Days After the Trade except when the Board of Directors rule change. The Commission expects Date (‘‘T+2’’) rules otherwise.6 Further, proposed that any proposed rule change to Rule 7.4T would provide that, should establish the operative date of the January 4, 2017. the record date or closing of transfer Exchange’s proposal would correspond I. Introduction books occur on a day other than a with the compliance date of any business day, the rule would apply for amendment to Rule 15c6–1(a) that is On November 4, 2016, NYSE Arca, the second preceding business day. adopted by the Commission. Inc. (‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with the Securities and Exchange C. Operative Date For the reasons noted above, the Commission finds that the proposal is Commission (‘‘Commission’’), pursuant The Exchange proposes for the new to Section 19(b)(1) of the Securities rule to be adopted but not yet operative. consistent with the requirements of the Exchange Act of 1934 (‘‘Act’’) 1 and Rule The current T+3 rule would remain in Act and would foster cooperation and 19b–4 thereunder,2 a proposed rule effect until the Exchange files a separate coordination with persons engaged in change to conform its rules to an proposed rule change, to delete the regulating, clearing, settling, processing amendment proposed by the current T+3 rule and make operative the information with respect to, and Commission to Rule 15c6–1(a) under proposed T+2 rule. The Exchange facilitating transactions in securities, to the Securities Exchange Act of 1934 would announce the operative date of remove impediments to and perfect the (‘‘Act’’) to shorten the standard the T+2 rule by issuing an Information mechanism of a free and open market settlement cycle for most broker-dealer Memo. and a national market system, and to transactions from three business days protect investors and the public interest. after the trade date (‘‘T+3’’) to two III. Discussion and Commission’s business days after the trade date Findings IV. Conclusion 3 (‘‘T+2’’). The proposed rule change was After careful review of the proposed It is therefore ordered that, pursuant rule change, the Commission finds that published for comment in the Federal to Section 19(b)(2) of the Act,9 that the Register on November 23, 2016.4 The the proposal is consistent with the proposed rule change (SR–NYSEArca– Commission received no comments on requirements of the Act and the rules 2016–145), be and hereby is, approved. the proposal. This order approves the and regulations thereunder that are proposed rule change. applicable to a national securities For the Commission, by the Division of exchange.7 Specifically, the Trading and Markets, pursuant to delegated II. Description of the Proposal Commission finds that the rule change authority.10 The Exchange proposes to adopt new is consistent with Section 6(b)(5) of the Eduardo A. Aleman, 8 NYSE Arca Equities Rule 7.4T (Ex- Act, which requires that the rules of a Assistant Secretary. Dividend or Ex-Right Dates), to conform national securities exchange be [FR Doc. 2017–00216 Filed 1–9–17; 8:45 am] to a proposed amendment to Rule 15c6– designed, among other things, to prevent fraudulent and manipulative BILLING CODE 8011–01–P 38 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 5 See Exchange Rule 7.4. 2 17 CFR 240.19b–4. 6 See Proposed Exchange Rule 7.4T. 3 See Securities Exchange Act Release No. 78962 7 In approving this rule change, the Commission (Sept. 28, 2016), 81 FR 69240 (Oct. 5, 2016) (File has considered the rule’s impact on efficiency, No. S7–22–16). competition, and capital formation. See 15 U.S.C. 4 See Securities Exchange Act Release No. 79337 78c(f). 9 15 U.S.C. 78s(b)(2). (Nov. 17, 2016), 81 FR 84635 (Nov. 23, 2016). 8 15 U.S.C. 78f(b)(5). 10 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE execution of orders using the PIM. The market and a national market system COMMISSION PIM allows ISE Gemini members to and, in general, to protect investors and enter cross transactions of any size. The the public interest, and not be designed [Release No. 34–79735; File No. SR– ISEGemini–2016–14] Facilitation, Solicited Order to permit unfair discrimination between Mechanisms, and PIM allow for ISE customers, issuers, brokers, or dealers. Self-Regulatory Organizations; ISE Gemini members to designate certain The Commission also finds that the Gemini, LLC; Order Approving a customer orders for price improvement proposed rule change is consistent with Proposed Rule Change To Modify the and submit such orders into one of the Section 6(b)(8) of the Act,10 which Response Times in the Block mechanisms with a matching contra requires that the rules of an exchange Mechanism, Facilitation Mechanism, order. Once such an order is submitted, not impose any burden on competition Solicited Order Mechanism, and Price ISE Gemini commences an auction by that is not necessary or appropriate in Improvement Mechanism broadcasting a message to all ISE furtherance of the purposes of the Act. Gemini members that includes the The Commission believes that, given January 4, 2017. series, price, size, and side of the the electronic environment of ISE 6 I. Introduction market. Further, responses within the Gemini, reducing each of the exposure PIM (i.e., Improvement Orders), are also periods from 500 milliseconds to no less On November 8, 2016, ISE Gemini, broadcast to market participants during than 100 milliseconds could facilitate LLC (the ‘‘Exchange’’ or ‘‘ISE Gemini’’) the auction. the prompt execution of orders, while filed with the Securities and Exchange Orders entered into the Block Order continuing to provide market Commission (‘‘Commission’’) pursuant Mechanism, Facilitation Mechanism, participants with an opportunity to to Section 19(b)(1) of the Securities Solicited Order Mechanism, and PIM compete for exposed bids and offers. To Exchange Act of 1934 (‘‘Act’’) 1 and Rule are currently exposed to all market substantiate that its members could 19b–4 thereunder,2 a proposed rule participants for 500 milliseconds, giving receive, process, and communicate a change to amend ISE Gemini Rules 716 them an opportunity to enter additional response back to ISE Gemini within 100 (Block Trades) and 723 (Price trading interest before the orders are milliseconds, ISE Gemini stated that it Improvement Mechanism for Crossing automatically executed. Under the surveyed all ISE Gemini members that Transactions) to modify the response proposal, ISE Gemini would determine responded to an auction in the period times in the Block Order Mechanism, an exposure period for each of the four beginning July 1, 2015 and ending Facilitation Mechanism, Solicited Order mechanisms that is no less than 100 January 15, 2016. Each of the fifteen Mechanism, and Price Improvement milliseconds and no more than 1 members surveyed indicated that they Mechanism (‘‘PIM’’) from 500 second.7 can currently receive, process, and milliseconds to a time period designated communicate a response back to ISE III. Discussion and Commission’s by the Exchange of no less than 100 Gemini within 100 milliseconds. To Findings milliseconds and no more than 1 implement the reduced exposure second. The proposed rule change was After careful review, the Commission periods and help ensure that ISE published for comment in the Federal finds that the proposed rule change is Gemini’s and its members’ systems are Register on November 25, 2016.3 No consistent with the requirements of the working properly given the faster comment letters were received on the Act and the rules and regulations response times, ISE Gemini will reduce proposed rule change. This order thereunder applicable to a national the auction time over a period of weeks, approves the proposed rule change. securities exchange.8 In particular, the ending at 100 milliseconds. Upon II. Description of the Proposed Rule Commission finds that the proposed effectiveness of the proposal, and at Change rule change is consistent with Section least six weeks prior to implementation 6(b)(5) of the Act,9 which requires, of the proposed rule change, ISE Gemini ISE Gemini Rule 716 (Block Trades) among other things, that the rules of a will issue a circular to its members, contains the requirements applicable to national securities exchange be informing them of the implementation the execution of orders using the Block designed to promote just and equitable date of the reduction of the auction from Order Mechanism, Facilitation principles of trade, to foster cooperation 500 milliseconds to the auction time Mechanism, and Solicited Order and coordination with persons engaged designated by ISE Gemini (100 Mechanism. The Block Order in regulating transactions in securities, milliseconds), to allow members the Mechanism allows ISE Gemini members to remove impediments to and perfect opportunity to perform systems to obtain liquidity for the execution of the mechanism of a free and open 4 changes. ISE Gemini also represented a block-size order. The Facilitation and that it will issue a circular at least four Solicited Order Mechanisms allow ISE 6 ISE Gemini members may choose to hide the weeks prior to any future changes, as Gemini members to enter cross size, side, and price when entering orders into the Block Order Mechanism. permitted by its rules, to the auction transactions seeking price 11 7 time. In addition, ISE Gemini improvement.5 ISE Gemini Rule 723 While the proposed rule change would allow ISE Gemini to increase the exposure period up to reviewed all executions occurring in the (Price Improvement Mechanism for 1 second, ISE Gemini stated that it currently mechanisms by ISE Gemini members Crossing Transactions) contains the intends to decrease the time period allowed for from March 28, 2016 to April 25, 2016. requirements applicable to the responses to 100 milliseconds. See Notice, supra note 3, at 85281. ISE Gemini further noted that its This review of executions in the proposal is consistent with exposure periods 1 mechanisms indicated that 15 U.S.C. 78s(b)(1). permitted in similar mechanisms on other options approximately 98% of responses that 2 17 CFR 240.19b–4. exchanges. See id. at 85281. See also Securities 3 See Securities Exchange Act Release No. 79353 Exchange Act Release Nos. 76301 (October 29, resulted in price improving executions (November 18, 2016), 81 FR 85280 (‘‘Notice’’). 2015), 80 FR 68347 (November 4, 2015) (SR–BX– at the conclusion of an auction were 4 Block-size orders are orders for 50 contracts or 2015–032) and 77557 (April 7, 2016), 81 FR 21935 submitted within 500 milliseconds. more. See ISE Gemini Rule 716(a). (April 13, 2016) (SR–Phlx–2016–40). Approximately 94% of responses that 8 5 Only block-size orders can be entered into the In approving this proposed rule change, the resulted in price improving executions Facilitation Mechanism, whereas only orders for Commission has considered the proposed rule’s 500 contracts or more can be entered into the impact on efficiency, competition, and capital Solicited Order Mechanism. See ISE Gemini Rule formation. See 15 U.S.C. 78c(f). 10 15 U.S.C. 78f(b)(8). 716(d) and (e). 9 15 U.S.C. 78f(b)(5). 11 See Notice, supra note 3, at 85282.

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at the conclusion of an auction were Investment Company Act of 1940 (the service. Pursuant to rule 0–5 under the submitted within 100 milliseconds, and ‘‘Act’’) for an exemption from sections Act, hearing requests should state the 83% were submitted within 50 2(a)(32), 5(a)(1), 22(d), and 22(e) of the nature of the writer’s interest, any facts milliseconds of the initial order.12 Act and rule 22c–1 under the Act, under bearing upon the desirability of a Furthermore, with regard to the impact sections 6(c) and 17(b) of the Act for an hearing on the matter, the reason for the of the proposal on system capacity, ISE exemption from sections 17(a)(1) and request, and the issues contested. Gemini has analyzed its capacity and 17(a)(2) of the Act, and under section Persons who wish to be notified of a represented that it has the necessary 12(d)(1)(J) for an exemption from hearing may request notification by systems capacity to handle the potential sections 12(d)(1)(A) and 12(d)(1)(B) of writing to the Commission’s Secretary. additional traffic associated with the the Act. The requested order would ADDRESSES: Brent J. Fields, Secretary, additional transactions that may occur permit (a) actively-managed series of Securities and Exchange Commission, with the implementation of the certain open-end management 100 F Street NE., Washington, DC reduction in the auction duration to no investment companies (‘‘Funds’’) to 20549–1090; Applicants: the Initial 13 less than 100 milliseconds. issue shares redeemable in large Adviser and the Trust, 1270 Avenue of Based on ISE Gemini’s statements, the aggregations only (‘‘Creation Units’’); (b) the Americas, Suite 2217, New York, Commission believes that market secondary market transactions in Fund New York 10020; and the Initial participants should continue to have shares to occur at negotiated market Distributor, One Freedom Valley Drive, opportunities to compete for exposed prices rather than at net asset value Oaks, Pennsylvania 19456. bids and offers within an exposure (‘‘NAV’’); (c) certain Funds to pay FOR FURTHER INFORMATION CONTACT: period of no less than 100 milliseconds redemption proceeds, under certain Laura J. Riegel, Senior Counsel, at (202) and no more than 1 second.14 circumstances, more than seven days 551–3038, or Mary Kay Frech, Branch Accordingly, the Commission believes after the tender of shares for Chief, at (202) 551–6821 (Division of that it is consistent with the Act for the redemption; (d) certain affiliated Investment Management, Chief Exchange to modify the response times persons of a Fund to deposit securities Counsel’s Office). in the Block Mechanism, Facilitation into, and receive securities from, the Mechanism, Solicited Order Fund in connection with the purchase SUPPLEMENTARY INFORMATION: The Mechanism, and PIM from 500 and redemption of Creation Units; (e) following is a summary of the milliseconds to a time period designated certain registered management application. The complete application by the Exchange of no less than 100 investment companies and unit may be obtained via the Commission’s milliseconds and no more than 1 investment trusts outside of the same Web site by searching for the file second. group of investment companies as the number, or for an applicant using the Company name box, at http:// IV. Conclusion Funds (‘‘Funds of Funds’’) to acquire shares of the Funds; and (f) certain www.sec.gov/search/search.htm or by It is therefore ordered, pursuant to Funds (‘‘Feeder Funds’’) to create and calling (202) 551–8090. Section 19(b)(2) of the Act,15 that the redeem Creation Units in-kind in a Summary of the Application proposed rule change (SR–ISEGemini– master-feeder structure. 2016–14) be, and hereby is, approved. 1. Applicants request an order that For the Commission, by the Division of APPLICANTS: Krane Funds Advisors, LLC would allow Funds to operate as Trading and Markets, pursuant to delegated (the ‘‘Initial Adviser’’), a Delaware actively-managed exchange traded authority.16 limited liability company registered as funds (‘‘ETFs’’).1 Fund shares will be Eduardo A. Aleman, an investment adviser under the purchased and redeemed at their NAV Assistant Secretary. Investment Advisers Act of 1940, in Creation Units only. All orders to [FR Doc. 2017–00219 Filed 1–9–17; 8:45 am] KraneShares Trust (the ‘‘Trust’’), a purchase Creation Units and all BILLING CODE 8011–01–P Delaware statutory trust that is redemption requests will be placed by registered under the Act as an open-end or through an ‘‘Authorized Participant’’, management investment company with which will have signed a participant SECURITIES AND EXCHANGE multiple series, and SEI Investments agreement with the Distributor. Shares COMMISSION Distribution Company (the ‘‘Initial will be listed and traded individually on a national securities exchange, where [Investment Company Act Release No. Distributor’’), a Pennsylvania 32412; File No. 812–14675] corporation and broker-dealer registered share prices will be based on the current under the Securities Exchange Act of bid/offer market. Certain Funds may Krane Funds Advisors, LLC, et al.; 1934 (the ‘‘Exchange Act’’). operate as Feeder Funds in a master- Notice of Application FILING DATES: The application was filed feeder structure. Any order granting the on July 20, 2016 and amended on requested relief would be subject to the January 4, 2017. November 29, 2016. terms and conditions stated in the AGENCY: Securities and Exchange application. Commission (‘‘Commission’’). HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief will ACTION: Notice of an application for an 1 be issued unless the Commission orders Applicants request that the order apply to the order under section 6(c) of the initial series of the Trust and any future series of a hearing. Interested persons may the Trust offering exchange-traded shares, as well as other existing or future open-end management 12 See id. request a hearing by writing to the companies or existing or future series thereof 13 Commission’s Secretary and serving See id. offering exchange-traded shares (and their 14 The Commission notes that the ability to applicants with a copy of the request, respective existing or future Master Funds, as designate such an exposure time period is personally or by mail. Hearing requests defined below), that will utilize active management consistent with the rules of other options should be received by the Commission investment strategies (collectively, ‘‘Future exchanges. See supra note 7. See also NASDAQ by 5:30 p.m. on January 26, 2017, and Funds’’). Any Future Fund will (a) be advised by Phlx Rule 1080(n)(ii)(A)(4) and NASDAQ BX the Initial Adviser or an entity controlling, Options Rules Chapter VI, Section 9(ii)(A)(3). should be accompanied by proof of controlled by, or under common control with the 15 15 U.S.C. 78s(b)(2). service on applicants, in the form of an Initial Adviser (each, an ‘‘Adviser’’) and (b) comply 16 17 CFR 200.30–3(a)(12). affidavit, or for lawyers, a certificate of with the terms and conditions of the application.

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2. Each Fund will consist of a for redemption. Applicants assert that having substantially the same portfolio of securities and other assets the requested relief would not be investment objectives as the Feeder and investment positions (‘‘Portfolio inconsistent with the spirit and intent of Fund (‘‘Master Fund’’) beyond the Holdings’’). Each Fund will disclose on section 22(e) to prevent unreasonable, limitations in section 12(d)(1)(A) and its Web site the identities and quantities undisclosed or unforeseen delays in the permit the Master Fund, and any of the Portfolio Holdings that will form actual payment of redemption proceeds. principal underwriter for the Master the basis for the Fund’s calculation of 7. Applicants request an exemption to Fund, to sell shares of the Master Fund NAV at the end of the day. permit Funds of Funds to acquire Fund to the Feeder Fund beyond the 3. Shares will be purchased and shares beyond the limits of section limitations in section 12(d)(1)(B). redeemed in Creation Units and 12(d)(1)(A) of the Act; and the Funds, 10. Section 6(c) of the Act permits the generally on an in-kind basis. Except and any principal underwriter for the Commission to exempt any persons or where the purchase or redemption will Funds, and/or any broker or dealer transactions from any provision of the include cash under the limited registered under the Exchange Act, to Act if such exemption is necessary or circumstances specified in the sell shares to Funds of Funds beyond appropriate in the public interest and application, purchasers will be required the limits of section 12(d)(1)(B) of the consistent with the protection of to purchase Creation Units by Act. The application’s terms and investors and the purposes fairly depositing specified instruments conditions are designed to, among other intended by the policy and provisions of (‘‘Deposit Instruments’’), and things, help prevent any potential (i) the Act. Section 12(d)(1)(J) of the Act shareholders redeeming their shares undue influence over a Fund through provides that the Commission may will receive specified instruments control or voting power, or in exempt any person, security, or (‘‘Redemption Instruments’’). The connection with certain services, transaction, or any class or classes of Deposit Instruments and the transactions, and underwritings, (ii) persons, securities, or transactions, from Redemption Instruments will each excessive layering of fees, and (iii) any provision of section 12(d)(1) if the correspond pro rata to the positions in overly complex fund structures, which exemption is consistent with the public the Fund’s portfolio (including cash are the concerns underlying the limits interest and the protection of investors. positions) except as specified in the in sections 12(d)(1)(A) and (B) of the Section 17(b) of the Act authorizes the application. Act. Commission to grant an order 4. Because shares will not be 8. Applicants request an exemption permitting a transaction otherwise individually redeemable, applicants from sections 17(a)(1) and 17(a)(2) of the prohibited by section 17(a) if it finds request an exemption from section Act to permit persons that are Affiliated that (a) the terms of the proposed 5(a)(1) and section 2(a)(32) of the Act Persons, or Second Tier Affiliates, of the transaction are fair and reasonable and that would permit the Funds to register Funds, solely by virtue of certain do not involve overreaching on the part as open-end management investment ownership interests, to effectuate of any person concerned; (b) the companies and issue shares that are purchases and redemptions in-kind. The proposed transaction is consistent with redeemable in Creation Units only. deposit procedures for in-kind the policies of each registered 5. Applicants also request an purchases of Creation Units and the investment company involved; and (c) exemption from section 22(d) of the Act redemption procedures for in-kind the proposed transaction is consistent and rule 22c-1 under the Act as redemptions of Creation Units will be with the general purposes of the Act. secondary market trading in shares will the same for all purchases and take place at negotiated prices, not at a redemptions and Deposit Instruments For the Commission, by the Division of current offering price described in a and Redemption Instruments will be Investment Management, under delegated Fund’s prospectus, and not at a price valued in the same manner as those authority. based on NAV. Applicants state that (a) Portfolio Holdings currently held by the Eduardo A. Aleman, secondary market trading in shares does Funds. Applicants also seek relief from Assistant Secretary. not involve a Fund as a party and will the prohibitions on affiliated [FR Doc. 2017–00226 Filed 1–9–17; 8:45 am] not result in dilution of an investment transactions in section 17(a) to permit a BILLING CODE 8011–01–P in shares, and (b) to the extent different Fund to sell its shares to and redeem its prices exist during a given trading day, shares from a Fund of Funds, and to or from day to day, such variances occur engage in the accompanying in-kind SECURITIES AND EXCHANGE as a result of third-party market forces, transactions with the Fund of Funds.2 COMMISSION such as supply and demand. Therefore, The purchase of Creation Units by a applicants assert that secondary market [Release No. 34–79730; File No. SR–NYSE– Fund of Funds directly from a Fund will 2016–92] transactions in shares will not lead to be accomplished in accordance with the discrimination or preferential treatment policies of the Fund of Funds and will Self-Regulatory Organizations; New among purchasers. Finally, applicants be based on the NAVs of the Funds. York Stock Exchange LLC; Notice of represent that share market prices will 9. Applicants also request relief to Filing and Immediate Effectiveness of be disciplined by arbitrage permit a Feeder Fund to acquire shares Proposed Rule Change Amending the opportunities, which should prevent of another registered investment Exchange’s Price List Related to Co- shares from trading at a material company managed by the Adviser location Services To Increase LCN and discount or premium from NAV. IP Network Fees and Add a Description 6. With respect to Funds that hold 2 The requested relief would apply to direct sales of Access To Trading and Execution non-U.S. Portfolio Holdings and that of shares in Creation Units by a Fund to a Fund of Funds and redemptions of those shares. Applicants, Services and Connectivity to Included effect creations and redemptions of moreover, are not seeking relief from section 17(a) Data Products Creation Units in kind, applicants for, and the requested relief will not apply to, request relief from the requirement transactions where a Fund could be deemed an January 4, 2017. imposed by section 22(e) in order to Affiliated Person, or a Second-Tier Affiliate, of a Pursuant to Section 19(b)(1) 1 of the Fund of Funds because an Adviser or an entity allow such Funds to pay redemption controlling, controlled by or under common control Securities Exchange Act of 1934 (the proceeds within fifteen calendar days with an Adviser provides investment advisory following the tender of Creation Units services to that Fund of Funds. 1 15 U.S.C.78s(b)(1).

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‘‘Act’’) 2 and Rule 19b–4 thereunder,3 provide a more detailed description of products.9 More specifically, when a notice is hereby given that, on December the access to trading and execution User purchases access to the LCN or IP 22, 2016, New York Stock Exchange services and connectivity to data network, it will receive access to the LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed provided to Users 5 with connections to trading and execution systems of the with the Securities and Exchange the Liquidity Center Network (‘‘LCN’’) Exchange and its Affiliate SROs (the Commission (the ‘‘Commission’’) the and internet protocol (‘‘IP’’) network, ‘‘Exchange Systems’’), provided the proposed rule change as described in local area networks available in the data User has authorization from the Items I, II, and III below, which Items center, and (b) modify certain fees for Exchange or relevant Affiliate SRO. In have been prepared by the self- access to the LCN and IP networks. The addition, when a User purchases access regulatory organization. The Exchange proposes to implement the fee to the LCN or IP network, it will receive Commission is publishing this notice to changes effective January 1, 2017. connectivity to certain market data solicit comments on the proposed rule The Exchange offers LCN access of 1, products (the ‘‘Included Data change from interested persons. 10 and 40 Gigabits (‘‘Gb’’) as well as a Products’’), provided the User has have entered into a contract with the provider I. Self-Regulatory Organization’s lower-latency 10 Gb LCN connection, 6 of the data feed. The Exchange proposes Statement of the Terms of the Substance referred to as the ‘‘LCN 10 Gb LX.’’ The to revise the Price List to provide a more of the Proposed Rule Change Exchange offers IP network access in 1, 10 and 40 Gb capacities.7 A User also detailed description of the access to the The Exchange proposes to amend the may purchase access to the LCN or IP Exchange Systems (‘‘Access’’) and Exchange’s Price List related to co- network through purchase of 1 Gb or 10 connectivity to Included Data Products location services to (a) provide a more Gb bundled network access or a Partial (‘‘Connectivity’’) that comes with detailed description of the access to Cabinet Solution bundle, which include connections to the LCN or IP network trading and execution services and 1 and 10 Gb LCN and IP network when the User has authorization from connectivity to data provided to Users connections.8 the Exchange or Affiliate SRO for such with local area networks available in the access or has a contract from the market data center, and (b) modify certain fees Access to Trading and Execution data provider for such connectivity. for access to the local area networks in Services and Connectivity to Data Access to certification and testing the Exchange’s data center. The As the Exchange has previously feeds comes with the purchase of some proposed rule change is available on the stated, a User’s connection to the LCN Included Data Products from the Exchange’s Web site at www.nyse.com, or IP network provides it access to the provider of such data. Certification at the principal office of the Exchange, Exchange’s trading and execution feeds are used to certify that a User and at the Commission’s Public systems and Exchange market data conforms to any relevant technical Reference Room. requirements for receipt of data or II. Self-Regulatory Organization’s 5 For purposes of the Exchange’s co-location access to Exchange Systems. Test feeds Statement of the Purpose of, and services, a ‘‘User’’ means any market participant provide Users an environment in which that requests to receive co-location services directly to conduct tests with non-live data, Statutory Basis for, the Proposed Rule from the Exchange. See Securities Exchange Act Change Release No. 76008 (September 29, 2015), 80 FR including testing for upcoming 60190 (October 5, 2015) (SR–NYSE–2015–40). As Exchange releases and product In its filing with the Commission, the specified in the Price List, a User that incurs co- enhancements or the User’s own self-regulatory organization included location fees for a particular co-location service software development. Such feeds are statements concerning the purpose of, pursuant thereto would not be subject to co-location solely used for certification and testing and basis for, the proposed rule change fees for the same co-location service charged by the Exchange’s affiliates NYSE MKT LLC (‘‘NYSE and do not carry live production data. and discussed any comments it received MKT’’) and NYSE Arca, Inc. (‘‘NYSE Arca’’ and, When access to certification and testing on the proposed rule change. The text together with NYSE MKT, the ‘‘Affiliate SROs’’). feeds comes with the purchase of an of those statements may be examined at See Securities Exchange Act Release No. 70206 Included Data Product from the the places specified in Item IV below. (August 15, 2013), 78 FR 51765 (August 21, 2013) (SR–NYSE–2013–59). provider of such data, the purchase of The Exchange has prepared summaries, 6 See Original Co-location Filing, supra note 4, at access to the IP network from the set forth in sections A, B, and C below, 59311; and Securities Exchange Act Release Nos. Exchange 10 will provide Connectivity of the most significant parts of such 70206 (Aug. 15, 2013), 78 FR 51765 (Aug. 21, 2013) to such certification and testing feeds.’ statements. (SR–NYSE–2013–59) (notice of filing and The Exchange provides Access and immediate effectiveness of proposed rule change to A. Self-Regulatory Organization’s offer LCN 40 Gb connection); and 70888 (Nov. 15, Connectivity as conveniences to Users. Statement of the Purpose of, and 2013), 78 FR 69907 (Nov. 21, 2013) (SR–NYSE– Use of Access or Connectivity is Statutory Basis for, the Proposed Rule 2013–73) (notice of filing and immediate completely voluntary, and several other effectiveness of proposed rule change to offer LCN access and connectivity options are Change 10 Gb LX connection). 7 See Securities Exchange Act Release Nos. 74222 available to a User. As alternatives to 1. Purpose (Feb. 6, 2015), 80 FR 7888 (Feb. 12, 2015) (SR– The Exchange proposes to amend the NYSE–2015–05) (notice of filing and immediate 9 See Original Co-location Filing, supra note 4, at Price List related to co-location 4 effectiveness of proposed rule change to offer IP 59311 (‘‘According to NYSE, SFTI and LCN both network connections as co-location services) (the provide Users with access to the Exchange’s trading services offered by the Exchange to (a) ‘‘IP Network Release’’), and 76369 (Nov. 5, 2015), and execution systems and to the Exchange’s 80 FR 70027 (Nov. 12, 2015) (SR–NYSE–2015–54) proprietary market data products.’’) and IP Network 2 15 U.S.C. 78a. (notice of filing and immediate effectiveness of Release, supra note 7, at 7889 (‘‘Like the LCN, the 3 17 CFR 240.19b–4. proposed rule change to offer 40 Gb IP network IP network provides Users with access to the 4 The Exchange initially filed rule changes connection). Exchange’s trading and execution systems and to relating to its co-location services with the 8 See Securities Exchange Act Release Nos. 62732 the Exchanges’ proprietary market data products.’’). Securities and Exchange Commission (Aug 16, 2010), 75 FR 51512 (August 20, 2010) The IP network was previously sometimes referred (‘‘Commission’’) in 2010. See Securities Exchange (notice of proposed rule change to reflect fees to as SFTI. See id. Act Release No. 62960 (September 21, 2010), 75 FR charged for co-location services, including bundled 10 Access to certification and testing feeds is only 59310 (September 27, 2010) (SR–NYSE–2010–56) network access); and 77072 (February 5, 2016), 81 available over the IP network. A User that does not (the ‘‘Original Co-location Filing’’). The Exchange FR 7394 (February 11, 2016) (SR–NYSE–2015–53) have an IP network connection may obtain an IP operates a data center in Mahwah, New Jersey (the (notice of filing and accelerated approval of network circuit for purposes of testing and ‘‘data center’’) from which it provides co-location proposed rule change to offer Partial Cabinet certification for free for three months. See IP services to Users. Bundle Options). Network Release, supra note 7, at 7889.

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using the Access and Connectivity Included Data Products also include the Data Products require a network provided by the Exchange, a User may data feeds disseminated by the connection with a minimum Gb size in access or connect to such services and Consolidated Tape Association (‘‘CTA’’) order to accommodate the feed.17 The products through another User or (such data feeds, the ‘‘NMS feeds’’). Included Data Products do not provide through a connection to an Exchange CTA is responsible for disseminating access or order entry to the Exchange’s access center outside the data center, consolidated, real-time trade and quote execution system. third party access center, or third party information in NYSE listed securities The Exchange offers connectivity to vendor. The User may make such (Network A) and NYSE MKT, NYSE Included Data Products in three forms: connection through a third party Arca and other regional exchanges’ as a resilient feed, as ‘‘Feed A’’ or as telecommunication provider, third party listed securities (Network B) pursuant to ‘‘Feed B.’’ Resilient feeds include two wireless network, the Secure Financial a national market system plan.15 The copies of the same feed, for redundancy Transaction Infrastructure (‘‘SFTI’’) NMS feeds include the Consolidated purposes. Feed A and Feed B are network, or a combination thereof.11 Tape System and Consolidated Quote identical feeds.18 System data streams, as well as Options For some Included Data Products, Access to Exchange Systems Price Reporting Authority feeds. connectivity to identical Feeds A and B As the Exchange has previously In order to connect to an Included is only available on the IP network. stated, Users’ connections to the LCN or Data Product, a User enters into a The Included Data Products are as IP networks include access to Exchange contract with the provider of such data, follows: Systems when the User has pursuant to which the User is charged authorization from the Exchange or for the Included Data Product. After the NMS feeds relevant Affiliate SRO.12 The Exchange User and data provider enter into the contract and the Exchange receives NYSE: notes that including access to Exchange NYSE Alerts Systems with the purchase of access to authorization from the provider of the NYSE BBO the LCN or IP network is consistent with data feed, the Exchange provides the NYSE Integrated Feed Nasdaq’s colocation service, which does User with connectivity to the Included NYSE OpenBook not charge its co-located customers a Data Product over the User’s LCN or IP NYSE Order Imbal- separate fee for access to Exchange network port. The Exchange does not ances Systems.13 charge the User separately for such NYSE Trades Accordingly, the Exchange proposes connectivity to the Included Data NYSE Amex Options to add a new note to its Price List stating Product, as it is included in the the following: purchase of the access to the LCN or IP NYSE Arca: When a User purchases access to the LCN network. NYSE ArcaBook or IP network, it receives the ability to access The Included Data Products are NYSE Arca BBO the trading and execution systems of the available over both the LCN and IP NYSE Arca Integrated NYSE, NYSE MKT and NYSE Arca network.16 For a User that purchases Feed (Exchange Systems), subject, in each case, to access to the LCN and IP network, the NYSE Arca Order Im- authorization by the NYSE, NYSE MKT or Exchange works with such User to balances NYSE Arca Trades NYSE Arca, as applicable. Such access allocate its connectivity to Included includes access to the customer gateways that Data Products between its LCN and IP provide for order entry, order receipt (i.e. NYSE Arca Options confirmation that an order has been network connections. Some Included NYSE Best Quote and received), receipt of drop copies and trade reporting (i.e. whether a trade is executed or (establishing fee for NYSE Alerts); 59290 (January Trades (BQT) cancelled), as well as for sending information 23, 2009) 74 FR 5707 (January 30, 2009) (SR–NYSE– NYSE Bonds to shared data services for clearing and 2009–05) (establishing pilot program for NYSE Trades); 59543 (March 9, 2009), 74 FR 11159 settlement. A User can change the access it (March 16, 2009) (establishing fee for NYSE Order NYSE MKT: receives at any time, subject to authorization Imbalances); 62181 (May 26, 2010), 75 FR 31488 NYSE MKT Alerts by NYSE, NYSE MKT or NYSE Arca, as (June 3, 2010) (SR–NYSE–2010–30) (establishing NYSE MKT BBO applicable. NYSE, NYSE MKT and NYSE NYSE BBO); 65669 (Nov. 2, 2011), 76 FR 69311 NYSE MKT Integrated Arca also offer access to Exchange Systems (Nov. 8, 2011) (SR–NYSEArca–2011–78) Feed (establishing the NYSE Arca Integrated Feed); to their members, such that a User does not NYSE MKT OpenBook have to purchase access to the LCN or IP 73553 (Nov. 6, 2014), 79 FR 67491 (Nov. 13, 2014) (SR–NYSE–2014–40) (establishing the NYSE Best NYSE MKT Order Im- network to obtain access to Exchange balances Systems. Quote & Trades Data Feed); 74128 (Jan. 23, 2015), 80 FR 4951 (Jan. 29, 2015) (SR–NYSE–2015–03) NYSE MKT Trades Connectivity to Included Data Products (establishing the NYSE Integrated Feed); 74127 (Jan. 23, 2015), 80 FR 4956 (Jan. 29, 2015) (SR– The majority of the Included Data NYSEMKT–2015–06) (establishing the NYSE MKT 17 Because each Included Data Product uses part Products are proprietary feeds of the Integrated Feed); and 76968 (January 22, 2016), 81 of a User’s bandwidth, a User may wish to limit the Exchange and the Affiliate SROs.14 The FR 4689 (January 27, 2016) (establishing NYSE Arca number of Included Data Products that it receives Order Imbalances). to those that it requires. 15 The Included Data Products do not include the 18 A User that wants redundancy would connect 11 A User that opted to obtain connectivity to data feeds disseminated pursuant to the ‘‘Joint Self- to both Feed A and Feed B or two resilient feeds, Included Data Products through another User, a Regulatory Organization Plan Governing the using two different ports. A User may opt to telecommunication provider, third party wireless Collection, Consolidation and Dissemination of connect both Feed A and Feed B to the same port, network, or the SFTI network would receive the Quotation and Transaction Information for Nasdaq- the effect of which would be the same as if the User corresponding testing and certification feeds. Listed Securities Traded on Exchanges on an had connected to a resilient feed. The form of feed 12 See note 9, supra. Unlisted Trading Privilege Basis’’ (the ‘‘UTP Plan’’). that a User selects may affect the connection it 13 See Nasdaq Stock Market Rule 7034— The UTP Plan is responsible for disseminating requires. For example, a User connecting to the Connectivity to Nasdaq. consolidated, real-time trade and quote information NYSE Arca Integrated Feed, NYSE Integrated Feed 14 See Securities Exchange Act Release Nos. in Nasdaq Stock Exchange LLC listed securities or NYSE MKT Integrated Feed would need at least 44138 (December 7, 2001), 66 FR 64895 (December (Network C). a 1 Gb IP network connection in order to connect 14, 2001) (SR–NYSE–2001–42) (establishing fees for 16 As noted above, certification and testing feeds to either Feed A or Feed B. To connect to a resilient NYSE OpenBook); 50844 (December 13, 2004), 69 included by a data provider with an Included Data feed, the User would require an LCN or IP network FR 76806 (December 22, 2004) (SR–NYSE–2004–53) Product are only available over the IP network. connection of at least 10 Gb.

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In addition to the above list of to authorization from the provider of the data The Exchange proposes to amend the Included Data Products, the Exchange feed. The Exchange is not the exclusive MRCs for 10 and 40 Gb LCN circuits, 10 proposes to add the following language method to connect to the Included Data Gb LX LCN circuits, 10 and 40 Gb IP Products. to the Price List: network circuits, and the 10 Gb bundled When a User purchases access to the LCN Fees for Access to the LCN and IP network access (together, the ‘‘Network or IP network it receives connectivity to any Network Access Services’’). The Exchange has of the Included Data Products that it selects, not increased the MRCs for the Network Users that connect to the LCN or IP subject to any technical provisioning Access Services since they were first requirements and authorization from the network pay an initial non-recurring charge and a monthly recurring charge filed: the proposed change will be the provider of the data feed. Market data fees for first increase in such fees.19 the Included Data Products are charged by (‘‘MRC’’). A User that purchases five 10 the provider of the data feed. A User can GB LCN Circuits receives the sixth 10 The proposed changes to the Network change the Included Data Products to which GB LCN Circuit without being subject to Access Service MRCs are as follows: it receives connectivity at any time, subject an additional MRC.

Amount of Type of service Description Amount of proposed current MRC MRC

LCN Access ...... 10 Gb Circuit ...... $12,000 $14,000 LCN Access ...... 10 Gb LX Circuit ...... 20,000 22,000 LCN Access ...... 40 Gb Circuit ...... 20,000 22,000 Bundled Network Access (2 LCN connections, 2 IP 10 Gb Bundle ...... 47,000 53,000 network connections, and 2 optic connections to outside access center). IP Network Access ...... 10 Gb Circuit ...... 10,000 11,000 IP Network Access ...... 40 Gb Circuit ...... 17,000 18,000

The initial non-recurring charge for order entry services); (ii) use of the co- promote just and equitable principles of the Network Access Services would not location services proposed herein would trade, to foster cooperation and change, and Users that purchase five 10 be completely voluntary and available coordination with persons engaged in Gb LCN circuits will continue to receive to all Users on a non-discriminatory regulating, clearing, settling, processing the sixth 10 Gb LCN Circuit without an basis; 20 and (iii) a User would only information with respect to, and additional MRC. The Exchange does not incur one charge for the particular co- facilitating transactions in securities, to propose to change the fees associated location service described herein, remove impediments to, and perfect the with 1 Gb LCN and 1 Gb IP network regardless of whether the User connects mechanisms of, a free and open market access, 1 Gb bundled network access, or only to the Exchange or to the Exchange and a national market system and, in the Partial Cabinet Solution bundles. and one or both of its Affiliate SROs.21 general, to protect investors and the Currently, the Price List uses both The proposed change is not otherwise public interest and because it is not ‘‘Gb’’ and ‘‘GB’’ as an abbreviation for intended to address any other issues designed to permit unfair gigabits. To make the usage consistent, relating to co-location services and/or discrimination between customers, the Exchange proposes to make non- related fees, and the Exchange is not issuers, brokers, or dealers. substantive changes to the Price List to aware of any problems that Users would The Exchange believes that revising replace ‘‘GB’’ with ‘‘Gb.’’ have in complying with the proposed the Price List to provide a more detailed change. General description of the Access and 2. Statutory Basis Connectivity Users receive with their As is the case with all Exchange co- purchase of access to the LCN or IP location arrangements, (i) neither a User The Exchange believes that the network would remove impediments to, nor any of the User’s customers would proposed rule change is consistent with and perfect the mechanisms of, a free be permitted to submit orders directly to Section 6(b) of the Act,22 in general, and and open market and a national market the Exchange unless such User or furthers the objectives of Section 6(b)(5) system and, in general, protect investors customer is a member organization, a of the Act,23 in particular, because it is and the public interest because the Sponsored Participant or an agent designed to prevent fraudulent and proposed changes would make the thereof (e.g., a service bureau providing manipulative acts and practices, to descriptions of access to the LCN and IP

19 The 10 Gb LCN circuits and10 Gb bundled price list in order to provide fees for LCN 10 Gb regardless of whether the sender is co-located in the network access were first filed in 2010, and the 40 LX); 74222 (Feb. 6, 2015), 80 FR 7888 (Feb. 12, data center or not. In addition, co-located Users do Gb LCN and 10 Gb LX LCN circuits were first filed 2015) (SR–NYSE–2015–05) (notice of filing and not receive any market data or data service product in 2013. The 10 and 40 Gb IP network circuits were immediate effectiveness of proposed rule change to that is not available to all Users, although Users that first filed in 2015. See Securities Exchange Act offer 1 Gb and 10 Gb IP network connections) and receive co-location services normally would expect Release Nos. 62732, supra note 8; 65237 (Aug. 31, 76369 (Nov. 5, 2015), 80 FR 70027 (Nov. 12, 2015) reduced latencies, as compared to Users that are not 2011), 76 FR 55432 (Sept. 7, 2011) (SR–NYSE– (SR–NYSE–2015–54) (notice of filing and co-located, in sending orders to, and receiving 2011–46) (notice of filing and immediate immediate effectiveness of proposed rule change to market data from, the Exchange. effectiveness of proposed rule change adding MRC offer 40 Gb IP network connection). 21 See SR–NYSE–2013–59, supra note 5, at 51766. for 10 Gb circuit); 70287 (Aug. 29, 2013), 78 FR 20 As is currently the case, Users that receive co- The Affiliate SROs have also submitted 54704 (Sept. 5, 2013) (SR–NYSE–2013–60) (notice location services from the Exchange will not receive substantially the same proposed rule change to of filing and immediate effectiveness of proposed any means of access to the Exchange’s trading and propose the changes described herein. See SR– rule change to offer LCN 40 Gb connection); 70979 execution systems that is separate from, or superior NYSEMKT–2016–126 and SR–NYSEArca–2016– (Dec. 4, 2013), 78 FR 74200 (Dec. 10, 2013) (SR– to, that of other Users. In this regard, all orders sent 172. NYSE–2013–77) (notice of filing and immediate to the Exchange enter the Exchange’s trading and 22 15 U.S.C. 78f(b). effectiveness of proposed rule change amending execution systems through the same order gateway, 23 15 U.S.C. 78f(b)(5).

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network more accessible and provider or relevant Exchange or voluntary, and each User has several transparent, thereby providing market Affiliate SRO. other options available to it. As participants with clarity as to what The Exchange believes that the alternatives to using the Network Access connectivity is included in the purchase proposed changes remove impediments Services provided by the Exchange, a of access to the LCN and IP network. to, and perfect the mechanisms of, a free User may access or connect to the Including the more detailed description and open market and a national market Exchange through another User, as well of Access and Connectivity in the Price system and, in general, protect investors as through a connection to an Exchange List is consistent with Nasdaq’s Rule and the public interest because, by access center outside the data center, 7034, which includes similar offering Access and Connectivity, the third party access center, or third party information.24 Exchange gives each User additional vendor. The User may make such Co-location was created to permit options for addressing its access and connection through a third party Users ‘‘to rent space on premises connectivity needs, responding to User telecommunication provider, third party controlled by the Exchange in order that demand for access and connectivity wireless network, the SFTI network, or they may locate their electronic servers options. Providing Access and a combination thereof. in close physical proximity to the Connectivity helps each User tailor its The Exchange believes that Exchange’s trading and execution data center operations to the conforming the use of ‘‘Gb’’ would systems.’’ 25 The expectation was that requirements of its business operations remove impediments to, and perfect the normally Users ‘‘would expect reduced by allowing it to select the form and mechanisms of, a free and open market latencies in sending orders to the latency of access and connectivity that and a national market system and, in Exchange and in receiving market data best suits its needs. The Exchange general, protect investors and the public from the Exchange.’’ 26 Accordingly, the provides Access and Connectivity as interest because the proposed changes Exchange believes the Access and conveniences to Users. Use of Access or would make the Price List more Connectivity is directly related to the Connectivity is completely voluntary, transparent, thereby providing market purpose of co-location, and so revising and each User has several other access participants with additional clarity. the Price List to increase the description and connectivity options available to it. The Exchange also believes that the of such Access and Connectivity would As alternatives to using the Access and proposed rule changes are consistent with Section 6(b)(4) of the Act,27 remove impediments to, and perfect the Connectivity provided by the Exchange, in particular, because it provides for the mechanisms of, a free and open market a User may access or connect to such equitable allocation of reasonable dues, and a national market system and, in services and products through another fees, and other charges among its general protect investors and the public User or through a connection to an members, issuers and other persons interest by increasing the transparency Exchange access center outside the data using its facilities and does not unfairly around Access and Connectivity. center, third party access center, or third party vendor. The User may make such discriminate between customers, Further, the Exchange believes that connection through a third party issuers, brokers or dealers. revising the Price List to provide a more telecommunication provider, third party The Exchange believes that the detailed description of the Access and wireless network, the SFTI network, or proposed changes are consistent with Connectivity Users receive with their a combination thereof. Section 6(b)(4) of the Act 28 for multiple purchase of access to the LCN or IP Similarly, the Exchange believes that reasons. The Exchange operates in a network would promote just and the proposed fee changes remove highly competitive market in which equitable principles of trade and remove impediments to, and perfect the exchanges offer co-location services as a impediments to, and perfect the mechanisms of, a free and open market means to facilitate the trading and other mechanisms of, a free and open market and a national market system and, in market activities of those market and a national market system as it general, protect investors and the public participants who believe that co- would make clear that all Users that interest because, by offering the location enhances the efficiency of their voluntarily select to access the LCN or Network Access Services, the Exchange operations. Accordingly, fees charged IP network would receive the same gives each User options for access to the for co-location services are constrained Access and Connectivity, and would not LCN and IP network, responding to User by the active competition for the order be subject to a charge above and beyond demand for options. Users have the flow of, and other business from, such the fee paid for the relevant LCN or IP convenience of choosing among the market participants. If a particular network access. Users are not required array of different Network Access exchange charges excessive fees for co- to use any of their bandwidth to access Services available, as well as the 1 Gb location services, affected market Exchange Systems or connect to an LCN and 1 Gb IP network access participants will opt to terminate their Included Data Product unless they wish options, 1 Gb bundled network access co-location arrangements with that to do so. Rather, a User only receives the and Partial Cabinet Solutions, helping exchange, and adopt a possible range of Access and Connectivity that it selects, them tailor their data center operations alternative strategies, including placing and a User can change what Access or to the requirements of their business their servers in a physically proximate Connectivity it receives at any time, operations by allowing them to select location outside the exchange’s data subject to authorization from the data the capacity, form and latency of center (which could be a competing connectivity that best suits their needs. exchange), or pursuing strategies less 24 See Nasdaq Stock Market Rule 7034—Market The Exchange believes that the dependent upon the lower exchange-to- Data Connectivity (‘‘Pricing is for connectivity only proposed fee changes remove participant latency associated with co- and is similar to connectivity fees imposed by other vendors. The fees are generally based on the impediments to, and perfect the location. Accordingly, the exchange amount of bandwidth needed to accommodate a mechanisms of, a free and open market charging excessive fees would stand to particular feed and Nasdaq is not the exclusive and a national market system and, in lose not only co-location revenues but method to get market data connectivity. Market data general, protect investors and the public also the liquidity of the formerly co- fees are charged independently by the Nasdaq Stock Market and other exchanges.’’) interest because the Exchange provides located trading firms, which could have 25 Original Co-Location Filing, supra note 4, at Network Access Services as 59310. conveniences to Users. Use of Network 27 15 U.S.C. 78f(b)(4). 26 Id. Access Services is completely 28 15 U.S.C. 78f(b)(4).

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additional follow-on effects on the accurately reflect the value of the bandwidth are too burdensome, to market share and revenue of the affected services provided. utilize co-location.32 exchange. The Exchange believes the proposed Excluding the 1 Gb LCN, 1 Gb IP The Exchange believes that the fees are reasonable because they allow network access and 1 Gb bundled proposed changes to the Network the Exchange to defray or cover the network access options from the Access Service MRCs would provide for costs associated with offering the proposed changes to the MRC is a the equitable allocation of reasonable Network Access Services while business decision that the Exchange dues, fees, and other charges among its providing Users the benefit of choosing believes is reasonable, equitably members, issuers and other persons among the array of different Network allocated and not unfairly using its facilities, and are not designed Access Services available, as well as the discriminatory, because the Exchange to permit unfair discrimination between 1 Gb LCN and 1 Gb IP network access believes that the current MRCs for the customers, issuers, brokers, or dealers, options, 1 Gb bundled network access services reflect the value of the services because the Network Access Services and Partial Cabinet Solutions, helping provided to the smallest connections. In are available to all Users on an equal them tailor their data center operations addition, Users with 1 Gb connections basis (i.e., the same products and to the requirements of their business generally do not connect to the new services are available to all Users). All operations by allowing them to select Included Data Products, which Users that voluntarily purchase a the capacity, form and latency of generally require a larger connection Network Access Service would be connectivity that best suits their needs. than 1 Gb. charged the same amount for the same In addition, the Exchange believes the For the reasons above, the proposed service. As is currently the case, the proposed increases in the MRCs for the changes do not unfairly discriminate purchase of any colocation service Network Access Services are reasonable between or among market participants (including Network Access Services) because they reflect the inclusion of that are otherwise capable of satisfying would be completely voluntary. additional data products in the list of any applicable co-location fees, Furthermore, each of the Network Included Data Products. More requirements, terms and conditions Access Services can be purchased specifically, the Exchange has opted to established from time to time by the independently of each other, and include connectivity to the three Exchange. independently of any other colocation integrated feeds and the NYSE BQT as For these reasons, the Exchange services or products that a User may Included Data Products. believes that the proposal is consistent The Exchange believes that its choose. with the Act. proposed MRCs for the Network Access The Exchange believes that the Services are comparable to the fees B. Self-Regulatory Organization’s proposed changes to the Network Nasdaq charges its co-location Statement on Burden on Competition Access Service MRCs are reasonable, customers. For instance, the ongoing In accordance with Section 6(b)(8) of equitably allocated and not unfairly monthly fees for 40 Gb and 10 Gb fiber the Act,33 the Exchange believes that the discriminatory because the MRCs for the connections to Nasdaq are $20,000 and proposed rule change will not impose Network Access Services have been the $10,000, respectively, compared to the any burden on competition that is not same since they were first filed, with proposed $22,000 and $14,000 for the necessary or appropriate in furtherance some MRCs dating to the inception of 29 40 Gb and 10 Gb LCN circuits and of the purposes of the Act because, in co-location in 2010. During the time $18,000 and $11,000 for the 40 Gb and addition to the proposed services being since the MRCs for the Network Access 10 Gb IP network circuits, completely voluntary, they are available Services were filed, however, the respectively.30 to all Users on an equal basis (i.e. the Exchange has made numerous Excluding the Partial Cabinet same products and services are available improvements to the network hardware Solutions with 10 Gb connections to the to all Users). The Exchange believes that and technology infrastructure. The LCN and IP networks from the proposed the proposed changes are reasonable Exchange has expanded the network changes to MRCs is a business decision and designed to be fair and equitable, infrastructure to keep pace with the that the Exchange believes is reasonable, and therefore, will not unduly burden increased number of services available equitably allocated and not unfairly any particular group of Users. to Users, including the increasing discriminatory because the MRCs for the The Exchange believes that providing demand for bandwidth, and has Partial Cabinet Solutions have been in Users with Access and Connectivity established additional administrative place less than a year, and so the does not impose any burden on controls. The Exchange offers the Exchange believes they more accurately competition that is not necessary or Network Access Services as reflect the value of the services provided appropriate in furtherance of the conveniences to Users, but in order to than those in place for longer periods.31 purposes of the Act because such do so must provide, maintain and The Exchange believes that excluding Access and Connectivity satisfies User operate the data center facility hardware the Partial Cabinet Solution MRCs from demand for access and connectivity and technology infrastructure. The the present proposed changes would options, and each User has several other Exchange must handle the installation, continue to make it more cost effective access and connectivity options administration, monitoring, support and for smaller Users, including those with available to it. As alternatives to using maintenance of the Network Access minimal power or cabinet space the Access and Connectivity provided Services, including by responding to demands or those for which the costs by the Exchange, a User may access or any production issues. The Exchange attendant with having a dedicated connect to such services and products accordingly believes that the proposed cabinet or greater network connection through another User or through a changes to the Network Access Service connection to an Exchange access center MRCs will allow them to more 30 See Nasdaq Stock Market Rule 7034— outside the data center, third party Connectivity to Nasdaq. access center, or third party vendor. The 29 See note 19, supra. The 10 LCN circuits and 1 31 The order approving the proposed rule change User may make such connection Gb bundled network access were first filed in 2010, to provide that co-location services include the and the 40 Gb LCN and 10 Gb LX LCN circuits were Partial Cabinet Solution Bundles was issued in first filed in 2013. The 10 and 40 Gb IP network February, 2016. See Securities Exchange Act 32 See id, at 7396. circuits were first filed in 2015. Release No. 77072, supra note 8. 33 15 U.S.C. 78f(b)(8).

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through a third party hardware and technology infrastructure. III. Date of Effectiveness of the telecommunication provider, third party The Exchange has expanded the Proposed Rule Change and Timing for wireless network, the SFTI network, or network infrastructure to keep pace Commission Action a combination thereof. Users that opt to with the increased number of services The foregoing rule change is effective use Access or Connectivity would not available to Users, including the upon filing pursuant to Section receive access or connectivity that is not increasing demand for bandwidth, and 19(b)(3)(A) 35 of the Act and available to all Users, as all market has established additional subparagraph (f)(2) of Rule 19b–4 36 participants that contract with the administrative controls. The Exchange thereunder, because it establishes a due, relevant market or content provider may offers the Network Access Services as fee, or other charge imposed by the receive access or connectivity. In this conveniences to Users, but in order to Exchange. way, the proposed changes would do so must provide, maintain and At any time within 60 days of the enhance competition by helping Users operate the data center facility hardware filing of such proposed rule change, the tailor their Access and Connectivity to and technology infrastructure. The Commission summarily may the needs of their business operations Exchange must handle the installation, temporarily suspend such rule change if by allowing them to select the form and administration, monitoring, support and it appears to the Commission that such latency of access and connectivity that maintenance of the Network Access action is necessary or appropriate in the best suits their needs. Services, including by responding to public interest, for the protection of The Exchange believes that revising any production issues. The Exchange investors, or otherwise in furtherance of the Price List to provide a more detailed accordingly believes that the proposed the purposes of the Act. If the description of the Access and changes to the Network Access Service Commission takes such action, the Connectivity available to Users would MRCs will allow them to more Commission shall institute proceedings make such descriptions more accessible accurately reflect the value of the under Section 19(b)(2)(B) 37 of the Act to and transparent, thereby providing services provided. determine whether the proposed rule market participants with clarity as to change should be approved or The Exchange operates in a highly what Access and Connectivity is disapproved. available to them and what the related competitive market in which exchanges costs are, thereby enhancing offer co-location services as a means to IV. Solicitation of Comments competition by ensuring that all Users facilitate the trading and other market Interested persons are invited to have access to the same information activities of those market participants submit written data, views, and regarding Access and Connectivity. who believe that co-location enhances arguments concerning the foregoing, Similarly, the Exchange believes that the efficiency of their operations. including whether the proposed rule the proposed changes to the Network Accordingly, fees charged for co- change is consistent with the Act. Access Service MRCs would not impose location services are constrained by the Comments may be submitted by any of any burden on competition that is not active competition for the order flow of, the following methods: necessary or appropriate in furtherance and other business from, such market of the purposes of the Act because, by participants. If a particular exchange Electronic Comments offering the Network Access Services, charges excessive fees for co-location • Use the Commission’s Internet the Exchange gives each User options services, affected market participants comment form (http://www.sec.gov/ for access to the LCN and IP network, will opt to terminate their co-location rules/sro.shtml); or responding to User demand for options. arrangements with that exchange, and • Send an email to rule- All Users that voluntarily purchase adopt a possible range of alternative [email protected]. Please include File Network Access Services would be strategies, including placing their No. SR–NYSE–2016–92 on the subject charged the same amount for the same servers in a physically proximate line. services. As is currently the case, the location outside the exchange’s data Paper Comments purchase of any colocation service center (which could be a competing • (including network and capacities) exchange), or pursuing strategies less Send paper comments in triplicate would be completely voluntary. dependent upon the lower exchange-to- to Secretary, Securities and Exchange Furthermore, each of the Network participant latency associated with co- Commission, 100 F Street NE., Access Services can be purchased location. Accordingly, the exchange Washington, DC 20549–1090. independently of each other, and charging excessive fees would stand to All submissions should refer to File No. independently of any other colocation lose not only co-location revenues but SR–NYSE–2016–92. This file number services or products that a User may also the liquidity of the formerly co- should be included on the subject line choose. located trading firms, which could have if email is used. To help the The Exchange believes that the additional follow-on effects on the Commission process and review your proposed changes to the Network market share and revenue of the affected comments more efficiently, please use Access Service MRCs would not impose exchange. only one method. The Commission will any burden on competition that is not post all comments on the Commission’s necessary or appropriate in furtherance For the reasons described above, the Exchange believes that the proposed Internet Web site (http://www.sec.gov/ of the purposes of the Act because the rules/sro.shtml). Copies of the MRCs for the Network Access Services rule change reflects this competitive environment. submission, all subsequent have been the same since they were first amendments, all written statements filed, with some MRCs dating to the C. Self-Regulatory Organization’s with respect to the proposed rule inception of co-location in 2010.34 Statement on Comments on the change that are filed with the During the time since the MRCs for the Proposed Rule Change Received From Commission, and all written Network Access Services were filed, Members, Participants, or Others communications relating to the however, the Exchange has made numerous improvements to the network No written comments were solicited 35 15 U.S.C. 78s(b)(3)(A). or received with respect to the proposed 36 17 CFR 240.19b&4(f)(2). 34 See note 19, supra. rule change. 37 15 U.S.C. 78s(b)(2)(B).

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proposed rule change between the (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 A. Self-Regulatory Organization’s Commission and any person, other than notice is hereby given that, on December Statement of the Purpose of, and the those that may be withheld from the 28, 2016, NYSE MKT LLC (‘‘Exchange’’ Statutory Basis for, the Proposed Rule public in accordance with the or ‘‘NYSE MKT’’) filed with the Change provisions of 5 U.S.C. 552, will be Securities and Exchange Commission 1. Purpose available for Web site viewing and (‘‘Commission’’) the proposed rule printing in the Commission’s Public change as described in Items I, II, and The purpose of this filing is to modify Reference Room, 100 F Street NE., III below, which Items have been the Fee Schedule to: (1) Adjust the Washington, DC 20549 on official prepared by the self-regulatory qualification thresholds and transaction business days between the hours of organization. The Commission is fees for electronic transactions by NYSE 10:00 a.m. and 3:00 p.m. Copies of such publishing this notice to solicit Amex Options Marker Makers (‘‘Sliding filing also will be available for Scale’’); 4 and (2) modify the inspection and copying at the principal comments on the proposed rule change from interested persons. prepayment programs offered by the office of the Exchange. All comments Exchange, including adding a new received will be posted without change; I. Self-Regulatory Organization’s prepay option (the ‘‘Prepayment the Commission does not edit personal Statement of the Terms of Substance of Programs’’).5 identifying information from the Proposed Rule Change submissions. You should submit only Market Maker Sliding Scale information that you wish to make The Exchange proposes to modify the Section I.C. of the Fee Schedule sets available publicly. All submissions NYSE Amex Options Fee Schedule. The forth the Sliding Scale of transaction should refer to File No. SR–NYSE– proposed change is available on the fees charged to NYSE Amex Options 2016–92, and should be submitted on or Exchange’s Web site at www.nyse.com, Marker Makers (referred to as Market before January 31, 2017. at the principal office of the Exchange, Makers herein), which per contract fees For the Commission, by the Division of and at the Commission’s Public decrease as Market Maker trades higher Trading and Markets, pursuant to delegated Reference Room. monthly volumes.6 Currently, Market 38 authority. Makers that have monthly volume on II. Self-Regulatory Organization’s Eduardo A. Aleman, the Exchange of 0.10% or less of total Statement of the Purpose of, and Assistant Secretary. ICADV are charged a base rate of $0.25 Statutory Basis for, the Proposed Rule [FR Doc. 2017–00214 Filed 1–9–17; 8:45 am] per contract and, these same market Change BILLING CODE 8011–01–P participants, upon reaching certain In its filing with the Commission, the volume thresholds, or Tiers, receive a 7 self-regulatory organization included reduction of this per contract rate. In SECURITIES AND EXCHANGE addition, the Exchange charges a lower COMMISSION statements concerning the purpose of, and basis for, the proposed rule change per contract rate to Market Makers that participate in one of the Prepayment [Release No. 34–79737; File No. SR– and discussed any comments it received NYSEMKT–2016–127] Programs or that post monthly volume on the proposed rule change. The text greater than 0.85% of total ICADV. of those statements may be examined at Self-Regulatory Organizations; NYSE Effective January 3, 2017, the MKT LLC; Notice of Filing and the places specified in Item IV below. The Exchange has prepared summaries, Exchange proposes to modify the Immediate Effectiveness of Proposed qualification thresholds and associated set forth in sections A, B, and C below, Change Modifying the NYSE Amex transaction fees for all Marker Makers as of the most significant parts of such Options Fee Schedule follows (with new rates/thresholds statements. January 4, 2017. underlined and deleted rates/thresholds Pursuant to Section 19(b)(1) 1 of the in brackets): Securities Exchange Act of 1934 * * * * *

Rate per contract if monthly volume from posted volume is more than .85% of total Tier Market maker electronic monthly volume as a percentage of ICADV Rate per contract ICADV or for any NYSE Amex Market Maker par- ticipating in a prepay- ment program pursuant to Section I.D.

1 ...... 0.00% to [0.10%]0.15% ...... $0.25 [$0.20]$0.23 2 ...... [>0.10%]>0.15% to 0.60% ...... $0.22 [$0.17]$0.18 3 ...... >0.60% to [1.25%]1.10% ...... [$0.12]$0.14 [$0.07]$0.08

38 17 CFR 200.30–3(a)(12). 6 See Fee Schedule, supra note 4. The volume equity or ETF security. See OCC Monthly Statistics 1 15 U.S.C.78s(b)(1). thresholds are based on an NYSE Amex Options Reports, available here, http://www.theocc.com/ 2 15 U.S.C. 78a. Market Maker’s volume transacted Electronically as webapps/monthly-volume-reports. a percentage of total industry Customer equity and 7 3 17 CFR 240.19b–4. In calculating an NYSE Amex Options Market ETF options volumes (‘‘ICADV’’) as reported by the Maker Electronic volumes, the Exchange excludes 4 See Fee Schedule, Section I. C. (NYSE Amex Options Clearing Corporation (the ‘‘OCC’’). Total any volumes attributable to Mini Options, QCC Options Market Maker Sliding Scale—Electronic), ICADV is comprised of those equity and ETF trades, CUBE Auctions, and Strategy Execution Fee available here, https://www.nyse.com/publicdocs/ contracts that clear in the Customer account type Caps, as these transactions are subject to separate _ _ _ nyse/markets/amex-options/NYSE Amex Options at OCC and does not include contracts that clear in pricing described in Fee Schedule Sections I.B., I.F., Fee_Schedule.pdf. either the Firm or Market Maker account type at I.G., and I.J, respectively. See Fee Schedule, Section 5 See id., Section I. D. (Prepayment Program). OCC or contracts overlying security other than an I.C, supra note 4.

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Rate per contract if monthly volume from posted volume is more than .85% of total Tier Market maker electronic monthly volume as a percentage of ICADV Rate per contract ICADV or for any NYSE Amex Market Maker par- ticipating in a prepay- ment program pursuant to Section I.D.

4 ...... [>1.25% to 1.40%]>1.10% to 1.45% ...... $0.10 $0.05 5 ...... [>1.40% to 1.75%]>1.45% to 1.80% ...... $0.07 [$0.02]$0.04 6 ...... [>1.75%]>1.80% ...... $0.05 [$0.00]$0.02

The proposed changes are designed to participate in one of the Prepayment Prepayment Program from $4 million to incent Market Makers to electronically Programs or that trade more than 0.85% $3 million, which would align with the trade a more meaningful percentage of of total ICADV based on posted volume. final prepayment for participants in the ICADV by increasing the percentage of The Exchange believes the proposed 3 Year Prepayment Program. The ICADV required for Tiers 2, 5 and 6, and modifications would encourage Market Exchange does not propose to alter any to make Tier 4 more achievable by Makers to execute more volume on the other aspects of the 1 Year Prepayment lowering the percentage of ICADV Exchange and provide additional Program.11 Participants in the 1 Year 8 required. In connection with the incentive to enroll in one of the Prepayment Program would continue to adjustment to the qualification Prepayment Programs, including as qualify its Affiliated (or Appointed) OFP thresholds for the various tiers, the modified herein. to be eligible to receive the enhanced Exchange proposes to increase the per Prepayment Program credit(s) under the Amex Customer contract rate for Tier 3, which is 12 designed to both offset the lower In January 2015, the Exchange Engagement Program. To enroll in the threshold to Tier 4 and to encourage introduced a two Prepayment modified 1 Year Prepayment Program, a participants to achieve Tier 4. For those Programs—for a 1- or 3-year term—to Market Maker would have until participants that achieve Tier 4, as allow Market Makers to prepay a December 30, 2016 to notify the modified, the per contract rate portion of the charges incurred for Exchange, and until January 31, 2017 to differential remains the same (i.e., $0.05 transactions executed on the Exchange.9 remit the $3 million prepayment.13 per contract for those who achieve Although the 3-Year Prepayment The Exchange is also proposing to 0.85% of IADV from Posted Volume, or Program, now in its final year, is closed offer a new option, the ‘‘Balance of the participate in a Prepayment Program; as to new entrants, the Exchange proposes Year’’ program, which would allow compared to $0.10 per contract for to modify the terms of the 1 Year Market Makers to commit to prepay a anyone else that achieves Tier 4), which Prepayment Program, as well as to offer portion of their transaction charges for is designed to encourage Market Makers a new prepay option to be available some portion of the calendar year, for a 10 to qualify for the more easily achievable throughout 2017. The proposed maximum of three-quarters of the year. Tier 4 and to qualify for the enhanced modifications to the Prepayment The prepayment amount and payment rates by enrolling in a prepayment Program are designed to encourage schedule for the proposed Balance of program or meeting the Posted Volume broader participation by Market Maker the Year Program would be based on the criterion. In addition, the Exchange firms. proposes to increase the discounted per The Exchange proposes to reduce the quarter in which the Market Maker contract rates to Market Makers that prepayment amount for the 1 Year joins, as set forth below:

2nd Quarter 3rd Quarter 4th Quarter

Prepayment Amount and Payment $2,475,000, due by April 28 ...... $1,800,000, due by July 31 ...... $975,000, due by October 31. Schedule.

Similar to the current 1- and 3-Year Year Program would receive a credit respectively) toward fees it incurs under Prepayment Programs, a Market Maker equal to its prepayment amount (i.e., that participates in the Balance of the $2,475,000; $1,800,000; or $975,000,

8 See proposed Fee Schedule, Section I.C. than 4 participants in the 1- or 3-Year programs as to exhaust the entirety of their prepayment credit 9 See Exchange Act Release No. 74086 (January of January 3, 2017, as well as to update the within the calendar year, there will be no refunds 16, 2015) 80 FR 3701 (January 23, 2015) (SR– description of the program to reflect the current and issued for any unused portion of their prepayment NYSEMKT–2015–4). See also Fee Schedule, upcoming calendar year). The Exchange does not credit). Section I.D (Prepayment Programs), supra at note 4 propose to modify the ($3 million) amount of, or 12 See Fee Schedule, Section I.E. (Amex Customer (describing the 1- and 3-Year Prepayment Programs, deadline (of January 31, 2017) for, the final payment Engagement (‘‘ACE’’) Program—Standard Options). including requisite timelines for committing and in connection with the 3 Year Prepayment Program. 13 See proposed Fee Schedule, Section I.D prepaying as well as various conditions to opt out 11 See proposed Fee Schedule, Section I.C. (Prepayment Programs) (modifying the description of the 3-Year Prepayment Program). (providing that the Exchange will apply the of the 1Year Prepayment Programs, including 10 See proposed Fee Schedule, Section I.D prepayment as a credit against charges incurred reducing the prepayment amount and updating the (Prepayment Programs) (modifying the description under Section I.C., I.G., or III.A. of the Fee Schedule deadlines to reflect the current and upcoming of the 3 Year Prepayment Program to make clear and, once the prepayment credit has been calendar year). As is the case today, Market Makers that it is closed to new participants, that one year exhausted, the Exchange will invoice the NYSE would have until the last business day of 2016 to remains for any Market Maker that enrolled in 2015, Amex Options Market Maker at the appropriate notify the Exchange of their commitment to the that participants retain the ability to opt out by the rates, and noting that if the NYSE Amex Options Program by sending an email the Exchange at specified date, including because there are fewer Market Maker does not conduct sufficient activity [email protected].

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Section I.C., I.G., and III.A.14 As 2. Statutory Basis Exchange notes that other options proposed, Marker Makers that enroll in The Exchange believes that the exchanges likewise offer Prepayment the Balance of the Year Program would proposed rule change is consistent with Programs to market makers that may be be required to notify the Exchange by Section 6(b) of the Act,18 in general, and joined after the start of the year. For the last business day before the start of furthers the objectives of Sections example, under CBOE’s Liquidity the new (following) quarter.15 Thus, to 6(b)(4) and (5) of the Act,19 in particular, Provider Sliding Scale, a CBOE market participate for the last three-quarters of because it provides for the equitable maker may be eligible for the lower rates 2017, notice would have to be given by allocation of reasonable dues, fees, and associated with certain tiers by March 31, 2017—the last business day other charges among its members, prepaying $2.4 million in fees on an of the first quarter. issuers and other persons using its annual basis, or prepaying $200,000 in fees on a monthly basis.21 The Exchange The Exchange believes the proposed facilities and does not unfairly also notes that, similar to the Sliding Balance of the Year Program would discriminate between customers, issuers, brokers or dealers. Scale, the Prepayment Program is allow a Market Maker that had not designed to incent Market Makers to committed to the 1- or 3-Year The Exchange believes that the proposed modifications to the Sliding commit to directing their order flow to Prepayment Program the option to the Exchange, which would benefit all enroll at a later date, for a shorter Scale are reasonable, equitable and not unfairly discriminatory for a number of market participants by expanding duration, and to nonetheless receive the liquidity, providing more trading benefits of participating in the reasons. First, the Sliding Scale is available to all NYSE Amex Options opportunities and tighter spreads, even Prepayment Program for the duration of to those market participants that are not their commitment. Specifically, during Market Makers and is based on the amount of business transacted on—and eligible for the Programs. Thus, the the period of their participation, Market Exchange believes the Prepayment Makers enrolled in the Balance of the is designed to attract greater volume to—the Exchange. The proposed Program, as modified, is reasonable, Year Program would be entitled to equitable and not unfairly qualify for the reduced per contract adjustments are designed to encourage Market Makers to commit to directing discriminatory to others. Sliding Scale rates (see supra note 8), their order flow to the Exchange, which Finally, the Exchange is subject to and a discount on Rights Fees.16 The would increase volume and liquidity, to significant competitive forces, as Exchange likewise proposes to offer the benefit of all market participants by described below in the Exchange’s participants in the Balance of the Year providing more trading opportunities statement regarding the burden on Program enhanced ACE credits in the and tighter spreads. Further, the competition. same amount as those available to proposed Sliding Scale thresholds and For these reasons, the Exchange participants in the 1 Year Prepayment rates are competitive with fees charged believes that the proposal is consistent Program, and to modify the Fee by other exchanges and are designed to with the Act. Schedule accordingly.17 Although the attract (and compete for) order flow to B. Self-Regulatory Organization’s prepay commitment rates for partial the Exchange, which provides a greater Statement on Burden on Competition Balance of the Year participation is not opportunity for trading by all market proportional to the time left in the year 20 In accordance with Section 6(b)(8) of participants. the Act,22 the Exchange does not believe (i.e., the later in the year a Market Maker The Exchange proposal to modify the that the proposed rule change would joins, the higher his prepayment amount Prepayment Programs, including by impose any burden on competition that relative to the annual cost), the reducing the prepay commitment for the is not necessary or appropriate in Exchange believes this cost structure 1 Year Prepayment Program and adding furtherance of the purposes of the Act. would incentivize interested Market the Balance of the Year Program, are The Exchange believes that the Makers to commit to the Program earlier also reasonable, equitable and not proposed changes relating to the Sliding in the year. unfairly discriminatory for the following Scale and the Prepayment Program may reasons. First, all of the Prepayment The Exchange is not proposing any increase both intermarket and Programs offered on the Exchange are other fee changes at this time. intramarket competition by incenting optional and Market Makers can elect to participants to direct their orders to the 14 participate (or elect not to participate). See proposed Fee Schedule, Section I.D Exchange, which would enhance the (Prepayment Programs). Similarly, just as with the In addition, the Exchange believes that quality of quoting and may increase the 1- and 3-Year Prepayment Programs, the Exchange reducing the prepay commitment for all volume of contracts traded on the would apply the prepayment as a credit against participants in the 1 Year Prepayment charges incurred under Section I.C., I.G., or III.A. Exchange. To the extent that there is an Program, as well as offering Market of the Fee Schedule. Once the prepayment credit additional competitive burden on non- has been exhausted, the Exchange would invoice Makers the flexibility to join at various NYSE Amex Market Makers, the the NYSE Amex Options Market Maker at the points in the year, may encourage Exchange believes that this is appropriate rates. In the event that a NYSE Amex broader participation in the Prepayment Options Market Maker does not conduct sufficient appropriate because the proposal should Programs, which anticipated greater activity to exhaust the entirety of their prepayment incent market participants to direct credit within the calendar year, there would be no capital commitment and resulting additional order flow to the Exchange, refunds issued for any unused portion of their liquidity on the Exchange would benefit and thus provide additional liquidity prepayment credit. See id. all market participants (including non- 15 that enhances the quality of its markets See id. (providing that Market Makers would be Market Makers). Moreover, the required to notify the Exchange of their and increases the volume of contracts commitment to the Program by sending an email 18 traded here. To the extent that this the Exchange at [email protected]). 15 U.S.C. 78f(b). purpose is achieved, all of the 16 See Fee Schedule, Section III.C (e-Specialist, 19 15 U.S.C. 78f(b)(4) and (5). DOMM and Specialist Monthly Rights Fees) 20 See e.g., CBOE fee schedule, available here, Exchange’s market participants should (describing Rights Fee Discount based on ACE tier http://www.cboe.com/publish/feeschedule/ achieved). See also infra, note 17. CBOEFeeSchedule.pdf (the ‘‘Liquidity Provider 21 CBOE fee schedule, at fn 10 (providing that a 17 See proposed Fee Schedule, Section I.E. Sliding Scale’’); and MIAX fee schedule, available market maker may be permitted to pay a pro-rated (modifying ACE Program to provide for ‘‘1 Year/ here, http://www.miaxoptions.com/sites/default/ amount of the $2.4 million if, for example, they join Balance of the Year Program Enhanced Customer files/MIAX_Options_Fee_Schedule_11012016B.pdf the program mid-year), supra note 20. Volume Credits’’ in the same amount). (‘‘Market Maker Sliding Scale’’). 22 15 U.S.C. 78f(b)(8).

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benefit from the improved market including whether the proposed rule SECURITIES AND EXCHANGE liquidity. Enhanced market quality and change is consistent with the Act. COMMISSION increased transaction volume that Comments may be submitted by any of [Release No. 34–79733; File No. SR–ISE– results from the anticipated increase in the following methods: 2016–26] order flow directed to the Exchange will Electronic Comments benefit all market participants and Self-Regulatory Organizations; improve competition on the Exchange. • Use the Commission’s Internet International Securities Exchange, Given the robust competition for comment form (http://www.sec.gov/ LLC; Order Approving a Proposed volume among options markets, many of rules/sro.shtml); or Rule Change To Modify the Response which offer the same products, • Send an email to rule-comments@ Times in the Block Mechanism, implementing programs to attract order sec.gov. Please include File Number SR– Facilitation Mechanism, Solicited flow similar to the ones being proposed NYSEMKT–2016–127 on the subject Order Mechanism, and Price in this filing, are consistent with the line. Improvement Mechanism above-mentioned goals of the Act. The Exchange notes that it operates in a Paper Comments January 4, 2017. highly competitive market in which • Send paper comments in triplicate I. Introduction market participants can readily favor to Secretary, Securities and Exchange competing venues. In such an On November 8, 2016, the Commission, 100 F Street, NE., International Securities Exchange, LLC environment, the Exchange must Washington, DC 20549–1090. (the ‘‘Exchange’’ or ‘‘ISE’’) filed with the continually review, and consider Securities and Exchange Commission adjusting, its fees and credits to remain All submissions should refer to File (‘‘Commission’’) pursuant to Section competitive with other exchanges. For Number SR–NYSEMKT–2016–127. This 19(b)(1) of the Securities Exchange Act the reasons described above, the file number should be included on the of 1934 (‘‘Act’’) 1 and Rule 19b–4 Exchange believes that the proposed subject line if email is used. To help the thereunder,2 a proposed rule change to rule change reflects this competitive Commission process and review your amend ISE Rules 716 (Block Trades) and environment. comments more efficiently, please use only one method. The Commission will 723 (Price Improvement Mechanism for C. Self-Regulatory Organization’s post all comments on the Commission’s Crossing Transactions) to modify the Statement on Comments on the Internet Web site (http://www.sec.gov/ response times in the Block Order Proposed Rule Change Received From rules/sro.shtml). Copies of the Mechanism, Facilitation Mechanism, Members, Participants, or Others submission, all subsequent Solicited Order Mechanism, and Price No written comments were solicited amendments, all written statements Improvement Mechanism (‘‘PIM’’) from or received with respect to the proposed with respect to the proposed rule 500 milliseconds to a time period designated by the Exchange of no less rule change. change that are filed with the Commission, and all written than 100 milliseconds and no more than III. Date of Effectiveness of the communications relating to the 1 second. The proposed rule change was Proposed Rule Change and Timing for proposed rule change between the published for comment in the Federal 3 Commission Action Commission and any person, other than Register on November 25, 2016. No The foregoing rule change is effective those that may be withheld from the comment letters were received on the upon filing pursuant to Section public in accordance with the proposed rule change. This order 19(b)(3)(A) 23 of the Act and provisions of 5 U.S.C. 552, will be approves the proposed rule change. subparagraph (f)(2) of Rule 19b–4 24 available for Web site viewing and II. Description of the Proposed Rule thereunder, because it establishes a due, printing in the Commission’s Public Change Reference Room, 100 F Street NE., fee, or other charge imposed by the ISE Rule 716 (Block Trades) contains Washington, DC 20549 on official Exchange. the requirements applicable to the At any time within 60 days of the business days between the hours of execution of orders using the Block filing of such proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of the Order Mechanism, Facilitation Commission summarily may filing also will be available for Mechanism, and Solicited Order temporarily suspend such rule change if inspection and copying at the principal Mechanism. The Block Order it appears to the Commission that such office of the Exchange. All comments Mechanism allows ISE members to action is necessary or appropriate in the received will be posted without change; obtain liquidity for the execution of a public interest, for the protection of the Commission does not edit personal block-size order.4 The Facilitation and investors, or otherwise in furtherance of identifying information from Solicited Order Mechanisms allow ISE the purposes of the Act. If the submissions. You should submit only members to enter cross transactions Commission takes such action, the information that you wish to make seeking price improvement.5 ISE Rule Commission shall institute proceedings available publicly. All submissions 723 (Price Improvement Mechanism for 25 under Section 19(b)(2)(B) of the Act to should refer to File Number SR– Crossing Transactions) contains the determine whether the proposed rule NYSEMKT–2016–127 and should be requirements applicable to the change should be approved or submitted on or before January 31, 2017. disapproved. For the Commission, by the Division of 1 15 U.S.C. 78s(b)(1). IV. Solicitation of Comments Trading and Markets, pursuant to delegated 2 17 CFR 240.19b–4. authority.26 3 See Securities Exchange Act Release No. 79352 Interested persons are invited to Eduardo A. Aleman, (November 18, 2016), 81 FR 85277 (‘‘Notice’’). submit written data, views, and 4 Block-size orders are orders for 50 contracts or Assistant Secretary. arguments concerning the foregoing, more. See ISE Rule 716(a). [FR Doc. 2017–00221 Filed 1–9–17; 8:45 am] 5 Only block-size orders can be entered into the BILLING CODE 8011–01–P Facilitation Mechanism, whereas only orders for 23 15 U.S.C. 78s(b)(3)(A). 500 contracts or more can be entered into the 24 17 CFR 240.19b–4(f)(2). Solicited Order Mechanism. See ISE Rule 716(d) 25 15 U.S.C. 78s(b)(2)(B). 26 17 CFR 200.30–3(a)(12). and (e).

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execution of orders using the PIM. The market and a national market system within 50 milliseconds of the initial PIM allows ISE members to enter cross and, in general, to protect investors and order.12 Furthermore, with regard to the transactions of any size. The the public interest, and not be designed impact of the proposal on system Facilitation, Solicited Order to permit unfair discrimination between capacity, ISE has analyzed its capacity Mechanisms, and PIM allow for ISE customers, issuers, brokers, or dealers. and represented that it has the necessary members to designate certain customer The Commission also finds that the systems capacity to handle the potential orders for price improvement and proposed rule change is consistent with additional traffic associated with the submit such orders into one of the Section 6(b)(8) of the Act,10 which additional transactions that may occur mechanisms with a matching contra requires that the rules of an exchange with the implementation of the order. Once such an order is submitted, not impose any burden on competition reduction in the auction duration to no ISE commences an auction by that is not necessary or appropriate in less than 100 milliseconds.13 broadcasting a message to all ISE furtherance of the purposes of the Act. Based on ISE’s statements, the members that includes the series, price, The Commission believes that, given Commission believes that market size, and side of the market.6 Further, the electronic environment of ISE, participants should continue to have responses within the PIM (i.e., reducing each of the exposure periods opportunities to compete for exposed Improvement Orders), are also broadcast from 500 milliseconds to no less than bids and offers within an exposure to market participants during the 100 milliseconds could facilitate the period of no less than 100 milliseconds auction. prompt execution of orders, while and no more than 1 second.14 Orders entered into the Block Order continuing to provide market Accordingly, the Commission believes Mechanism, Facilitation Mechanism, participants with an opportunity to that it is consistent with the Act for the Solicited Order Mechanism, and PIM compete for exposed bids and offers. To Exchange to modify the response times are currently exposed to all market substantiate that its members could in the Block Mechanism, Facilitation participants for 500 milliseconds, giving receive, process, and communicate a Mechanism, Solicited Order them an opportunity to enter additional response back to ISE within 100 Mechanism, and PIM from 500 trading interest before the orders are milliseconds, ISE stated that it surveyed milliseconds to a time period designated automatically executed. Under the all ISE members that responded to an by the Exchange of no less than 100 proposal, ISE would determine an auction in the period beginning July 1, milliseconds and no more than 1 exposure period for each of the four 2015 and ending January 15, 2016. Each second. of the twenty-one members surveyed mechanisms that is no less than 100 IV. Conclusion milliseconds and no more than 1 indicated that they can currently second.7 receive, process, and communicate a It is therefore ordered, pursuant to response back to ISE within 100 Section 19(b)(2) of the Act,15 that the III. Discussion and Commission’s milliseconds. To implement the reduced proposed rule change (SR–ISE–2016–26) Findings exposure periods and help ensure that be, and hereby is, approved. After careful review, the Commission ISE’s and its members’ systems are For the Commission, by the Division of finds that the proposed rule change is working properly given the faster Trading and Markets, pursuant to delegated consistent with the requirements of the response times, ISE will reduce the authority.16 Act and the rules and regulations auction time over a period of weeks, Eduardo A. Aleman, thereunder applicable to a national ending at 100 milliseconds. Upon Assistant Secretary. 8 securities exchange. In particular, the effectiveness of the proposal, and at [FR Doc. 2017–00217 Filed 1–9–17; 8:45 am] least six weeks prior to implementation Commission finds that the proposed BILLING CODE 8011–01–P rule change is consistent with Section of the proposed rule change, ISE will 6(b)(5) of the Act,9 which requires, issue a circular to its members, among other things, that the rules of a informing them of the implementation SECURITIES AND EXCHANGE national securities exchange be date of the reduction of the auction from COMMISSION designed to promote just and equitable 500 milliseconds to the auction time designated by ISE (100 milliseconds) to [Investment Company Act Release No. principles of trade, to foster cooperation 32413; 812–13828–01 and coordination with persons engaged allow members the opportunity to in regulating transactions in securities, perform systems changes. ISE also Hartford Funds Exchange-Traded to remove impediments to and perfect represented that it will issue a circular Trust, et al.; Notice of Application] the mechanism of a free and open at least four weeks prior to any future changes, as permitted by its rules, to the January 4, 2017. 11 6 ISE members may choose to hide the size, side, auction time. In addition, ISE AGENCY: Securities and Exchange and price when entering orders into the Block reviewed all executions occurring in the Commission (‘‘Commission’’). Order Mechanism. mechanisms by ISE members from ACTION: Notice of an application for an 7 While the proposed rule change would allow March 28, 2016 to April 25, 2016. This order under section 6(c) of the ISE to increase the exposure period up to 1 second, review of executions in the mechanisms ISE stated that it currently intends to decrease the Investment Company Act of 1940 (the time period allowed for responses to 100 indicated that approximately 98% of ‘‘Act’’) for an exemption from sections milliseconds. See Notice, supra note 3, at 85278. responses that resulted in price 2(a)(32), 5(a)(1), 22(d), and 22(e) of the ISE further noted that its proposal is consistent with improving executions at the conclusion exposure periods permitted in similar mechanisms of an auction were submitted within 500 12 on other options exchanges. See id. at 85278. See See id. also Securities Exchange Act Release Nos. 76301 milliseconds. Approximately 94% of 13 See id. (October 29, 2015), 80 FR 68347 (November 4, 2015) responses that resulted in price 14 The Commission notes that the ability to (SR–BX–2015–032) and 77557 (April 7, 2016), 81 improving executions at the conclusion designate such an exposure time period is FR 21935 (April 13, 2016) (SR–Phlx–2016–40). of an auction were submitted within 100 consistent with the rules of other options 8 In approving this proposed rule change, the exchanges. See supra note 7. See also NASDAQ Commission has considered the proposed rule’s milliseconds, and 83% were submitted Phlx Rule 1080(n)(ii)(A)(4) and NASDAQ BX impact on efficiency, competition, and capital Options Rules Chapter VI, Section 9(ii)(A)(3). formation. See 15 U.S.C. 78c(f). 10 15 U.S.C. 78f(b)(8). 15 15 U.S.C. 78s(b)(2). 9 15 U.S.C. 78f(b)(5). 11 See Notice, supra note 3, at 85279. 16 17 CFR 200.30–3(a)(12).

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Act and rule 22c–1 under the Act, under Act, hearing requests should state the 3. Shares will be purchased and sections 6(c) and 17(b) of the Act for an nature of the writer’s interest, any facts redeemed in Creation Units and exemption from sections 17(a)(1) and bearing upon the desirability of a generally on an in-kind basis. Except 17(a)(2) of the Act, and under section hearing on the matter, the reason for the where the purchase or redemption will 12(d)(1)(J) for an exemption from request, and the issues contested. include cash under the limited sections 12(d)(1)(A) and 12(d)(1)(B) of Persons who wish to be notified of a circumstances specified in the the Act. The requested order would hearing may request notification by application, purchasers will be required permit (a) actively-managed series of writing to the Commission’s Secretary. to purchase Creation Units by certain open-end management ADDRESSES: Brent J. Fields, Secretary, depositing specified instruments investment companies (‘‘Funds’’) to Securities and Exchange Commission, (‘‘Deposit Instruments’’), and issue shares redeemable in large 100 F Street NE., Washington, DC shareholders redeeming their shares aggregations only (‘‘Creation Units’’); (b) 20549–1090; Applicants: c/o Alice A. will receive specified instruments secondary market transactions in Fund Pellegrino, Esq., Hartford Funds, 5 (‘‘Redemption Instruments’’). The shares to occur at negotiated market Radnor Corporate Center, 100 Deposit Instruments and the prices rather than at net asset value Matsonford Road, Suite 300, Radnor, PA Redemption Instruments will each (‘‘NAV’’); (c) certain Funds to pay 19087. correspond pro rata to the positions in the Fund’s portfolio (including cash redemption proceeds, under certain FOR FURTHER INFORMATION CONTACT: positions) except as specified in the circumstances, more than seven days Laura J. Riegel, Senior Counsel, at (202) after the tender of shares for application. 551–3038, or Mary Kay Frech, Branch 4. Because shares will not be redemption; (d) certain affiliated Chief, at (202) 551–6821 (Division of persons of a Fund to deposit securities individually redeemable, applicants Investment Management, Chief request an exemption from section into, and receive securities from, the Counsel’s Office). Fund in connection with the purchase 5(a)(1) and section 2(a)(32) of the Act SUPPLEMENTARY INFORMATION: The and redemption of Creation Units; (d) that would permit the Funds to register following is a summary of the certain Funds (‘‘Feeder Funds’’) to as open-end management investment application. The complete application operate and redeem Creation Units in companies and issue shares that are may be obtained via the Commission’s kind in a master-feeder structure; and redeemable in Creation Units only. Web site by searching for the file (e) certain registered management 5. Applicants also request an number, or for an applicant using the investment companies and unit exemption from section 22(d) of the Act Company name box, at http:// investment trusts outside of the same and rule 22c-1 under the Act as www.sec.gov/search/search.htm or by group of investment companies as the secondary market trading in shares will calling (202) 551–8090. Funds (‘‘Funds of Funds’’) to acquire take place at negotiated prices, not at a current offering price described in a shares of the Funds. Summary of the Application Fund’s prospectus, and not at a price 1. Applicants request an order that APPLICANTS: Hartford Funds Exchange- based on NAV. Applicants state that (a) would allow Funds to operate as secondary market trading in shares does Traded Trust (the ‘‘Trust’’), a Delaware actively-managed exchange traded statutory trust, which will register under not involve a Fund as a party and will funds (‘‘ETFs’’).1 All orders to purchase not result in dilution of an investment the Act as an open-end management Creation Units and all redemption investment company with multiple in shares, and (b) to the extent different requests will be placed by or through an prices exist during a given trading day, series, Hartford Funds Management ‘‘Authorized Participant’’, which will Company, LLC (the ‘‘Initial Adviser’’), a or from day to day, such variances occur have signed a participant agreement as a result of third-party market forces, Delaware limited liability company with the Distributor. Shares will be registered as an investment adviser such as supply and demand. Therefore, listed and traded individually on a applicants assert that secondary market under the Investment Advisers Act of national securities exchange, where transactions in shares will not lead to 1940, and Hartford Funds Distributors, share prices will be based on the current discrimination or preferential treatment LLC, a Delaware limited liability bid/offer market. Any order granting the among purchasers. Finally, applicants company and broker-dealer registered requested relief would be subject to the represent that share market prices will under the Securities Exchange Act of terms and conditions stated in the be disciplined by arbitrage 1934 (‘‘Exchange Act’’). application. opportunities, which should prevent FILING DATES: The application was filed 2. Each Fund will consist of a shares from trading at a material on September 23, 2010 and amended on portfolio of securities and other assets discount or premium from NAV. March 25, 2011, April 8, 2016, and investment positions (‘‘Portfolio 6. With respect to Funds that hold September 19, 2016 and December 16, Instruments’’). Each Fund will disclose non-U.S. Portfolio Instruments and that 2016. on its Web site the identities and effect creations and redemptions of HEARING OR NOTIFICATION OF HEARING: An quantities of the Portfolio Instruments Creation Units in kind, applicants order granting the requested relief will that will form the basis for the Fund’s request relief from the requirement be issued unless the Commission orders calculation of NAV at the end of the imposed by section 22(e) in order to a hearing. Interested persons may day. allow such Funds to pay redemption request a hearing by writing to the proceeds within fifteen calendar days Commission’s Secretary and serving 1 Applicants request that the order apply to the following the tender of Creation Units applicants with a copy of the request, initial Fund, as well as to future series of the Trust for redemption. Applicants assert that and any future open-end management investment personally or by mail. Hearing requests companies or series thereof (each, included in the the requested relief would not be should be received by the Commission term ‘‘Fund’’), each of which will operate as an inconsistent with the spirit and intent of by 5:30 p.m. on January 26, 2017, and actively-managed ETF. Any Fund will (a) be section 22(e) to prevent unreasonable, should be accompanied by proof of advised by the Initial Adviser or an entity undisclosed or unforeseen delays in the controlling, controlled by, or under common service on applicants, in the form of an control with the Initial Adviser (each, an actual payment of redemption proceeds. affidavit, or for lawyers, a certificate of ‘‘Adviser’’) and (b) comply with the terms and 7. Applicants request an exemption to service. Pursuant to rule 0–5 under the conditions of the application. permit Funds of Funds to acquire Fund

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shares beyond the limits of section to the Feeder Fund beyond the Transactions) to modify the response 12(d)(1)(A) of the Act; and the Funds, limitations in section 12(d)(1)(B). times in the Block Order Mechanism, and any principal underwriter for the 10. Section 6(c) of the Act permits the Facilitation Mechanism, Solicited Order Funds, and/or any broker or dealer Commission to exempt any persons or Mechanism, and Price Improvement registered under the Exchange Act, to transactions from any provision of the Mechanism (‘‘PIM’’) from 500 sell shares to Funds of Funds beyond Act if such exemption is necessary or milliseconds to a time period designated the limits of section 12(d)(1)(B) of the appropriate in the public interest and by the Exchange of no less than 100 Act. The application’s terms and consistent with the protection of milliseconds and no more than 1 conditions are designed to, among other investors and the purposes fairly second. The proposed rule change was things, help prevent any potential (i) intended by the policy and provisions of published for comment in the Federal undue influence over a Fund through the Act. Section 12(d)(1)(J) of the Act Register on November 25, 2016.3 No control or voting power, or in provides that the Commission may comment letters were received on the connection with certain services, exempt any person, security, or proposed rule change. This order transactions, and underwritings, (ii) transaction, or any class or classes of approves the proposed rule change. excessive layering of fees, and (iii) persons, securities, or transactions, from any provision of section 12(d)(1) if the II. Description of the Proposed Rule overly complex fund structures, which Change are the concerns underlying the limits exemption is consistent with the public in sections 12(d)(1)(A) and (B) of the interest and the protection of investors. ISE Mercury Rule 716 (Block Trades) Act. Section 17(b) of the Act authorizes the contains the requirements applicable to 8. Applicants request an exemption Commission to grant an order the execution of orders using the Block from sections 17(a)(1) and 17(a)(2) of the permitting a transaction otherwise Order Mechanism, Facilitation Act to permit persons that are Affiliated prohibited by section 17(a) if it finds Mechanism, and Solicited Order Persons, or Second-Tier Affiliates, of the that (a) the terms of the proposed Mechanism. The Block Order Funds, solely by virtue of certain transaction are fair and reasonable and Mechanism allows ISE Mercury members to obtain liquidity for the ownership interests, to effectuate do not involve overreaching on the part execution of a block-size order.4 The purchases and redemptions in-kind. The of any person concerned; (b) the Facilitation and Solicited Order deposit procedures for in-kind proposed transaction is consistent with Mechanisms allow ISE Mercury purchases of Creation Units and the the policies of each registered members to enter cross transactions redemption procedures for in-kind investment company involved; and (c) seeking price improvement.5 ISE redemptions of Creation Units will be the proposed transaction is consistent Mercury Rule 723 (Price Improvement the same for all purchases and with the general purposes of the Act. Mechanism for Crossing Transactions) redemptions and Deposit Instruments For the Commission, by the Division of contains the requirements applicable to and Redemption Instruments will be Investment Management, under delegated authority. the execution of orders using the PIM. valued in the same manner as those The PIM allows ISE Mercury members Portfolio Instruments currently held by Eduardo A. Aleman, Assistant Secretary. to enter cross transactions of any size. the Funds. Applicants also seek relief The Facilitation, Solicited Order from the prohibitions on affiliated [FR Doc. 2017–00227 Filed 1–9–17; 8:45 am] Mechanisms, and PIM allow for ISE transactions in section 17(a) to permit a BILLING CODE 8011–01–P Mercury members to designate certain Fund to sell its shares to and redeem its customer orders for price improvement shares from a Fund of Funds, and to SECURITIES AND EXCHANGE and submit such orders into one of the engage in the accompanying in-kind mechanisms with a matching contra 2 COMMISSION transactions with the Fund of Funds. order. Once such an order is submitted, The purchase of Creation Units by a [Release No. 34–79731; File No. SR– ISE Mercury commences an auction by Fund of Funds directly from a Fund will ISEMercury–2016–21] broadcasting a message to all ISE be accomplished in accordance with the Mercury members that includes the policies of the Fund of Funds and will Self-Regulatory Organizations; ISE series, price, size, and side of the be based on the NAVs of the Funds. Mercury, LLC; Order Approving a market.6 Further, responses within the 9. Applicants also request relief to Proposed Rule Change To Modify the PIM (i.e., Improvement Orders), are also permit a Feeder Fund to acquire shares Response Times in the Block broadcast to market participants during of another registered investment Mechanism, Facilitation Mechanism, the auction. company managed by the Adviser Solicited Order Mechanism, and Price Orders entered into the Block Order having substantially the same Improvement Mechanism Mechanism, Facilitation Mechanism, investment objectives as the Feeder January 4, 2017. Solicited Order Mechanism, and PIM Fund (‘‘Master Fund’’) beyond the are currently exposed to all market limitations in section 12(d)(1)(A) and I. Introduction participants for 500 milliseconds, giving permit the Master Fund, and any On November 8, 2016, ISE Mercury, them an opportunity to enter additional principal underwriter for the Master LLC (the ‘‘Exchange’’ or ‘‘ISE Mercury’’) trading interest before the orders are Fund, to sell shares of the Master Fund filed with the Securities and Exchange Commission (‘‘Commission’’) pursuant 3 See Securities Exchange Act Release No. 79354 2 The requested relief would apply to direct sales to Section 19(b)(1) of the Securities (November 18, 2016), 81 FR 85295 (‘‘Notice’’). 4 Block-size orders are orders for 50 contracts or of shares in Creation Units by a Fund to a Fund of Exchange Act of 1934 (‘‘Act’’) 1 and Rule Funds and redemptions of those shares. Applicants, more. See ISE Mercury Rule 716(a). 2 moreover, are not seeking relief from section 17(a) 19b–4 thereunder, a proposed rule 5 Only block-size orders can be entered into the for, and the requested relief will not apply to, change to amend ISE Mercury Rules 716 Facilitation Mechanism, whereas only orders for transactions where a Fund could be deemed an (Block Trades) and 723 (Price 500 contracts or more can be entered into the Affiliated Person, or a Second-Tier Affiliate, of a Improvement Mechanism for Crossing Solicited Order Mechanism. See ISE Mercury Rule Fund of Funds because an Adviser or an entity 716(d) and (e). controlling, controlled by or under common control 6 ISE Mercury members may choose to hide the with an Adviser provides investment advisory 1 15 U.S.C. 78s(b)(1). size, side, and price when entering orders into the services to that Fund of Funds. 2 17 CFR 240.19b–4. Block Order Mechanism.

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automatically executed. Under the Securities Exchange, LLC (‘‘ISE’’) and with the implementation of the proposal, ISE Mercury would determine ISE Gemini, LLC (‘‘ISE Gemini’’) reduction in the auction duration to no an exposure period for each of the four members that responded to an auction less than 100 milliseconds.15 mechanisms that is no less than 100 in the period beginning July 1, 2015 and Based on ISE Mercury’s statements, milliseconds and no more than 1 ending January 15, 2016.11 Each of the the Commission believes that market second.7 twenty-one members surveyed indicated participants should continue to have that they can currently receive, process, opportunities to compete for exposed III. Discussion and Commission’s and communicate a response back to the bids and offers within an exposure Findings exchange within 100 milliseconds.12 To period of no less than 100 milliseconds After careful review, the Commission implement the reduced exposure and no more than 1 second.16 finds that the proposed rule change is periods and help ensure that ISE Accordingly, the Commission believes consistent with the requirements of the Mercury’s and its members’ systems are that it is consistent with the Act for the Act and the rules and regulations working properly given the faster Exchange to modify the response times thereunder applicable to a national response times, ISE Mercury will reduce in the Block Mechanism, Facilitation securities exchange.8 In particular, the the auction time over a period of weeks, Mechanism, Solicited Order Commission finds that the proposed ending at 100 milliseconds. Upon Mechanism, and PIM from 500 rule change is consistent with Section effectiveness of the proposal, and at milliseconds to a time period designated 6(b)(5) of the Act,9 which requires, least six weeks prior to implementation by the Exchange of no less than 100 among other things, that the rules of a of the proposed rule change, ISE milliseconds and no more than 1 national securities exchange be Mercury will issue a circular to its second. designed to promote just and equitable members, informing them of the principles of trade, to foster cooperation implementation date of the reduction of IV. Conclusion and coordination with persons engaged the auction from 500 milliseconds to the It is therefore ordered, pursuant to in regulating transactions in securities, auction time designated by ISE Mercury Section 19(b)(2) of the Act,17 that the to remove impediments to and perfect (100 milliseconds) to allow members the proposed rule change (SR–ISEMercury– the mechanism of a free and open opportunity to perform systems 2016–21) be, and hereby is, approved. market and a national market system changes. ISE Mercury also represented For the Commission, by the Division of and, in general, to protect investors and that it will issue a circular at least four Trading and Markets, pursuant to delegated the public interest, and not be designed weeks prior to any future changes, as authority.18 to permit unfair discrimination between permitted by its rules, to the auction Eduardo A. Aleman, 13 customers, issuers, brokers, or dealers. time. In addition, ISE Mercury Assistant Secretary. The Commission also finds that the reviewed all executions occurring in the [FR Doc. 2017–00215 Filed 1–9–17; 8:45 am] proposed rule change is consistent with mechanisms by ISE Mercury members BILLING CODE 8011–01–P Section 6(b)(8) of the Act,10 which from March 28, 2016 to April 25, 2016. requires that the rules of an exchange This review of executions in the not impose any burden on competition mechanisms indicated that SECURITIES AND EXCHANGE that is not necessary or appropriate in approximately 98% of responses that COMMISSION furtherance of the purposes of the Act. resulted in price improving executions The Commission believes that, given at the conclusion of an auction were [Release No. 34–79740; File No. SR– the electronic environment of ISE submitted within 500 milliseconds. ISEMercury–2016–26] Mercury, reducing each of the exposure Approximately 94% of responses that Self-Regulatory Organizations; ISE periods from 500 milliseconds to no less resulted in price improving executions Mercury, LLC; Notice of Filing and than 100 milliseconds could facilitate at the conclusion of an auction were Immediate Effectiveness of Proposed the prompt execution of orders, while submitted within 100 milliseconds, and Rule Change To Amend its Rules to continuing to provide market 83% were submitted within 50 Extend a Pilot Program participants with an opportunity to milliseconds of the initial order.14 compete for exposed bids and offers. To Furthermore, with regard to the impact January 4, 2017. substantiate that its members could of the proposal on system capacity, ISE Pursuant to Section 19(b)(1) of the receive, process, and communicate a Mercury has analyzed its capacity and Securities Exchange Act of 1934 response back to ISE Mercury within represented that it has the necessary (‘‘Act’’),1 and Rule 19b–4 thereunder,2 100 milliseconds, ISE Mercury stated systems capacity to handle the potential notice is hereby given that on December that it surveyed all International additional traffic associated with the 23, 2016, ISE Mercury, LLC (‘‘ISE additional transactions that may occur Mercury’’ or ‘‘Exchange’’) filed with the 7 While the proposed rule change would allow Securities and Exchange Commission ISE Mercury to increase the exposure period up to 11 ISE Mercury launched on February 16, 2016, (‘‘SEC’’ or ‘‘Commission’’) the proposed 1 second, ISE Mercury stated that it currently after the survey had been completed. ISE and ISE intends to decrease the time period allowed for Gemini are affiliates of ISE Mercury that also offer rule change as described in Items I and responses to 100 milliseconds. See Notice, supra a Block Order Mechanism, Facilitation Mechanism, II, below, which Items have been note 3, at 85297. ISE Mercury further noted that its Solicited Order Mechanism, and PIM. See Notice, prepared by the Exchange. The proposal is consistent with exposure periods supra note 3, at 85297 n.12. permitted in similar mechanisms on other options 12 ISE Mercury believes the survey results apply 15 See id. exchanges. See id. at 85296. See also Securities equally to ISE Mercury as all current ISE Mercury 16 Exchange Act Release Nos. 76301 (October 29, members are also members of ISE or ISE Gemini, The Commission notes that the ability to 2015), 80 FR 68347 (November 4, 2015) (SR–BX– which are affiliates of ISE Mercury, and the same designate such an exposure time period is 2015–032) and 77557 (April 7, 2016), 81 FR 21935 functionality for auction responses offered on ISE consistent with the rules of other options (April 13, 2016) (SR–Phlx–2016–40). Mercury is also offered on these affiliated exchanges. See supra note 7. See also NASDAQ 8 In approving this proposed rule change, the exchanges. See Notice, supra note 3, at 85297. ISE Phlx Rule 1080(n)(ii)(A)(4) and NASDAQ BX Commission has considered the proposed rule’s Mercury further represents that its trading system Options Rules Chapter VI, Section 9(ii)(A)(3). impact on efficiency, competition, and capital has comparable latency to both ISE and ISE Gemini. 17 15 U.S.C. 78s(b)(2). formation. See 15 U.S.C. 78c(f). See id. 18 17 CFR 200.30–3(a)(12). 9 15 U.S.C. 78f(b)(5). 13 See id. at 85298. 1 15 U.S.C. 78s(b)(1). 10 15 U.S.C. 78f(b)(8). 14 See id. at 85297. 2 17 CFR 240.19b–4.

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Commission is publishing this notice to activity for the most recent six month C. Self-Regulatory Organization’s solicit comments on the proposed rule period excluding the month Statement on Comments on the change from interested persons. immediately preceding the replacement Proposed Rule Change Received From I. Self-Regulatory Organization’s (i.e., beginning June 1, 2016, and ending Members, Participants, or Others November 30, 2016). This filing does Statement of the Terms of Substance of No written comments were either the Proposed Rule Change not propose any substantive changes to the Penny Pilot Program: All classes solicited or received. The Exchange proposes to amend its currently participating will remain the rules to extend a pilot program to quote III. Date of Effectiveness of the same and all minimum increments will Proposed Rule Change and Timing for and to trade certain options classes in remain unchanged. The Exchange penny increments. Commission Action believes the benefits to public customers The text of the proposed rule change The Exchange has filed the proposed is available on the Exchange’s Web site and other market participants who will rule change pursuant to Section at www.ise.com, at the principal office be able to express their true prices to buy and sell options have been 19(b)(3)(A)(iii) of the Act 7 and Rule of the Exchange, and at the 8 Commission’s Public Reference Room. demonstrated to outweigh any increase 19b–4(f)(6) thereunder. Because the in quote traffic. proposed rule change does not: (i) II. Self-Regulatory Organization’s Significantly affect the protection of Statement of the Purpose of, and 2. Statutory Basis investors or the public interest; (ii) Statutory Basis for, the Proposed Rule The Exchange believes that the impose any significant burden on Change proposed rule change is consistent with competition; and (iii) become operative In its filing with the Commission, the the requirements of the Act and the prior to 30 days from the date on which Exchange included statements rules and regulations thereunder that it was filed, or such shorter time as the concerning the purpose of and basis for are applicable to a national securities Commission may designate, if the proposed rule change and discussed exchange, and, in particular, with the consistent with the protection of any comments it received on the requirements of Section 6(b) of the Act.4 investors and the public interest, the proposed rule change. The text of these Specifically, the proposed rule change is proposed rule change has become statements may be examined at the consistent with Section 6(b)(5) of the effective pursuant to Section 19(b)(3)(A) places specified in Item IV below. The Act,5 because it is designed to promote of the Act and Rule 19b–4(f)(6)(iii) Exchange has prepared summaries, set just and equitable principles of trade, thereunder. forth in sections A, B, and C below, of remove impediments to and perfect the A proposed rule change filed under the most significant aspects of such mechanisms of a free and open market Rule 19b–4(f)(6) 9 normally does not statements. and a national market system and, in become operative prior to 30 days after A. Self-Regulatory Organization’s general, to protect investors and the the date of the filing.10 However, Statement of the Purpose of, and public interest. In particular, the pursuant to Rule 19b–4(f)(6)(iii),11 the Statutory Basis for, the Proposed Rule proposed rule change, which extends Commission may designate a shorter Change the Penny Pilot Program for an time if such action is consistent with the additional six months, will enable 1. Purpose protection of investors and the public public customers and other market interest. The Exchange has asked the Under the Penny Pilot Program, the participants to express their true prices Commission to waive the 30-day minimum price variation for all to buy and sell options to the benefit of operative delay so that the proposal may participating options classes, except for all market participants. become operative immediately upon the Nasdaq-100 Index Tracking Stock filing. The Commission believes that (‘‘QQQQ’’), the SPDR S&P 500 Exchange B. Self-Regulatory Organization’s Statement on Burden on Competition waiving the 30-day operative delay is Traded Fund (‘‘SPY’’) and the iShares consistent with the protection of Russell 2000 Index Fund (‘‘IWM’’), is In accordance with Section 6(b)(8) of investors and the public interest $0.01 for all quotations in options series the Act,6 the Exchange does not believe because doing so will allow the Pilot that are quoted at less than $3 per that the proposed rule change will Program to continue without contract and $0.05 for all quotations in impose any burden on intermarket or interruption in a manner that is options series that are quoted at $3 per intramarket competition that is not consistent with the Commission’s prior contract or greater. QQQQ, SPY and necessary or appropriate in furtherance approval of the extension and expansion IWM are quoted in $0.01 increments for of the purposes of the Act. Specifically, of the Pilot Program and will allow the all options series. The Penny Pilot the Exchange believes that, by extending Exchange and the Commission Program is currently scheduled to the expiration of the Penny Pilot additional time to analyze the impact of expire on December 31, 2016.3 The Program, the proposed rule change will the Pilot Program. Accordingly, the Exchange proposes to extend the Penny Commission designates the proposed Pilot Program through June 30, 2017, allow for further analysis of the Penny and to provide a revised date for adding Pilot Program and a determination of 7 replacement issues to the Penny Pilot how the Penny Pilot Program should be 15 U.S.C. 78s(b)(3)(A)(iii). 8 17 CFR 240.19b–4(f)(6). Program. The Exchange proposes that structured in the future. In doing so, the proposed rule change will also serve to 9 17 CFR 240.19b–4(f)(6). any Penny Pilot Program issues that 10 promote regulatory clarity and 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– have been delisted may be replaced on 4(f)(6)(iii) requires the Exchange to give the the second trading day following consistency, thereby reducing burdens Commission written notice of the Exchange’s intent January 1, 2017. The replacement issues on the marketplace and facilitating to file the proposed rule change along with a brief investor protection. description and the text of the proposed rule will be selected based on trading change, at least five business days prior to the date of filing of the proposed rule change, or such 3 See Exchange Act Release No. 78202 (June 30, 4 15 U.S.C. 78f(b). shorter time as designated by the Commission. The 2016), 81 FR 81 FR 44377 (July 7, 2016) (SR–ISE 5 15 U.S.C. 78f(b)(5). Exchange has satisfied this pre-filing requirement. Mercury–2016–12). 6 15 U.S.C. 78f(b)(8). 11 17 CFR 240.19b–4(f)(6)(iii).

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rule change as operative upon filing printing in the Commission’s Public Fees and Charges for Exchange Services with the Commission.12 Reference Room. Copies of such filing related to co-location services to provide At any time within 60 days of the also will be available for inspection and a more detailed description of the access filing of such proposed rule change, the copying at the principal office of ISE to trading and execution services and Commission summarily may Mercury. All comments received will be connectivity to data provided to Users temporarily suspend such rule change if posted without change; the Commission with local area networks available in the it appears to the Commission that such does not edit personal identifying data center; and (b) modify certain fees action is necessary or appropriate in the information from submissions. You for access to the local area networks in public interest, for the protection of should submit only information that the Exchange’s data center. The investors, or otherwise in furtherance of you wish to make available publicly. All proposed rule change is available on the the purposes of the Act. If the submissions should refer to File Exchange’s Web site at www.nyse.com, Commission takes such action, the Number SR–ISEMercury–2016–26 and at the principal office of the Exchange, Commission shall institute proceedings should be submitted by January and at the Commission’s Public under Section 19(b)(2)(B) 13 of the Act to 31,2017. Reference Room. determine whether the proposed rule For the Commission, by the Division of II. Self-Regulatory Organization’s change should be approved or Trading and Markets, pursuant to delegated disapproved. authority.14 Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Eduardo A. Aleman, IV. Solicitation of Comments Change Assistant Secretary. Interested persons are invited to [FR Doc. 2017–00224 Filed 1–9–17; 8:45 am] In its filing with the Commission, the submit written data, views, and self-regulatory organization included BILLING CODE 8011–01–P arguments concerning the foregoing, statements concerning the purpose of, including whether the proposed rule and basis for, the proposed rule change change is consistent with the Act. SECURITIES AND EXCHANGE and discussed any comments it received Comments may be submitted by any of COMMISSION on the proposed rule change. The text the following methods: of those statements may be examined at [Release No. 34–79729; File No. SR– the places specified in Item IV below. Electronic Statements NYSEArca–2016–172] The Exchange has prepared summaries, • Use the Commission’s Internet set forth in sections A, B, and C below, comment form http://www.sec.gov/ Self-Regulatory Organizations; NYSE of the most significant parts of such rules/sro.shtml); or Arca, Inc.; Notice of Filing and • Send an email to rule-comments@ Immediate Effectiveness of Proposed statements. sec.gov. Please include File No. SR– Rule Change Amending the NYSE Arca A. Self-Regulatory Organization’s ISEMercury–2016–26 on the subject Options Fee Schedule and the NYSE Statement of the Purpose of, and line. Arca Equities Schedule of Fees and Statutory Basis for, the Proposed Rule Charges Related to Co-Location Change Paper Comments Services To Increase LCN and IP • Send paper comments in triplicate Network Fees and Add a Description of 1. Purpose to Secretary, Securities and Exchange Access to Trading and Execution The Exchange proposes to amend the Commission, 100 F Street NE., Services and Connectivity to Included Fee Schedules related to co-location 4 Washington, DC 20549–1090. Data Products services offered by the Exchange to (a) All submissions should refer to File provide a more detailed description of January 4, 2017. Number SR–ISEMercury–2016–26. This 1 the access to trading and execution file number should be included on the Pursuant to Section 19(b)(1) of the services and connectivity to data Securities Exchange Act of 1934 (the 5 subject line if email is used. To help the 2 3 provided to Users with connections to Commission process and review your ‘‘Act’’) and Rule 19b–4 thereunder, the Liquidity Center Network (‘‘LCN’’) comments more efficiently, please use notice is hereby given that, on December and internet protocol (‘‘IP’’) network, only one method. The Commission will 22, 2016, NYSE Arca, Inc. (the post all comments on the Commission’s ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with 4 The Exchange initially filed rule changes Internet Web site (http://www.sec.gov/ the Securities and Exchange relating to its co-location services with the rules/sro.shtml). Copies of the Commission (the ‘‘Commission’’) the Securities and Exchange Commission proposed rule change as described in (‘‘Commission’’) in 2010. See Securities Exchange submission, all subsequent Act Release No. 63275 (November 8, 2010), 75 FR amendments, all written statements Items I, II, and III below, which Items 70048 (November 16, 2010) (SR–NYSEArca–2010– with respect to the proposed rule have been prepared by the self- 100) (the ‘‘Original Co-location Filing’’). The regulatory organization. The Exchange operates a data center in Mahwah, New change that are filed with the Jersey (the ‘‘data center’’) from which it provides Commission, and all written Commission is publishing this notice to solicit comments on the proposed rule co-location services to Users. communications relating to the 5 For purposes of the Exchange’s co-location proposed rule change between the change from interested persons. services, a ‘‘User’’ means any market participant Commission and any person, other than that requests to receive co-location services directly I. Self-Regulatory Organization’s from the Exchange. See Securities Exchange Act those that may be withheld from the Statement of the Terms of the Substance Release No. 76010 (September 29, 2015), 80 FR public in accordance with the of the Proposed Rule Change 60197 (October 5, 2015) (SR–NYSEArca–2015–82). As specified in the Fee Schedules, a User that provisions of 5 U.S.C. 552, will be The Exchange proposes to amend the available for Web site viewing and incurs co-location fees for a particular co-location NYSE Arca Options Fee Schedule and service pursuant thereto would not be subject to co- the NYSE Arca Equities Schedule of location fees for the same co-location service 12 For purposes only of waiving the operative charged by the Exchange’s affiliates New York delay for this proposal, the Commission has Stock Exchange LLC (‘‘NYSE LLC’’) and NYSE MKT 14 considered the proposed rule’s impact on 17 CFR 200.30–3(a)(12). LLC (‘‘NYSE MKT and, together with NYSE LLC, efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). the ‘‘Affiliate SROs’’). See Securities Exchange Act 15 U.S.C. 78c(f). 2 15 U.S.C. 78a. Release No. 70173 (August 13, 2013), 78 FR 50459 13 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4. (August 19, 2013) (SR–NYSEArca–2013–80).

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local area networks available in the data entered into a contract with the provider IP networks include access to Exchange center; and (b) modify certain fees for of the data feed. The Exchange proposes Systems when the User has access to the LCN and IP networks. The to revise the Fee Schedules to provide authorization from the Exchange or Exchange proposes to implement the fee a more detailed description of the relevant Affiliate SRO.12 The Exchange changes effective January 1, 2017. access to the Exchange Systems notes that including access to Exchange The Exchange offers LCN access of 1, (‘‘Access’’) and connectivity to Included Systems with the purchase of access to 10 and 40 Gigabits (‘‘Gb’’) as well as a Data Products (‘‘Connectivity’’) that the LCN or IP network is consistent with lower-latency 10 Gb LCN connection, comes with connections to the LCN or Nasdaq’s colocation service, which does referred to as the ‘‘LCN 10 Gb LX.’’ 6 The IP network when the User has not charge its co-located customers a Exchange offers IP network access in 1, authorization from the Exchange or separate fee for access to Exchange 10 and 40 Gb capacities.7 A User also Affiliate SRO for such access or has a Systems.13 may purchase access to the LCN or IP contract from the market data provider Accordingly, the Exchange proposes network through purchase of 1 Gb or 10 for such connectivity. to add a new note to the Fee Schedules Gb bundled network access or a Partial Access to certification and testing stating the following: Cabinet Solution bundle, which include feeds comes with the purchase of some When a User purchases access to the LCN 1 and 10 Gb LCN and IP network Included Data Products from the or IP network, it receives the ability to access connections.8 provider of such data. Certification the trading and execution systems of the feeds are used to certify that a User NYSE, NYSE MKT and NYSE Arca Access to Trading and Execution conforms to any relevant technical (Exchange Systems), subject, in each case, to Services and Connectivity to Data requirements for receipt of data or authorization by the NYSE, NYSE MKT or As the Exchange has previously access to Exchange Systems. Test feeds NYSE Arca, as applicable. Such access includes access to the customer gateways that stated, a User’s connection to the LCN provide Users an environment in which or IP network provides it access to the provide for order entry, order receipt (i.e. to conduct tests with non-live data, confirmation that an order has been Exchange’s trading and execution including testing for upcoming received), receipt of drop copies and trade systems and Exchange market data Exchange releases and product reporting (i.e. whether a trade is executed or products.9 More specifically, when a enhancements or the User’s own cancelled), as well as for sending information User purchases access to the LCN or IP software development. Such feeds are to shared data services for clearing and network, it will receive access to the solely used for certification and testing settlement. A User can change the access it trading and execution systems of the and do not carry live production data. receives at any time, subject to authorization by NYSE, NYSE MKT or NYSE Arca, as Exchange and its Affiliate SROs (the When access to certification and testing ‘‘Exchange Systems’’), provided the applicable. NYSE, NYSE MKT and NYSE feeds comes with the purchase of an Arca also offer access to Exchange Systems User has authorization from the Included Data Product from the to their members, such that a User does not Exchange or relevant Affiliate SRO. In provider of such data, the purchase of have to purchase access to the LCN or IP addition, when a User purchases access access to the IP network from the network to obtain access to Exchange to the LCN or IP network, it will receive Exchange 10 will provide Connectivity Systems. connectivity to certain market data to such certification and testing feeds. products (the ‘‘Included Data The Exchange provides Access and Connectivity to Included Data Products Products’’), provided the User has have Connectivity as conveniences to Users. The majority of the Included Data Use of Access or Connectivity is Products are proprietary feeds of the 6 See Original Co-location Filing, supra note 4, at completely voluntary, and several other Exchange and the Affiliate SROs.14 The 70050; and Securities Exchange Act Release Nos. access and connectivity options are 70173 (Aug. 13, 2013), 78 FR 50459 (Aug. 19, 2013) Included Data Products also include the (SR–NYSEArca–2013–80) (notice of filing and available to a User. As alternatives to data feeds disseminated by the immediate effectiveness of proposed rule change to using the Access and Connectivity Consolidated Tape Association (‘‘CTA’’) offer LCN 40 Gb connection) and 70887 (Nov. 15, provided by the Exchange, a User may (such data feeds, the ‘‘NMS feeds’’). 2013), 78 FR 69897 (Nov. 21, 2013) (SR–NYSEArca– access or connect to such services and 2013–123) (notice of filing and immediate CTA is responsible for disseminating effectiveness of proposed rule change to offer LCN products through another User or 10 Gb LX connection). through a connection to an Exchange 12 See note 9, supra. 7 See Securities Exchange Act Release Nos. 74219 access center outside the data center, 13 See Nasdaq Stock Market Rule 7034— (February 6, 2015), 80 FR 7899 (February 12, 2015) third party access center, or third party Connectivity to Nasdaq. (SR–NYSEArca–2015–03) (notice of filing and vendor. The User may make such 14 See Securities Exchange Act Release Nos. immediate effectiveness of proposed rule change to 44138 (December 7, 2001), 66 FR 64895 (December offer IP network connections as co-location connection through a third party 14, 2001) (SR–NYSE–2001–42) (establishing fees for services) (the ‘‘IP Network Release’’) and 76372 telecommunication provider, third party NYSE OpenBook); 50844 (December 13, 2004), 69 (Nov. 5, 2015), 80 FR 70039 (Nov. 12, 2015) (SR– wireless network, the Secure Financial FR 76806 (December 22, 2004) (SR–NYSE–2004–53) NYSEArca–2015–105) (notice of filing and (establishing fee for NYSE Alerts); 59290 (January immediate effectiveness of proposed rule change to Transaction Infrastructure (‘‘SFTI’’) 11 23, 2009) 74 FR 5707 (January 30, 2009) (SR–NYSE– offer 40 Gb IP network connection). network, or a combination thereof. 2009–05) (establishing pilot program for NYSE 8 See Original Co-location Filing, supra note 4, at Trades); 59543 (March 9, 2009), 74 FR 11159 70050; and Securities Exchange Act Release No. Access to Exchange Systems (March 16, 2009) (establishing fee for NYSE Order 77070 (February 5, 2016), 81 FR 7401 (February 11, As the Exchange has previously Imbalances); 62181 (May 26, 2010), 75 FR 31488 2016) (SR–NYSEArca–2015–102) (notice of filing stated, Users’ connections to the LCN or (June 3, 2010) (SR–NYSE–2010–30) (establishing and accelerated approval of proposed rule change NYSE BBO); 65669 (Nov. 2, 2011), 76 FR 69311 to offer Partial Cabinet Bundle Options). (Nov. 8, 2011) (SR–NYSEArca–2011–78) 9 See Original Co-location Filing, supra note 4, at 10 Access to certification and testing feeds is only (establishing the NYSE Arca Integrated Feed); 70049 (‘‘SFTI and LCN both provide Users with available over the IP network. A User that does not 73553 (Nov. 6, 2014), 79 FR 67491 (Nov. 13, 2014) access to the Exchange’s trading and execution have an IP network connection may obtain an IP (SR–NYSE–2014–40) (establishing the NYSE Best systems and to the Exchange’s proprietary market network circuit for purposes of testing and Quote & Trades Data Feed); 74128 (Jan. 23, 2015), data products.’’) and IP Network Release, supra certification for free for three months. See IP 80 FR 4951 (Jan. 29, 2015) (SR–NYSE–2015–03) note 7, at 7899 (‘‘Like the LCN, the IP network Network Release, supra note 7, at 7899. (establishing the NYSE Integrated Feed); 74127 (Jan. provides Users with access to the Exchange’s 11 A User that opted to obtain connectivity to 23, 2015), 80 FR 4956 (Jan. 29, 2015) (SR– trading and execution systems and to the Included Data Products through another User, a NYSEMKT–2015–06) (establishing the NYSE MKT Exchanges’ proprietary market data products.’’). telecommunication provider, third party wireless Integrated Feed); and 76968 (January 22, 2016), 81 The IP network was previously sometimes referred network, or the SFTI network would receive the FR 4689 (January 27, 2016) (establishing NYSE Arca to as SFTI. See id. corresponding testing and certification feeds. Order Imbalances).

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consolidated, real-time trade and quote access or order entry to the Exchange’s In addition to the above list of information in NYSE listed securities execution system. Included Data Products, the Exchange (Network A) and NYSE MKT, NYSE The Exchange offers connectivity to proposes to add the following language Arca and other regional exchanges’ Included Data Products in three forms: to the Fee Schedules: As a resilient feed, as ‘‘Feed A’’ or as listed securities (Network B) pursuant to When a User purchases access to the LCN ‘‘Feed B.’’ Resilient feeds include two a national market system plan.15 The or IP network it receives connectivity to any copies of the same feed, for redundancy NMS feeds include the Consolidated of the Included Data Products that it selects, purposes. Feed A and Feed B are Tape System and Consolidated Quote subject to any technical provisioning identical feeds.18 System data streams, as well as Options requirements and authorization from the For some Included Data Products, Price Reporting Authority feeds. provider of the data feed. Market data fees for connectivity to identical Feeds A and B the Included Data Products are charged by In order to connect to an Included is only available on the IP network. the provider of the data feed. A User can Data Product, a User enters into a The Included Data Products are as change the Included Data Products to which contract with the provider of such data, follows: it receives connectivity at any time, subject pursuant to which the User is charged to authorization from the provider of the data for the Included Data Product. After the NMS Feeds feed. The Exchange is not the exclusive User and data provider enter into the method to connect to the Included Data NYSE: contract and the Exchange receives NYSE Alerts Products. authorization from the provider of the NYSE BBO Fees for Access to the LCN and IP data feed, the Exchange provides the NYSE Integrated Feed Network User with connectivity to the Included NYSE OpenBook Data Product over the User’s LCN or IP NYSE Order Imbalances Users that connect to the LCN or IP NYSE Trades network port. The Exchange does not network pay an initial non-recurring charge the User separately for such NYSE Amex Options charge and a monthly recurring charge connectivity to the Included Data (‘‘MRC’’). A User that purchases five 10 Product, as it is included in the NYSE Arca: GB LCN Circuits receives the sixth 10 purchase of the access to the LCN or IP NYSE ArcaBook GB LCN Circuit without being subject to network. NYSE Arca BBO an additional MRC. NYSE Arca Integrated Feed The Included Data Products are NYSE Arca Order Imbalances The Exchange proposes to amend the available over both the LCN and IP NYSE Arca Trades MRCs for 10 and 40 Gb LCN circuits, 10 network.16 For a User that purchases NYSE Arca Options Gb LX LCN circuits, 10 and 40 Gb IP access to the LCN and IP network, the NYSE Best Quote and Trades network circuits, and the 10 Gb bundled (BQT) network access (together, the ‘‘Network Exchange works with such User to NYSE Bonds allocate its connectivity to Included NYSE MKT: Access Services’’). The Exchange has Data Products between its LCN and IP NYSE MKT Alerts not increased the MRCs for the Network network connections. Some Included NYSE MKT BBO Access Services since they were first Data Products require a network NYSE MKT Integrated Feed filed: The proposed change will be the connection with a minimum Gb size in NYSE MKT OpenBook first increase in such fees.19 17 NYSE MKT Order Imbalances order to accommodate the feed. The NYSE MKT Trades The proposed changes to the Network Included Data Products do not provide Access Service MRCs are as follows:

Amount of Type of service Description Amount of proposed current MRC MRC

LCN Access ...... 10 Gb Circuit ...... $12,000 $14,000 LCN Access ...... 10 Gb LX Circuit ...... 20,000 22,000 LCN Access ...... 40 Gb Circuit ...... 20,000 22,000 Bundled Network Access (2 LCN connections, 2 IP network connec- 10 Gb Bundle ...... 47,000 53,000 tions, and 2 optic connections to outside access center). IP Network Access ...... 10 Gb Circuit ...... 10,000 11,000

15 The Included Data Products do not include the using two different ports. A User may opt to filing and immediate effectiveness of proposed rule data feeds disseminated pursuant to the ‘‘Joint Self- connect both Feed A and Feed B to the same port, change adding MRC for 10 Gb circuit); 70286 (Aug. Regulatory Organization Plan Governing the the effect of which would be the same as if the User 29, 2013), 78 FR 54710 (Sept. 5, 2013) (SR– Collection, Consolidation and Dissemination of had connected to a resilient feed. The form of feed NYSEArca–2013–82) (notice of filing and Quotation and Transaction Information for Nasdaq- that a User selects may affect the connection it immediate effectiveness of proposed rule change to Listed Securities Traded on Exchanges on an requires. For example, a User connecting to the Unlisted Trading Privilege Basis’’ (the ‘‘UTP Plan’’). NYSE Arca Integrated Feed, NYSE Integrated Feed offer LCN 40 Gb connection); 70981 (Dec. 4, 2013), The UTP Plan is responsible for disseminating or NYSE MKT Integrated Feed would need at least 78 FR 74203 (Dec. 10, 2013) (SR–NYSEArca–2013– consolidated, real-time trade and quote information a 1 Gb IP network connection in order to connect 131) (notice of filing and immediate effectiveness of in Nasdaq Stock Exchange LLC listed securities to either Feed A or Feed B. To connect to a resilient proposed rule change amending price list in order (Network C). feed, the User would require an LCN or IP network to provide fees for LCN 10 Gb LX); 74219 (Feb. 6, 16 As noted above, certification and testing feeds connection of at least 10 Gb. 2015), 80 FR 7899 (Feb. 12, 2015) (SR–NYSEArca– included by a data provider with an Included Data 19 The 10 Gb LCN circuits and 10 Gb bundled 2015–03) (notice of filing and immediate Product are only available over the IP network. network access were first filed in 2010, and the 40 effectiveness of proposed rule change to offer 1 Gb 17 Because each Included Data Product uses part Gb LCN and 10 Gb LX LCN circuits were first filed and 10 Gb IP network connections); and 76372 of a User’s bandwidth, a User may wish to limit the in 2013. The 10 and 40 Gb IP network circuits were (Nov. 5, 2015), 80 FR 70039 (Nov. 12, 2015) (SR– number of Included Data Products that it receives first filed in 2015. See Original Co-location Filing, NYSEArca–2015–105) (notice of filing and to those that it requires. supra note 4, at 70050; Securities Exchange Act 18 A User that wants redundancy would connect Release Nos. 65238 (Aug. 31, 2011), 76 FR 55431 immediate effectiveness of proposed rule change to to both Feed A and Feed B or two resilient feeds, (Sept. 7, 2011) (SR–NYSEArca–2011–64) (notice of offer 40 Gb IP network connection).

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Amount of Type of service Description Amount of proposed current MRC MRC

IP Network Access ...... 40 Gb Circuit ...... 17,000 18,000

The initial non-recurring charge for 2. Statutory Basis systems.’’ 25 The expectation was that the Network Access Services would not normally Users ‘‘would expect reduced change, and Users that purchase five 10 The Exchange believes that the latencies in sending orders to the proposed rule change is consistent with Exchange and in receiving market data Gb LCN circuits will continue to receive 22 the sixth 10 Gb LCN Circuit without an Section 6(b) of the Act, in general, and from the Exchange.’’ 26 Accordingly, the furthers the objectives of Section 6(b)(5) Exchange believes the Access and additional MRC. The Exchange does not 23 propose to change the fees associated of the Act, in particular, because it is Connectivity is directly related to the with 1 Gb LCN and 1 Gb IP network designed to prevent fraudulent and purpose of co-location, and so revising access, 1 Gb bundled network access, or manipulative acts and practices, to the Fee Schedules to increase the the Partial Cabinet Solution bundles. promote just and equitable principles of description of such Access and trade, to foster cooperation and Connectivity would remove Currently, the Fee Schedules use both coordination with persons engaged in impediments to, and perfect the ‘‘Gb’’ and ‘‘GB’’ as an abbreviation for regulating, clearing, settling, processing mechanisms of, a free and open market gigabits. To make the usage consistent, information with respect to, and and a national market system and, in the Exchange proposes to make non- facilitating transactions in securities, to general protect investors and the public substantive changes to the Fee remove impediments to, and perfect the interest by increasing the transparency Schedules to replace ‘‘GB’’ with ‘‘Gb.’’ mechanisms of, a free and open market around Access and Connectivity. General and a national market system and, in Further, the Exchange believes that general, to protect investors and the revising the Fee Schedules to provide a As is the case with all Exchange co- public interest and because it is not more detailed description of the Access location arrangements, (i) neither a User designed to permit unfair and Connectivity Users receive with nor any of the User’s customers would discrimination between customers, their purchase of access to the LCN or be permitted to submit orders directly to issuers, brokers, or dealers. IP network would promote just and the Exchange unless such User or The Exchange believes that revising equitable principles of trade and remove customer is a member organization, a the Fee Schedules to provide a more impediments to, and perfect the Sponsored Participant or an agent detailed description of the Access and mechanisms of, a free and open market thereof (e.g., a service bureau providing Connectivity Users receive with their and a national market system as it order entry services); (ii) use of the co- purchase of access to the LCN or IP would make clear that all Users that location services proposed herein would network would remove impediments to, voluntarily select to access the LCN or be completely voluntary and available and perfect the mechanisms of, a free IP network would receive the same to all Users on a non-discriminatory and open market and a national market Access and Connectivity, and would not basis; 20 and (iii) a User would only system and, in general, protect investors be subject to a charge above and beyond incur one charge for the particular co- and the public interest because the the fee paid for the relevant LCN or IP location service described herein, proposed changes would make the network access. Users are not required regardless of whether the User connects descriptions of access to the LCN and IP to use any of their bandwidth to access only to the Exchange or to the Exchange network more accessible and Exchange Systems or connect to an and one or both of its Affiliate SROs.21 transparent, thereby providing market Included Data Product unless they wish The proposed change is not otherwise participants with clarity as to what to do so. Rather, a User only receives the intended to address any other issues connectivity is included in the purchase Access and Connectivity that it selects, relating to co-location services and/or of access to the LCN and IP network. and a User can change what Access or related fees, and the Exchange is not Including the more detailed description Connectivity it receives at any time, aware of any problems that Users would of Access and Connectivity in the Fee subject to authorization from the data have in complying with the proposed Schedules is consistent with Nasdaq’s provider or relevant Exchange or change. Rule 7034, which includes similar Affiliate SRO. information.24 The Exchange believes that the 20 As is currently the case, Users that receive co- Co-location was created to permit proposed changes remove impediments location services from the Exchange will not receive Users ‘‘to rent space on premises to, and perfect the mechanisms of, a free any means of access to the Exchange’s trading and controlled by the Exchange in order that and open market and a national market execution systems that is separate from, or superior system and, in general, protect investors to, that of other Users. In this regard, all orders sent they may locate their electronic servers to the Exchange enter the Exchange’s trading and in close physical proximity to the and the public interest because, by execution systems through the same order gateway, Exchange’s trading and execution offering Access and Connectivity, the regardless of whether the sender is co-located in the Exchange gives each User additional data center or not. In addition, co-located Users do options for addressing its access and not receive any market data or data service product 22 15 U.S.C. 78f(b). that is not available to all Users, although Users that 23 15 U.S.C. 78f(b)(5). connectivity needs, responding to User receive co-location services normally would expect 24 See Nasdaq Stock Market Rule 7034—Market demand for access and connectivity reduced latencies, as compared to Users that are not Data Connectivity (‘‘Pricing is for connectivity only options. Providing Access and co-located, in sending orders to, and receiving and is similar to connectivity fees imposed by other Connectivity helps each User tailor its market data from, the Exchange. vendors. The fees are generally based on the data center operations to the 21 See SR–NYSEArca–2013–80, supra note 5, at amount of bandwidth needed to accommodate a 50459. The Affiliate SROs have also submitted particular feed and Nasdaq is not the exclusive substantially the same proposed rule change to method to get market data connectivity. Market data 25 Original Co-Location Filing, supra note 4, at propose the changes described herein. See SR– fees are charged independently by the Nasdaq Stock 70049. NYSE–2016–92 and SR–NYSEMKT–2016–126. Market and other exchanges.’’). 26 Id.

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requirements of its business operations remove impediments to, and perfect the Users that voluntarily purchase an by allowing it to select the form and mechanisms of, a free and open market Network Access Service would be latency of access and connectivity that and a national market system and, in charged the same amount for the same best suits its needs. The Exchange general, protect investors and the public service. As is currently the case, the provides Access and Connectivity as interest because the proposed changes purchase of any colocation service conveniences to Users. Use of Access or would make the Fee Schedules more (including Network Access Services) Connectivity is completely voluntary, transparent, thereby providing market would be completely voluntary. and each User has several other access participants with additional clarity. Furthermore, each of the Network and connectivity options available to it. The Exchange also believes that the Access Services can be purchased As alternatives to using the Access and proposed rule changes are consistent independently of each other, and Connectivity provided by the Exchange, with Section 6(b)(4) of the Act,27 in independently of any other colocation a User may access or connect to such particular, because it provides for the services or products that a User may services and products through another equitable allocation of reasonable dues, choose. User or through a connection to an fees, and other charges among its The Exchange believes that the Exchange access center outside the data members, issuers and other persons proposed changes to the Network center, third party access center, or third using its facilities and does not unfairly Access Service MRCs are reasonable, party vendor. The User may make such discriminate between customers, equitably allocated and not unfairly connection through a third party issuers, brokers or dealers. discriminatory because the MRCs for the telecommunication provider, third party The Exchange believes that the Network Access Services have been the wireless network, the SFTI network, or proposed changes are consistent with same since they were first filed, with 28 a combination thereof. Section 6(b)(4) of the Act for multiple some MRCs dating to the inception of Similarly, the Exchange believes that reasons. The Exchange operates in a co-location in 2010.29 During the time the proposed fee changes remove highly competitive market in which since the MRCs for the Network Access impediments to, and perfect the exchanges offer co-location services as a Services were filed, however, the mechanisms of, a free and open market means to facilitate the trading and other Exchange has made numerous and a national market system and, in market activities of those market improvements to the network hardware general, protect investors and the public participants who believe that co- and technology infrastructure. The interest because, by offering the location enhances the efficiency of their Exchange has expanded the network Network Access Services, the Exchange operations. Accordingly, fees charged infrastructure to keep pace with the gives each User options for access to the for co-location services are constrained increased number of services available LCN and IP network, responding to User by the active competition for the order to Users, including the increasing demand for options. Users have the flow of, and other business from, such demand for bandwidth, and has market participants. If a particular convenience of choosing among the established additional administrative exchange charges excessive fees for co- array of different Network Access controls. The Exchange offers the location services, affected market Services available, as well as the 1 Gb Network Access Services as participants will opt to terminate their LCN and 1 Gb IP network access conveniences to Users, but in order to co-location arrangements with that options, 1 Gb bundled network access do so must provide, maintain and exchange, and adopt a possible range of and Partial Cabinet Solutions, helping operate the data center facility hardware alternative strategies, including placing them tailor their data center operations and technology infrastructure. The to the requirements of their business their servers in a physically proximate Exchange must handle the installation, operations by allowing them to select location outside the exchange’s data administration, monitoring, support and the capacity, form and latency of center (which could be a competing maintenance of the Network Access connectivity that best suits their needs. exchange), or pursuing strategies less The Exchange believes that the dependent upon the lower exchange-to- Services, including by responding to proposed fee changes remove participant latency associated with co- any production issues. The Exchange impediments to, and perfect the location. Accordingly, the exchange accordingly believes that the proposed mechanisms of, a free and open market charging excessive fees would stand to changes to the Network Access Service and a national market system and, in lose not only co-location revenues but MRCs will allow them to more general, protect investors and the public also the liquidity of the formerly co- accurately reflect the value of the interest because the Exchange provides located trading firms, which could have services provided. Network Access Services as additional follow-on effects on the The Exchange believes the proposed conveniences to Users. Use of Network market share and revenue of the affected fees are reasonable because they allow Access Services is completely exchange. the Exchange to defray or cover the voluntary, and each User has several The Exchange believes that the costs associated with offering the other options available to it. As proposed changes to the Network Network Access Services while alternatives to using the Network Access Access Service MRCs would provide for providing Users the benefit of choosing Services provided by the Exchange, a the equitable allocation of reasonable among the array of different Network User may access or connect to the dues, fees, and other charges among its Access Services available, as well as the Exchange through another User, as well members, issuers and other persons 1 Gb LCN and 1 Gb IP network access as through a connection to an Exchange using its facilities, and are not designed options, 1 Gb bundled network access access center outside the data center, to permit unfair discrimination between and Partial Cabinet Solutions, helping third party access center, or third party customers, issuers, brokers, or dealers, them tailor their data center operations vendor. The User may make such because the Network Access Services to the requirements of their business connection through a third party are available to all Users on an equal operations by allowing them to select telecommunication provider, third party basis (i.e., the same products and wireless network, the SFTI network, or services are available to all Users). All 29 See note 19, supra. The 10 LCN circuits and 1 Gb bundled network access were first filed in 2010, a combination thereof. and the 40 Gb LCN and 10 Gb LX LCN circuits were The Exchange believes that 27 15 U.S.C. 78f(b)(4). first filed in 2013. The 10 and 40 Gb IP network conforming the use of ‘‘Gb’’ would 28 15 U.S.C. 78f(b)(4). circuits were first filed in 2015.

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the capacity, form and latency of Included Data Products, which latency of access and connectivity that connectivity that best suits their needs. generally require a larger connection best suits their needs. In addition, the Exchange believes the than 1 Gb. The Exchange believes that revising proposed increases in the MRCs for the For the reasons above, the proposed the Fee Schedules to provide a more Network Access Services are reasonable changes do not unfairly discriminate detailed description of the Access and because they reflect the inclusion of between or among market participants Connectivity available to Users would additional data products in the list of that are otherwise capable of satisfying make such descriptions more accessible Included Data Products. More any applicable co-location fees, and transparent, thereby providing specifically, the Exchange has opted to requirements, terms and conditions market participants with clarity as to include connectivity to the three established from time to time by the what Access and Connectivity is integrated feeds and the NYSE BQT as Exchange. available to them and what the related Included Data Products. For these reasons, the Exchange costs are, thereby enhancing The Exchange believes that its believes that the proposal is consistent competition by ensuring that all Users proposed MRCs for the Network Access with the Act. have access to the same information Services are comparable to the fees regarding Access and Connectivity. Nasdaq charges its co-location B. Self-Regulatory Organization’s Similarly, the Exchange believes that customers. For instance, the ongoing Statement on Burden on Competition the proposed changes to the Network monthly fees for 40 Gb and 10 Gb fiber In accordance with Section 6(b)(8) of Access Service MRCs would not impose connections to Nasdaq are $20,000 and the Act,33 the Exchange believes that the any burden on competition that is not $10,000, respectively, compared to the proposed rule change will not impose necessary or appropriate in furtherance proposed $22,000 and $14,000 for the any burden on competition that is not of the purposes of the Act because, by 40 Gb and 10 Gb LCN circuits and necessary or appropriate in furtherance offering the Network Access Services, $18,000 and $11,000 for the 40 Gb and of the purposes of the Act because, in the Exchange gives each User options 10 Gb IP network circuits, for access to the LCN and IP network, 30 addition to the proposed services being respectively. completely voluntary, they are available responding to User demand for options. Excluding the Partial Cabinet to all Users on an equal basis (i.e. the All Users that voluntarily purchase Solutions with 10 Gb connections to the Network Access Services would be same products and services are available LCN and IP networks from the proposed charged the same amount for the same to all Users). The Exchange believes that changes to MRCs is a business decision services. As is currently the case, the the proposed changes are reasonable that the Exchange believes is reasonable, purchase of any colocation service and designed to be fair and equitable, equitably allocated and not unfairly (including network and capacities) and therefore, will not unduly burden discriminatory because the MRCs for the would be completely voluntary. any particular group of Users. Partial Cabinet Solutions have been in Furthermore, each of the Network place less than a year, and so the The Exchange believes that providing Access Services can be purchased Exchange believes they more accurately Users with Access and Connectivity independently of each other, and reflect the value of the services provided does not impose any burden on independently of any other colocation than those in place for longer periods.31 competition that is not necessary or services or products that a User may The Exchange believes that excluding appropriate in furtherance of the choose. the Partial Cabinet Solution MRCs from purposes of the Act because such The Exchange believes that the the present proposed changes would Access and Connectivity satisfies User proposed changes to the Network continue to make it more cost effective demand for access and connectivity Access Service MRCs would not impose for smaller Users, including those with options, and each User has several other any burden on competition that is not minimal power or cabinet space access and connectivity options necessary or appropriate in furtherance demands or those for which the costs available to it. As alternatives to using of the purposes of the Act because the attendant with having a dedicated the Access and Connectivity provided MRCs for the Network Access Services cabinet or greater network connection by the Exchange, a User may access or have been the same since they were first bandwidth are too burdensome, to connect to such services and products filed, with some MRCs dating to the utilize co-location.32 through another User or through a inception of co-location in 2010.34 Excluding the 1 Gb LCN, 1 Gb IP connection to an Exchange access center During the time since the MRCs for the network access and 1 Gb bundled outside the data center, third party Network Access Services were filed, network access options from the access center, or third party vendor. The however, the Exchange has made proposed changes to the MRC is a User may make such connection numerous improvements to the network business decision that the Exchange through a third party hardware and technology infrastructure. believes is reasonable, equitably telecommunication provider, third party The Exchange has expanded the allocated and not unfairly wireless network, the SFTI network, or network infrastructure to keep pace discriminatory, because the Exchange a combination thereof. Users that opt to with the increased number of services believes that the current MRCs for the use Access or Connectivity would not available to Users, including the services reflect the value of the services receive access or connectivity that is not increasing demand for bandwidth, and provided to the smallest connections. In available to all Users, as all market has established additional addition, Users with 1 Gb connections participants that contract with the administrative controls. The Exchange generally do not connect to the new relevant market or content provider may offers the Network Access Services as receive access or connectivity. In this conveniences to Users, but in order to 30 See Nasdaq Stock Market Rule 7034— way, the proposed changes would do so must provide, maintain and Connectivity to Nasdaq. enhance competition by helping Users operate the data center facility hardware 31 The order approving the proposed rule change tailor their Access and Connectivity to and technology infrastructure. The to provide that co-location services include the the needs of their business operations Exchange must handle the installation, Partial Cabinet Solution Bundles was issued in February, 2016. See Securities Exchange Act by allowing them to select the form and administration, monitoring, support and Release No. 77070, supra note 8. 32 See id, at 7402. 33 15 U.S.C. 78f(b)(8). 34 See note 19, supra.

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maintenance of the Network Access it appears to the Commission that such identifying information from Services, including by responding to action is necessary or appropriate in the submissions. You should submit only any production issues. The Exchange public interest, for the protection of information that you wish to make accordingly believes that the proposed investors, or otherwise in furtherance of available publicly. All submissions changes to the Network Access Service the purposes of the Act. If the should refer to File No. SR–NYSEArca– MRCs will allow them to more Commission takes such action, the 2016–172, and should be submitted on accurately reflect the value of the Commission shall institute proceedings or before January 31, 2017. 37 services provided. under Section 19(b)(2)(B) of the Act to For the Commission, by the Division of The Exchange operates in a highly determine whether the proposed rule Trading and Markets, pursuant to delegated competitive market in which exchanges change should be approved or authority.38 offer co-location services as a means to disapproved. Eduardo A. Aleman, facilitate the trading and other market activities of those market participants IV. Solicitation of Comments Assistant Secretary. who believe that co-location enhances Interested persons are invited to [FR Doc. 2017–00213 Filed 1–9–17; 8:45 am] the efficiency of their operations. submit written data, views, and BILLING CODE 8011–01–P Accordingly, fees charged for co- arguments concerning the foregoing, location services are constrained by the including whether the proposed rule active competition for the order flow of, change is consistent with the Act. SECURITIES AND EXCHANGE and other business from, such market Comments may be submitted by any of COMMISSION participants. If a particular exchange the following methods: charges excessive fees for co-location Electronic Comments [Release No. 34–79736; File No. SR–NYSE– 2016–44] services, affected market participants • will opt to terminate their co-location Use the Commission’s Internet arrangements with that exchange, and comment form (http://www.sec.gov/ Self-Regulatory Organizations; New adopt a possible range of alternative rules/sro.shtml); or York Stock Exchange LLC; Notice of • Send an email to rule-comments@ strategies, including placing their Designation of a Longer Period for sec.gov. Please include File No. SR– servers in a physically proximate Commission Action on Proceedings To NYSEArca–2016–172 on the subject location outside the exchange’s data Determine Whether To Approve or line. center (which could be a competing Disapprove a Proposed Rule Change, exchange), or pursuing strategies less Paper Comments as Modified by Amendments No. 1 and dependent upon the lower exchange-to- • 2, Allowing the Exchange To Trade Send paper comments in triplicate Pursuant to Unlisted Trading participant latency associated with co- to Secretary, Securities and Exchange location. Accordingly, the exchange Privileges any NMS Stock Listed on Commission, 100 F Street NE., Another National Securities Exchange; charging excessive fees would stand to Washington, DC 20549–1090. lose not only co-location revenues but Establishing Listing and Trading All submissions should refer to File No. Requirements for Exchange Traded also the liquidity of the formerly co- SR–NYSEArca–2016–172. This file located trading firms, which could have Products; and Adopting New Equity number should be included on the Trading Rules Relating To Trading additional follow-on effects on the subject line if email is used. To help the market share and revenue of the affected Halts of Securities Traded Pursuant to Commission process and review your UTP on the Pillar Platform exchange. For the reasons described comments more efficiently, please use above, the Exchange believes that the only one method. The Commission will January 4, 2017. proposed rule change reflects this post all comments on the Commission’s competitive environment. On June 30, 2016, New York Stock Internet Web site (http://www.sec.gov/ Exchange LLC (‘‘Exchange’’) filed with C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the the Securities and Exchange Statement on Comments on the submission, all subsequent Commission (‘‘Commission’’), pursuant Proposed Rule Change Received From amendments, all written statements to Section 19(b)(1) of the Securities Members, Participants, or Others with respect to the proposed rule Exchange Act of 1934 (‘‘Act’’) 1 and Rule No written comments were solicited change that are filed with the 19b–4 thereunder,2 a proposed rule or received with respect to the proposed Commission, and all written change to (1) allow the Exchange to rule change. communications relating to the trade pursuant to unlisted trading proposed rule change between the privileges (‘‘UTP’’) any NMS Stock III. Date of Effectiveness of the Commission and any person, other than listed on another national securities Proposed Rule Change and Timing for those that may be withheld from the exchange; (2) establish listing and Commission Action public in accordance with the trading requirements for exchange- The foregoing rule change is effective provisions of 5 U.S.C. 552, will be traded products (‘‘ETPs’’); and (3) adopt upon filing pursuant to Section available for Web site viewing and new equity trading rules relating to 19(b)(3)(A) 35 of the Act and printing in the Commission’s Public trading halts of securities traded subparagraph (f)(2) of Rule 19b–4 36 Reference Room, 100 F Street NE., pursuant to UTP on the Pillar platform. thereunder, because it establishes a due, Washington, DC 20549 on official The proposed rule change was fee, or other charge imposed by the business days between the hours of published for comment in the Federal Exchange. 10:00 a.m. and 3:00 p.m. Copies of such Register on July 14, 2016.3 On July 26, At any time within 60 days of the filing also will be available for 2016, the Exchange filed Amendment filing of such proposed rule change, the inspection and copying at the principal office of the Exchange. All comments Commission summarily may 38 17 CFR 200.30–3(a)(12). temporarily suspend such rule change if received will be posted without change; 1 15 U.S.C. 78s(b)(1). the Commission does not edit personal 2 17 CFR 240.19b–4. 35 15 U.S.C. 78s(b)(3)(A). 3 See Securities Exchange Act Release No. 78263 36 17 CFR 240.19b–4(f)(2). 37 15 U.S.C. 78s(b)(2)(B). (July 8, 2016), 81 FR 45580 (July 14, 2016).

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No. 1 to the proposed rule change.4 On received no comments on the proposed SECURITIES AND EXCHANGE August 23, 2016, pursuant to Section rule change. COMMISSION 5 19(b)(2) of the Act, the Commission Section 19(b)(2) of the Act 10 provides designated a longer period within which [Release No. 34–79738; File No. SR– that, after initiating disapproval NYSEMKT–2016–103] to approve the proposed rule change, proceedings, the Commission shall issue disapprove the proposed rule change, or an order approving or disapproving the Self-Regulatory Organizations; NYSE institute proceedings to determine proposed rule change not later than 180 MKT LLC; Notice of Designation of a whether to disapprove the proposed Longer Period for Commission Action rule change.6 On August 26, 2016, the days after the date of publication of notice of filing of the proposed rule on a Proposed Rule Change Allowing Exchange filed Amendment No. 2 to the the Exchange To Trade Pursuant to 7 change. The Commission may extend proposed rule change. On October 12, Unlisted Trading Privileges for Any the period for issuing an order 2016, the Commission instituted NMS Stock Listed on Another National approving or disapproving the proposed proceedings under Section 19(b)(2)(B) of Securities Exchange; Establishing 8 the Act to determine whether to rule change, however, by not more than Rules for the Trading Pursuant to UTP approve or disapprove the proposed 60 days if the Commission determines of Exchange-Traded Products; and 9 rule change. The Commission has that a longer period is appropriate and Adopting New Equity Trading Rules publishes the reasons for such Relating to Trading Halts of Securities 4 In Amendment No. 1, the Exchange: (1) Added determination. The proposed rule Traded Pursuant to UTP on the Pillar a bullet point stating that ‘‘[b]ecause the Exchange’s change was published for notice and rules regarding the production of books and records Platform are described in Rule 440, the Exchange is comment in the Federal Register on July proposing to refer to Rule 440 in its proposed rules 14, 2016. January 10, 2017 is 180 days January 4, 2017. wherever NYSE Arca Equities Rule 4.4 is referenced from that date, and March 11, 2017 is On November 17, 2016, NYSE MKT in the rules of NYSE Arca Equities proposed in this LLC (‘‘Exchange’’) filed with the filing;’’ (2) deleted the sentence stating, ‘‘If an 240 days from that date. Securities and Exchange Commission exchange has approved trading rules, procedures The Commission finds it appropriate and listing standards in place that have been (‘‘Commission’’), pursuant to Section approved by the Commission for the product class to designate a longer period within 19(b)(1) of the Securities Exchange Act that would include a new derivative securities which to issue an order approving or of 1934 (‘‘Act’’) 1 and Rule 19b–4 product, the listing and trading of such ‘new disapproving the proposed rule change 2 derivative securities product,’ does not require a thereunder, a proposed rule change to proposed rule change under Section 19b–4 of the so that it has sufficient time to consider (1) allow the Exchange to trade pursuant Act’’ and made conforming changes to the rest of this proposed rule change. Accordingly, to unlisted trading privileges (‘‘UTP’’) that paragraph; (3) deleted the bullet point that the Commission, pursuant to Section for any NMS Stock listed on another stated, ‘‘Correction of a typographical error in NYSE 11 Arca Equities Rule 8.400(a) so that proposed Rule 19(b)(2) of the Act, designates March national securities exchange; (2) 8.400(a) reads ‘as such terms are used in Rule 11, 2017 as the date by which the establish rules for the trading pursuant 5.1(b)’ in the last sentence, rather than ‘as such Commission shall either approve or to UTP of exchange-traded products; terms are used in the Rule 5.1(b)’ as is currently drafted in NYSE Arca Equities Rule 8.400(a)’’; and disapprove the proposed rule change and (3) adopt new equity trading rules (4) noted that ‘‘for new ETPs to be traded pursuant (File No. SR–NYSE–2016–44). relating to trading halts of securities to UTP, which are listed and traded on another For the Commission, by the Division of traded pursuant to UTP on the Pillar exchange pursuant to Rule 19b–4(e), the Exchange platform. The proposed rule change was would be required to file Form 19b–4(e) with the Trading and Markets, pursuant to delegated Commission in accordance with the requirements authority.12 published for comment in the Federal therein.’’ Amendment No. 1 is available at: https:// Register on December 1, 2016.3 The www.sec.gov/comments/sr-nyse-2016-44/ Eduardo A. Aleman, Commission has received no comments nyse201644-1.pdf. Because Amendment No. 1 to the Assistant Secretary. on the proposed rule change. proposed rule change does not materially alter the [FR Doc. 2017–00220 Filed 1–9–17; 8:45 am] 4 substance of the proposed rule change or raise Section 19(b)(2) of the Act provides unique or novel regulatory issues, Amendment No. BILLING CODE 8011–01–P that, within 45 days of the publication 1 is not subject to notice and comment. of notice of the filing of a proposed rule 5 15 U.S.C. 78s(b)(2). change, or within such longer period up 6 See Securities Exchange Act Release No. 78641, to 90 days as the Commission may 81 FR 59259 (Aug. 29, 2016). 7 In Amendment No. 2, the Exchange: (1) Added designate if it finds such longer period the clause ‘‘pursuant to UTP’’ at the end of the to be appropriate and publishes its sentence that states, ‘‘The Exchange would have to reasons for so finding or as to which the file a Form 19b–4(e) with the Commission to trade self-regulatory organization consents, these ETPs;’’ (2) in the first footnote that follows that sentence, deleted the clause ‘‘pursuant to Rule the Commission shall either approve the 19b–4(e);’’ and (3) at the end of that same footnote, proposed rule change, disapprove the added the reference, ‘‘See proposed Rule 5.1(a)(2); proposed rule change, or institute supra note 19 and accompanying text.’’ Amendment proceedings to determine whether the No. 2 is available at: https://www.sec.gov/ comments/sr-nyse-2016-44/nyse201644-2.pdf. proposed rule change should be Because Amendment No. 2 to the proposed rule disapproved. The 45th day after change does not materially alter the substance of publication of the notice for this the proposed rule change or raise unique or novel regulatory issues, Amendment No. 2 is not subject proposed rule change is January 15, to notice and comment. 2017. The Commission is extending this 8 15 U.S.C. 78s(b)(2)(B). 45-day time period. 9 See Securities Exchange Act Release No. 79085, The Commission finds that it is 81 FR 71771 (Oct. 18, 2016). Specifically, the appropriate to designate a longer period Commission instituted proceedings to allow for additional analysis of the proposed rule change’s of trade,’’ and ‘‘to protect investors and the public 1 15 U.S.C. 78s(b)(1). consistency with Section 6(b)(5) of the Act, which interest.’’ See id. at 71772. requires, among other things, that the rules of a 2 17 CFR 240.19b–4. 10 15 U.S.C. 78s(b)(2). national securities exchange be ‘‘designed to 3 See Securities Exchange Act Release No. 79400 prevent fraudulent and manipulative acts and 11 Id. (Nov. 25, 2016), 81 FR 86750. practices, to promote just and equitable principles 12 17 CFR 200.30–3(a)(57). 4 15 U.S.C. 78s(b)(2).

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within which to take action on the in the Office of the Legal Adviser, U.S. deadline for formal oral presentations proposed rule change so that it has Department of State (telephone: 202– will be granted as time permits and sufficient time to consider the proposed 632–6471; email: section2459@ assigned based on the order the requests rule change. Accordingly, the state.gov). The mailing address is U.S. are received. All formal oral public Commission, pursuant to Section Department of State, L/PD, SA–5, Suite comments should also be submitted in 19(b)(2) of the Act,5 designates March 1, 5H03, Washington, DC 20522–0505. writing to [email protected] by 2017, as the date by which the February 1, 2017. Mark Taplin, Commission should either approve or Written Comments/Statements: In lieu disapprove or institute proceedings to Principal Deputy Assistant Secretary, Bureau of, or in addition to, participating in the of Educational and Cultural Affairs, public meeting, interested parties may determine whether to disapprove the Department of State. proposed rule change (File Number SR– submit written comments to NYSEMKT–2016–103). [FR Doc. 2017–00189 Filed 1–9–17; 8:45 am] [email protected] by February 1, BILLING CODE 4710–05–P 2017. For the Commission, by the Division of Meeting Accommodations: The public Trading and Markets, pursuant to delegated 6 meeting is physically accessible to authority. DEPARTMENT OF STATE Eduardo A. Aleman, people with disabilities. Request for sign language interpretation or other Assistant Secretary. [Public Notice 9845] auxiliary aids should be directed to [FR Doc. 2017–00222 Filed 1–9–17; 8:45 am] Notice of a Public Meeting and Adam Guarneri at TIPOutreach@ BILLING CODE 8011–01–P Request for Comments on Funding state.gov by January 18, 2017. Initiatives To End Modern Slavery FOR FURTHER INFORMATION CONTACT: Adam Guarneri, Office to Monitor and DEPARTMENT OF STATE SUMMARY: The Department of State is issuing this notice to announce a public Combat Trafficking in Persons, U.S. [Public Notice: 9840] meeting and request for comment on the Department of State, at TIPOutreach@ most effective approaches for awarding state.gov for clarification of content, Notice of Determinations; Culturally public meeting information, or funds for the purpose of reducing the Significant Objects Imported for submission of comment. prevalence of modern slavery globally. Exhibition Determinations: ‘‘Seurat’s The award of these funds will respond SUPPLEMENTARY INFORMATION: Section Circus Sideshow’’ Exhibition to the requirements in section 7060(f) of 7060(f) of the Department of State, SUMMARY: Notice is hereby given of the the Department of State, Foreign Foreign Operations, and Related following determinations: Pursuant to Operations, and Related Programs Programs Appropriations Act, 2016 the authority vested in me by the Act of Appropriations Act, 2016 (Div. K, Pub. (Div. K, Pub. L. 114–13) appropriated October 19, 1965 (79 Stat. 985; 22 U.S.C. L. 114–113) and section 1298 of the $25 million in funds to ‘‘to be awarded 2459), E.O. 12047 of March 27, 1978, the National Defense Authorization Act for on an open and competitive basis, to Foreign Affairs Reform and Fiscal Year 2017 (S. 2943). Interested reduce the prevalence of modern slavery globally.’’ The National Defense Restructuring Act of 1998 (112 Stat. parties may offer oral and/or written Authorization Act (NDAA) for Fiscal 2681, et seq.; 22 U.S.C. 6501 note, et comments at a public meeting to be held Year 2017 (S. 2943) authorized the seq.), Delegation of Authority No. 234 of on January 25, 2017. Department to ‘‘to provide support for October 1, 1999, Delegation of Authority DATES AND LOCATION: A public meeting transformational programs and projects No. 236–3 of August 28, 2000 (and, as will be conducted on January 25, 2017, that seek to achieve a measurable and appropriate, Delegation of Authority No. at 10:00 a.m. EST on the 10th floor in substantial reduction of the prevalence 257 of April 15, 2003), I hereby Room 10000 of the Department of State of modern slavery in targeted determine that the objects to be Annex located at 1800 G Street NW., populations within partner countries (or included in the exhibition ‘‘Seurat’s Washington DC, 20520. jurisdictions thereof).’’ Circus Sideshow,’’ imported from Pre-Registration: The public is asked The State Department seeks public abroad for temporary exhibition within to pre-register by January 18, due to comment on the most effective the United States, are of cultural security and seating limitations. To pre- approaches for awarding funds to significance. The objects are imported register, please send an email to Adam reduce the prevalence of modern pursuant to loan agreements with the Guarneri of the State Department at slavery. The input will be considered in foreign owners or custodians. I also [email protected]. The pre- the solicitation and selection of determine that the exhibition or display registration request should include the proposals for award of these funds and of the exhibit objects at The first and last name of the attendee(s), in the management of these funds in the Metropolitan Museum of Art, New York, and, if applicable, company or future. New York, from on or about February organization name. Registration check- The Department especially welcomes 17, 2017, until on or about May 29, in will begin at 9:00 a.m. eastern time public comment on the following issues: 2017, and at possible additional and the meeting will start at 10:00 a.m. 1. Focus of program. What areas of exhibitions or venues yet to be and conclude by 12:00 p.m. Attendees program funding would have the determined, is in the national interest. must be prepared to present a form of greatest impact in reducing the I have ordered that Public Notice of government-issued photo identification. prevalence of modern slavery globally? these Determinations be published in Oral Public Comments: Parties 2. Assistance Coordination. What the Federal Register. wishing to make formal oral steps could the Department take to FOR FURTHER INFORMATION CONTACT: For presentations at the public meeting ensure this funding complements further information, including a list of must contact Adam Guarneri by email at existing efforts to combat human the imported objects, contact the Office [email protected] no later than trafficking globally? of Public Diplomacy and Public Affairs January 18, 2017, to be placed on the 3. What other factors/issues should public speaker list. Time allocations for the Department consider in the 5 Id. oral presentations will be limited to five development and management of this 6 17 CFR 200.30–3(a)(31). minutes. Note: Requests made after the award/solicitation?

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Dated: January 4, 2017. DEPARTMENT OF STATE October 19, 1965 (79 Stat. 985; 22 U.S.C. Susan Coppedge, 2459), E.O. 12047 of March 27, 1978, the [Public Notice 9844] Ambassador-at-Large to Monitor and Combat Foreign Affairs Reform and Trafficking in Persons, U.S. Department of In the Matter of the Designation of Restructuring Act of 1998 (112 Stat. State. Ibrahim al-Banna Also Known as 2681, et seq.; 22 U.S.C. 6501 note, et [FR Doc. 2017–00274 Filed 1–9–17; 8:45 am] Shaykh Ibrahim Muhammad Salih al- seq.), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority BILLING CODE 4710–17–P Banna Also Known as Ibrahim Muhammad Salih al-Banna Also No. 236–3 of August 28, 2000 (and, as Known as Ibrahim Muhamad Salih al- appropriate, Delegation of Authority No. DEPARTMENT OF STATE Banna Also Known as Abu Ayman al- 257 of April 15, 2003), I hereby Masri as a Specially Designated Global determine that the objects to be included in the exhibition ‘‘Abstract [Public Notice 9843] Terrorist Pursuant to Section l(b) of E.O. 13224, as Amended Experiments: Latin American Art on In the Matter of the Designation of Paper after 1950,’’ imported from abroad Acting under the authority of and in for temporary exhibition within the Hamza bin Laden as a Specially accordance with section 1(b) of E.O. United States, are of cultural Designated Global Terrorist Pursuant 13224 of September 23, 2001, as significance. The objects are imported to Section 1(b) of E.O. 1 3224, as amended by E.O. 13268 of July 2, 2002, pursuant to loan agreements with the Amended and E.O. 13284 of January 23, 2003, I foreign owners or custodians. I also hereby determine that the entity known determine that the exhibition or display Acting under the authority of and in as Ibrahim al-Banna, also known as of the exhibit objects at The Art Institute accordance with section I(b) of E.O. Shaykh Ibrahim Muhammad Salih al- of Chicago, Chicago, Illinois, from on or 13224 of September 23, 2001, as Banna, also known as Ibrahim about February 19, 2017, until on or amended by E.O. 13268 of July 2, 2002, Muhammad Salih al- Banna, also known about May 7, 2017, and at possible and E.O. 13284 of January 23, 2003, I as Ibrahim Muhamad Salih al-Banna, additional exhibitions or venues yet to hereby determine that the entity known also known as Abu Ayman al-Masri be determined, is in the national as Hamza bin Laden committed, or committed, or poses a significant risk of interest. I have ordered that Public poses a significant risk of committing, committing, acts of terrorism that Notice of these Determinations be acts of terrorism that threaten the threaten the security of U.S. nationals or published in the Federal Register. security of U.S. nationals or the national the national security, foreign policy, or FOR FURTHER INFORMATION CONTACT: For security, foreign policy, or economy of economy of the United States. further information, including a list of the United States. Consistent with the determination in the imported objects, contact the Office Consistent with the determination in section 10 of E.O. 13224 that ‘‘prior of Public Diplomacy and Public Affairs notice to persons determined to be section 10 of E.O. 13224 that ‘‘prior in the Office of the Legal Adviser, U.S. subject to the Order who might have a notice to persons determined to be Department of State (telephone: 202– constitutional presence in the United subject to the Order who might have a 632–6471; email: section2459@ States would render ineffectual the state.gov). The mailing address is U.S. constitutional presence in the United blocking and other measures authorized States would render ineffectual the Department of State, L/PD, SA–5, Suite in the Order because of the ability to 5H03, Washington, DC 20522–0505. blocking and other measures authorized transfer funds instantaneously,’’ I in the Order because of the ability to determine that no prior notice needs to Mark Taplin, transfer funds instantaneously,’’ I be provided to any person subject to this Principal Deputy Assistant Secretary, Bureau determine that no prior notice needs to determination who might have a of Educational and Cultural Affairs, be provided to any person subject to this constitutional presence in the United Department of State. determination who might have a States, because to do so would render [FR Doc. 2017–00188 Filed 1–9–17; 8:45 am] constitutional presence in the United ineffectual the measures authorized in BILLING CODE 4710–05–P States, because to do so would render the Order. ineffectual the measures authorized in This notice shall be published in the DEPARTMENT OF STATE the Order. Federal Register. This notice shall be published in the Dated: December 15, 2016. [Public Notice: 9842] Federal Register. John F. Kerry, Notice of Determinations; Culturally Dated: December 8, 2016. Secretary of State. Significant Objects Imported for John F. Kerry, [FR Doc. 2017–00273 Filed 1–9–17; 8:45 am] Exhibition Determinations: ‘‘Alfred BILLING CODE 4710–AD–P Secretary of State. Sisley (1839–1899): Impressionist Master’’ Exhibition [FR Doc. 2017–00272 Filed 1–9–17; 8:45 am] BILLING CODE 4710–AD–P DEPARTMENT OF STATE SUMMARY: Notice is hereby given of the following determinations: Pursuant to [Public Notice: 9839] the authority vested in me by the Act of Notice of Determinations: Culturally October 19, 1965 (79 Stat. 985; 22 U.S.C. Significant Objects Imported for 2459), E.O. 12047 of March 27, 1978, the Exhibition Determinations: ‘‘Abstract Foreign Affairs Reform and Experiments: Latin American Art on Restructuring Act of 1998 (112 Stat. Paper after 1950’’ Exhibition 2681, et seq.; 22 U.S.C. 6501 note, et seq.), Delegation of Authority No. 234 of SUMMARY: Notice is hereby given of the October 1, 1999, Delegation of Authority following determinations: Pursuant to No. 236–3 of August 28, 2000 (and, as the authority vested in me by the Act of appropriate, Delegation of Authority No.

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257 of April 15, 2003), I hereby Hillwood Parkway, Fort Worth, Texas DATES: The meeting will be held January determine that the objects to be 76177. 31, 2017 09:00 a.m.—04:00 p.m. PST. included in the exhibition ‘‘Alfred In addition, one copy of any ADDRESSES: The meeting will be held at: Sisley (1839–1899): Impressionist comments submitted to the FAA must University of Nevada, 1664 N Virginia Master,’’ imported from abroad for be mailed or delivered to Mr. Robert St., Reno, NV 89557. temporary exhibition within the United Lee, Director of Aviation, at the FOR FURTHER INFORMATION CONTACT: Al States, are of cultural significance. The following address: 700 Vanderberg Rd, Secen at [email protected] or 202–330– objects are imported pursuant to loan Hondo, Texas 78232. 0647, or The RTCA Secretariat, 1150 agreements with the foreign owners or FOR FURTHER INFORMATION CONTACT: Mr. 18th Street NW., Suite 910, Washington, custodians. I also determine that the Anthony Mekhail, Program Manager, DC, 20036, or by telephone at (202) 833– exhibition or display of the exhibit Federal Aviation Administration, Texas 9339, fax at (202) 833–9434, or Web site objects at The Bruce Museum, Airports Development Office, ASW– at http://www.rtca.org. Greenwich, Connecticut, from on or 650, 10101 Hillwood Parkway, Fort SUPPLEMENTARY INFORMATION: Pursuant about January 21, 2017, until on or Worth, TX 76177, Telephone: (817) to section 10(a) (2) of the Federal about May 21, 2017, and at possible 222–5663, email: Anthony.Mekhail@ Advisory Committee Act (Pub. L. 92– additional exhibitions or venues yet to faa.gov. 463, 5 U.S.C., App.), notice is hereby be determined, is in the national The request to release property may given for a meeting of the RTCA Drone interest. I have ordered that Public be reviewed in person at this same Advisory Committee Public Meeting. Notice of these Determinations be location. The agenda will include the following: published in the Federal Register. SUPPLEMENTARY INFORMATION: The FAA Tuesday, January 31, 2017 FOR FURTHER INFORMATION CONTACT: For invites public comment on the request further information, including a list of • Welcome and Introductions to release property at the South Texas • the imported objects, contact the Office Review/Approval of Minutes from Regional Airport at Hondo under the of Public Diplomacy and Public Affairs September Meeting provisions of the AIR 21. • in the Office of the Legal Adviser, U.S. Report out of DAC Subcommittee (SC) The following is a brief overview of Department of State (telephone: 202– Task Group (TG) 1 (Roles and the request: 632–6471; email: section2459@ Responsibilities) City of Hondo requests the release of • state.gov). The mailing address is U.S. Report out of DAC SC Task Group 2 63.033 acres of non-aeronautical airport Department of State, L/PD, SA–5, Suite (Access to Airspace) property. The property is located on the • Discussion of Recommendations 5H03, Washington, DC 20522–0505. west side of the airport, north of Zerr Æ Task Group 1 Mark Taplin, Road. The property to be released will Æ Task Group 2 • Principal Deputy Assistant Secretary, Bureau be sold and revenues shall be used to Discussion of DAC SC Task Group 3 of Educational and Cultural Affairs, enhance development, operations and Formation (Budget & Cost) • Department of State. maintenance of the airport. Any person DAC Develop/Refine Task Statements [FR Doc. 2017–00190 Filed 1–9–17; 8:45 am] may inspect the request in person at the for Task Groups • New Assignments/Agenda Topics FAA office listed above under FOR BILLING CODE 4710–05–P • Adjourn FURTHER INFORMATION CONTACT. In addition, any person may, upon Attendance is open to the interested public but limited to space availability. DEPARTMENT OF TRANSPORTATION request, inspect the application, notice and other documents relevant to the With the approval of the chairman, Federal Aviation Administration application in person at the South Texas members of the public may present oral Regional Airport at Hondo, telephone statements at the meeting. Persons Notice of Intent To Rule on Request To number (830) 426–6989. wishing to present statements or obtain Release Airport Property at the South information should contact the person Texas Regional Airport at Hondo in Issued in Fort Worth, Texas on December listed in the FOR FURTHER INFORMATION 21, 2016. Hondo, Texas CONTACT section. Members of the public Ignacio Flores, may present a written statement to the AGENCY: Federal Aviation Director, Airports Division. committee at any time. Administration (FAA), DOT. [FR Doc. 2017–00185 Filed 1–9–17; 8:45 am] Issued in Washington, DC, on January 5, ACTION: Notice of request to release BILLING CODE P 2017. airport property. Christopher W. Harm, SUMMARY: The FAA proposes to rule and Unmanned Aircraft Systems Stakeholder and DEPARTMENT OF TRANSPORTATION Committee Liaison, AUS–10, Unmanned invite public comment on the release of Aircraft Systems Integration Office, Federal land at the South Texas Regional Federal Aviation Administration Aviation Administration. Airport at Hondo under the provisions [FR Doc. 2017–00291 Filed 1–9–17; 8:45 am] of Section 125 of the Wendell H. Ford RTCA Drone Advisory Committee BILLING CODE 4910–13–P Aviation Investment Reform Act for the (DAC) Public Meeting 21st Century (AIR 21). AGENCY: Federal Aviation DATES: Comments must be received on Administration (FAA), U.S. Department DEPARTMENT OF TRANSPORTATION or before February 9, 2017. of Transportation (DOT). Federal Aviation Administration ADDRESSES: Comments on this ACTION: RTCA Drone Advisory application may be mailed or delivered Committee Public Meeting. Thirty First RTCA 216 Aeronautical to the FAA at the following address: Mr. Systems Security Plenary Ben Guttery, Manager, Federal Aviation SUMMARY: The FAA is issuing this notice Administration, Southwest Region, to advise the public of a meeting of AGENCY: Federal Aviation Airports Division, Texas Airports RTCA Drone Advisory Committee Administration (FAA), U.S. Department District Office, ASW–650, 10101 Public Meeting. of Transportation (DOT).

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ACTION: Thirty First RTCA 216 With the approval of the chairman, Avenue SE., Washington, DC, between 9 Aeronautical Systems Security Plenary. members of the public may present oral a.m. and 5 p.m., Monday through statements at the meeting. Persons Friday, except Federal holidays. SUMMARY: The FAA is issuing this notice wishing to present statements or obtain Privacy: We will post all comments to advise the public of a meeting of information should contact the person we receive, without change, to http:// Thirty First RTCA 216 Aeronautical listed in the FOR FURTHER INFORMATION www.regulations.gov, including any Systems Security Plenary. CONTACT section. Members of the public personal information you provide. DATES: The meeting will be held may present a written statement to the Using the search function of our docket February 06–10, 2017 09:00 a.m.–05:00 committee at any time. Web site, anyone can find and read the p.m. PLEASE NOTE: All attendees must Issued in Washington, DC on January 4, comments received into any of our pre-register by contacting Karan 2017. dockets, including the name of the Hofmann at [email protected] or 202– Mohannad Dawoud, individual sending the comment (or 330–0680. signing the comment for an association, Management & Program Analyst, Partnership ADDRESSES: The meeting will be held at: Contracts Branch, ANG–A17, NextGen, business, labor union, etc.). You may Honeywell, 21111 N. 19th Ave, Procurement Services Division, Federal review DOT’s complete Privacy Act Phoenix, AZ 85027. Aviation Administration. Statement in the Federal Register FOR FURTHER INFORMATION CONTACT: [FR Doc. 2017–00180 Filed 1–9–17; 8:45 am] published on April 11, 2000 (65 FR Karan Hofmann at [email protected] BILLING CODE 4910–13–P 19477–78). or 202–330–0680, or The RTCA Docket: To read background Secretariat, 1150 18th Street NW., Suite documents or comments received, go to 910, Washington, DC 20036, or by DEPARTMENT OF TRANSPORTATION http://www.regulations.gov at any time telephone at (202) 833–9339, fax at (202) or to the Docket Management Facility in 833–9434, or Web site at http:// Federal Aviation Administration Room W12–140 of the West Building www.rtca.org. Ground Floor at 1200 New Jersey [Summary Notice No. PE–2016–111] Avenue SE., Washington, DC, between SUPPLEMENTARY INFORMATION: Pursuant 9 a.m. and 5 p.m., Monday through to section 10(a)(2) of the Federal Petition for Exemption; Summary of Petition Received Friday, except Federal holidays. Advisory Committee Act (Pub. L. 92– FOR FURTHER INFORMATION CONTACT: Nia 463, 5 U.S.C., App.), notice is hereby AGENCY: Federal Aviation Daniels, (202) 267–7626, 800 given for a meeting of the Thirty First Administration (FAA), DOT. Independence Avenue SW., RTCA 216 Aeronautical Systems ACTION: Notice of petition for exemption Washington, DC 20591. Security Plenary. The agenda will received. This notice is published pursuant to include the following: 14 CFR 11.85. Monday, February 6, 2017—9:00 a.m.– SUMMARY: This notice contains a 5:00 p.m. Issued in Washington, DC, on January 4, summary of a petition seeking relief 2017. 1. Welcome and Administrative from specified requirements of 14 CFR. Lirio Liu, Remarks The purpose of this notice is to improve Director, Office of Rulemaking. 2. Introductions the public’s awareness of, and 3. Agenda Review participation in, this aspect of FAA’s Petition for Exemption 4. Meeting-Minutes Review regulatory activities. Neither publication 5. Review Joint Action List Docket No.: FAA–2016–9273. of this notice nor the inclusion or Petitioner: Pinellas County Sherriff’s 6. Review White Papers (Status and omission of information in the summary intent of those planned and Office. is intended to affect the legal status of Section of 14 CFR Affected: 91.146(c) produced; Gain common the petition or its final disposition. (1) and (d). understanding of intent; Resolve DATE: Comments on this petition must Description of Relief Sought: Pinellas differences) identify the petition docket number and County Sherriff’s Office (PCSO) is 7. Schedule Update seeking an exemption from the limits of 8. Date, Place and Time of Next must be received on or before January 30, 2017. 14 CFR on charitable/non-profit/ Meeting community events to implement a 9. New Business ADDRESSES: You may send comments citizen observer program that would 10. Adjourn Plenary identified by Docket Number FAA– allow PCSO to exceed the four Tuesday, February 7, 2017—9:00 a.m.– 2016–9273 using any of the following charitable flights per year limit. 5:00 p.m. methods: Continuation of Plenary or Working • Government-wide rulemaking Web [FR Doc. 2017–00290 Filed 1–9–17; 8:45 am] Group Sessions site: Go to http://www.regulations.gov BILLING CODE 4910–13–P Wednesday, February 8, 2017—9:00 and follow the instructions for sending a.m.–5:00 p.m. your comments electronically. Continuation of Plenary or Working • Mail: Send comments to the Docket DEPARTMENT OF TRANSPORTATION Management Facility; U.S. Department Group Sessions Federal Aviation Administration Thursday, February 9, 2017—9:00 a.m.– of Transportation, 1200 New Jersey 5:00 p.m. Avenue SE., West Building Ground [Summary Notice No. PE–2016–121] Continuation of Plenary or Working Floor, Room W12–140, Washington, DC Group Sessions 20590. Petition for Exemption; Summary of Friday, February 10, 2017—9:00 a.m.– • Fax: Fax comments to the Docket Petition Received; AgrowSoft, LLC 12:00 p.m. Management Facility at 202–493–2251. AGENCY: • Federal Aviation Continuation of Plenary or Working Hand Delivery: Bring comments to Administration (FAA), DOT. Group Sessions the Docket Management Facility in ACTION: Notice of petition for exemption Attendance is open to the interested Room W12–140 of the West Building received. public but limited to space availability. Ground Floor at 1200 New Jersey

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SUMMARY: This notice contains a Issued in Washington, DC, on Decemebr of less than 150 days for filing such summary of a petition seeking relief 23, 2016. claim, then that shorter time period still from specified requirements of 14 CFR. Dale Bouffiou, applies. The purpose of this notice is to improve Deputy Director, Office of Rulemaking. FOR FURTHER INFORMATION CONTACT: For the public’s awareness of, and Petition for Exemption FHWA: Clarence W. Coleman, P. E., participation in, this aspect of FAA’s Director of Preconstruction and Docket No.: FAA–2016–9427. regulatory activities. Neither publication Environment, Federal Highway Petitioner: AgrowSoft, LLC. of this notice nor the inclusion or Administration, North Carolina Section of 14 CFR Affected: 107.36; omission of information in the summary Division, 310 New Bern Avenue, Suite 137.19(c), (d), (e)(2)(ii), (iii), and (v); is intended to affect the legal status of 410, Raleigh, North Carolina, 27601– 137.31(b); 137.42. the petition or its final disposition. 1418; Telephone: (919) 747–7014; email: Description of Relief Sought: DATES: Comments on this petition must [email protected]. FHWA AgrowSoft, LLC dba AgrowDrone identify the petition docket number and North Carolina Division Office’s normal (‘‘AgrowDrone’’) an operator of Small must be received on or before January business hours are 8 a.m. to 5 p.m. Unmanned Aircraft Systems (sUAS) 30, 2017. (Eastern Time). For the North Carolina seeks an exemption to operate its ADDRESSES: You may send comments Department of Transportation (NCDOT): commercial remotely-piloted helicopter, identified by Docket Number FAA– Rodger Rochelle, Director of Technical the UAS–H, to provide agricultural 2016–9427 using any of the following Services, North Carolina Department of related services in the United States. methods: Transportation (NCDOT), 1548 Mail The UAS–H is capable of providing a • Government-wide rulemaking Web Service Center, Raleigh, North Carolina wide array of essential agricultural site: Go to http://www.regulations.gov 27699–1548; Telephone (919) 707–2900; spraying services, including: Watering, and follow the instructions for sending email: [email protected]. NCDOT fertilizers, pesticides, and herbicides. your comments electronically. Technical Services Division Office’s For agricultural purposes, the UAS–H is • Mail: Send comments to the Docket normal business hours are 8 a.m. to 5 only flown over uninhabited areas (e.g., Management Facility; U.S. Department p.m. (Eastern Time). of Transportation, 1200 New Jersey fields, groves, and orchards) and away from airports (i.e., three nautical miles SUPPLEMENTARY INFORMATION: Notice is Avenue SE., West Building Ground hereby given that FHWA has taken final Floor, Room W12–140, Washington, DC or more) or populated areas. All flights will occur over private or controlled agency action by issuing a Record of 20590. Decision (ROD) for the following • Fax: Fax comments to the Docket access property with the property highway project in the State of North Management Facility at 202–493–2251. owner’s prior consent and knowledge. Carolina: US 70 Bypass, Havelock, • Hand Delivery: Bring comments to [FR Doc. 2017–00292 Filed 1–9–17; 8:45 am] North Carolina. The project is also the Docket Management Facility in BILLING CODE 4910–13–P known as State Transportation Room W12–140 of the West Building Improvement Program (STIP) Project R– Ground Floor at 1200 New Jersey 1015. Avenue SE., Washington, DC, between 9 DEPARTMENT OF TRANSPORTATION a.m. and 5 p.m., Monday through Located in eastern North Carolina, the Friday, except Federal holidays. Federal Highway Administration selected alternative consists of a freeway on new location, approximately 10.3 Privacy: We will post all comments Notice of Final Federal Agency Actions we receive, without change, to http:// miles in length. The proposed freeway on Proposed Highway in North is located along the western edge of www.regulations.gov, including any Carolina personal information you provide. Havelock, primarily within the Croatan Using the search function of our docket AGENCY: Federal Highway National Forest (CNF) boundaries. The Web site, anyone can find and read the Administration (FHWA), DOT. project’s purpose is to improve traffic operations for regional and statewide comments received into any of our ACTION: Notice of Limitations on Claims traffic along the US 70 corridor and dockets, including the name of the for Judicial Review of Actions by enhance the ability of US 70 to serve a individual sending the comment (or FHWA, and Other Federal Agencies. signing the comment for an association, regional transportation function. business, labor union, etc.). You may SUMMARY: This notice announces action The FHWA’s action, related actions review DOT’s complete Privacy Act taken by the FHWA and other federal by other Federal agencies and the laws Statement in the Federal Register agencies that is final within the meaning under which such actions were taken, published on April 11, 2000 (65 FR of 23 U.S.C. 139(l)(1). This final agency are described in the Final 19477–78). action relates to a proposed highway Environmental Impact Statement (FEIS) Docket: To read background project, US 70 Bypass of the City of for the project, approved on October 27, documents or comments received, go to Havelock in Craven County, North 2015; the FHWA Record of Decision http://www.regulations.gov at any time Carolina. The FHWA’s Record of (ROD), approved on December 16, 2016; or to the Docket Management Facility in Decision (ROD) identifies Alternative 3 and other documents in the project file. Room W12–140 of the West Building for the US 70 Havelock Bypass project The above documents are available for Ground Floor at 1200 New Jersey as the selected alternative. review by contacting the FHWA or the Avenue SE., Washington, DC, between 9 DATES: By this notice, the FHWA is NCDOT at the addresses provided a.m. and 5 p.m., Monday through advising the public of final agency above. Friday, except Federal holidays. actions subject to 23 U.S.C. 139 (l)(1). A This notice applies to all Federal FOR FURTHER INFORMATION CONTACT: Jake claim seeking judicial review of the agency decisions as of the issuance date Troutman, (202) 683–7788, 800 Federal agency actions on the highway of this notice and all laws under which Independence Avenue SW., project will be barred unless the claim such actions were taken, including but Washington, DC 20591. is filed on or before June 9, 2017. If the not limited to: This notice is published pursuant to Federal law that authorizes judicial 1. General: National Environmental 14 CFR 11.85. review of a claim provides a time period Policy Act (NEPA) [42 U.S.C. 4321–

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4351]; Federal-Aid Highway Act [23 This notice does not apply to those U.S.C. 1363(a). Related Federal U.S.C. 109 and 23 U.S.C. 128]. pending environmental permitting regulations state that ‘‘Interest on cash 2. Air: Clean Air Act [42 U.S.C. 7401– decisions. (Catalog of Federal Domestic deposited to secure immigration bonds 7671(q)]. Assistance Program Number 20.205, will be at the rate as determined by the 3. Land: Section 4(f) of the Highway Research, Planning and Secretary of the Treasury, but in no case Department of Transportation Act of Construction. The regulations will exceed 3 per centum per annum or 1966 [49 U.S.C. 303]; Coastal Barrier implementing Executive Order 12372 be less than zero.’’ 8 CFR 293.2. Resources Act [16 U.S.C. 3501–3510]. regarding intergovernmental Treasury has determined that interest on 4. Wildlife: Endangered Species Act consultation on Federal programs and the bonds will vary quarterly and will [16 U.S.C. 1531–1544]; Marine Mammal activities apply to this program.) accrue during each calendar quarter at Protection Act [16 U.S.C. 1361–1407]; Authority: 23 U.S.C. 139(l)(1). a rate equal to the lesser of the average Anadromous Fish Conservation Act [16 of the bond equivalent rates on 91-day Issued on: December 22, 2016. U.S.C. 757(a)–757(g)]; Fish and Wildlife Treasury bills auctioned during the Coordination Act [16 U.S.C. 661– Clarence W. Coleman, preceding calendar quarter, or 3 per 667(d)]; Migratory Bird Treaty Act [16 Director of Preconstruction and Environment centum per annum, but in no case less U.S.C. 703–712]; Magnuson-Stevenson Raleigh, North Carolina. than zero. [FR Doc. 2015–18545] In Fishery Conservation and Management [FR Doc. 2017–00124 Filed 1–9–17; 8:45 am] addition to this Notice, Treasury posts Act [16 U.S.C. 1801 et seq.]. BILLING CODE 4910–RY–P the current quarterly rate in Table 2b— 5. Historic and Cultural Resources: Interest Rates for Specific Legislation on Section 106 of the National Historic the TreasuryDirect Web site. DEPARTMENT OF THE TREASURY Preservation Act of 1966 [16 U.S.C. Gary Grippo, 470(f)]. Departmental Offices; Interest Rate Deputy Assistant Secretary for Public 6. Social and Economic: Civil Rights Finance. Act of 1964 [42 U.S.C. 2000(d)– Paid on Cash Deposited To Secure [FR Doc. 2017–00323 Filed 1–9–17; 8:45 am] 2000(d)(1)]. U.S. Immigration and Customs 7. Wetlands and Water Resources: Enforcement Immigration Bonds BILLING CODE 4810–25–P Clean Water Act (Section 404, Section AGENCY: Departmental Offices, Treasury. 401, Section 319) [33 U.S.C. 1251– ACTION: Notice. 1377]; Coastal Barrier Resources Act [16 DEPARTMENT OF VETERANS AFFAIRS U.S.C. 3501–3510]; Coastal Zone SUMMARY: For the period beginning Management Act [16 U.S.C. 1451–1465]; January 1, 2017, and ending on March Advisory Committee on Former Land and Water Conservation Fund 31, 2017, the U.S. Immigration and Prisoners of War; Notice of Meeting (LWCF) [16 U.S.C. 4601–4604]; Safe Customs Enforcement Immigration Drinking Water Act (SDWA) [42 U.S.C. Bond interest rate is 0.44 per centum The Department of Veterans Affairs 300(f)–300(j)(6)]; Rivers and Harbors Act per annum. (VA) gives notice under the Federal of 1899 [33 U.S.C. 401–406]; Wild and DATES: Effective January 1, 2017 to Advisory Committee Act, 5 U.S.C., App. Scenic Rivers Act [16 U.S.C. 1271– March 31, 2017. 2, that the Advisory Committee on 1287]; Emergency Wetlands Resources Former Prisoners of War (FPOW) will ADDRESSES: Comments or inquiries may Act [16 U.S.C. 3921, 3931]; TEA–21 be mailed to Sam Doak, Reporting Team meet January 30–February 1, 2017, from Wetlands Mitigation [23 U.S.C. Leader, Federal Borrowings Branch, 9:00 a.m.–4:00 p.m. CST at the Audie 103(b)(6)(m), 133(b)(11)]; Flood Disaster Division of Accounting Operations, Murphy VA Medical Center, 7400 Protection Act [42 U.S.C. 4001–4128]. Office of Public Debt Accounting, Merton Minter Street, San Antonio, TX. 8. Hazardous Materials: Bureau of the Fiscal Service, Sessions are open to the public, except Comprehensive Environmental Parkersburg, West Virginia, 26106–1328. when the Committee is conducting a Response, Compensation, and Liability You can download this notice at the tour of VA facilities. Tours of VA Act (CERCLA) [42 U.S.C. 9601–9675]; following Internet addresses: or . accordance with 5 U.S.C. 552b(c)(6). U.S.C. 11011 et seq.); Resource The purpose of the Committee is to Conservation and Recovery Act (RCRA) FOR FURTHER INFORMATION CONTACT: advise the Secretary of Veterans Affairs [42 U.S.C. 6901–6992(k)]. Adam Charlton, Manager, Federal on the administration of benefits under 9. Executive Orders: E.O. 11990 Borrowings Branch, Office of Public Title 38 U.S.C., for Veterans who are Protection of Wetlands; E.O. 11988 Debt Accounting, Bureau of the Fiscal FPOWs, and to make recommendations Floodplain Management; E.O. 12898, Service, Parkersburg, West Virginia on the needs of such Veterans for Federal Actions to Address 26106–1328, (304) 480–5248; Sam Doak, compensation, health care, and Environmental Justice in Minority Reporting Team Leader, Federal rehabilitation. Populations and Low Income Borrowings Branch, Division of On Monday, January 30, the Populations; E.O. 11593 Protection and Accounting Operations, Office of Public Committee will convene an open Enhancement of Cultural Resources; Debt Accounting, Bureau of the Fiscal session to recognize new members and E.O. 13007 Indian Sacred Sites; E.O. Service, Parkersburg, West Virginia hear briefings from 9:00 a.m. to 2:30 13287 Preserve America; E.O. 13175 26106–1328, (304) 480–5117. p.m. From 2:30 p.m. to 4:00 p.m., the Consultation and Coordination with SUPPLEMENTARY INFORMATION: Federal Committee will convene a closed Indian Tribal Governments; E.O. 11514 law requires that interest payments on session in order to protect patient Protection and Enhancement of cash deposited to secure immigration privacy as the Committee tours the Environmental Quality; E.O. 13112 bonds shall be ‘‘at a rate determined by Audie Murphy VA Medical Center. On Invasive Species; and E.O. 13186— the Secretary of the Treasury, except Tuesday, January 31, the Committee Responsibilities of Federal Agencies to that in no case shall the interest rate will assemble in open session from 9:00 Protect Migratory Birds. exceed 3 per centum per annum.’’ 8 a.m. to 4:00 p.m. for discussion and

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briefings from Veterans Benefits Dated: January 5, 2017. SUPPLEMENTARY INFORMATION: Administration (VBA) and Veterans LaTonya L. Small, Titles: VA Dental Insurance Plan Health Administration (VHA) officials. Federal Advisory Committee Management (VADIP) Fact Sheet. On Wednesday, February 1, 2017, the Officer. OMB Control Number: 2900–0789. Committee will conduct an open session [FR Doc. 2017–00235 Filed 1–9–17; 8:45 am] Type of Review: Extension of a from 9:00 a.m. to 11:00 a.m. From 11:00 BILLING CODE P currently approved collection. a.m. to 12:00 p.m., the Committee will Abstract: Department of Veteran convene a closed session for discussion Affairs Dental Insurance of committee issues. At 12:00 p.m., the DEPARTMENT OF VETERANS Reauthorization Act of 2016 (Pub. L. AFFAIRS committee meeting will be formally 114–218) requires VA to establish and adjourned. [OMB Control No. 2900–0789] administer a dental insurance plan for Veterans enrolled in VA health care and Public participation will commence Agency Information Collection survivors and dependents of Veterans as follows: Activity: (Application Requirements To eligible for VA’s Civilian Health and Receive VA Dental Insurance Plan Medical Program (CHAMPVA). Public Open Date Time session Benefits under 38 CFR 17.169) Law 114–218 requires VA to contract with a private insurer (using the Federal AGENCY: Veterans Health January 30, 9:00 a.m.–2:30 Yes. contracting process) to offer dental Administration, Department of Veterans insurance, and the private insurer will 2017. p.m. Affairs. 2:30 p.m.–4:00 No*. be responsible for virtually all aspects of p.m. ACTION: Notice. the administration of the dental January 31, 9:00 a.m.–4:30 Yes. SUMMARY: In compliance with the insurance program. VA’s role will 2017. p.m. Paperwork Reduction Act (PRA) of 1995 primarily be to form the contract with February 1, 9:00 a.m.– Yes. (44 U.S.C. 3501–3521), this notice the private insurer and verify eligibility 2017. 11:00 a.m. announces that the Veterans Health of veterans and certain survivors and No. Administration (VHA), Department of dependents. Enrolled veterans and * Public access will be restricted to protect Veterans Affairs, will submit the certain survivors and dependents of patient privacy. collection of information abstracted veterans will be required to complete an below to the Office of Management and application to be enrolled in this dental FPOWs who wish to speak at the Budget (OMB) for review and comment. insurance program, and will be required public forum are invited to submit a 1– The PRA submission describes the to submit certain documentation/ 2 page commentary for inclusion in nature of the information collection and information for certain types of official meeting records. Members of the its expected cost and burden; it includes disenrollment requests and for appeals public may also submit a 1–2 page the actual data collection instrument. of claims decisions. VA will not commentary for the Committee’s review. DATES: Comments must be submitted on prescribe the form these collections are Any member of the public wishing to or before February 9, 2017. to take, but is prescribing regulations attend the meeting or seeking additional ADDRESSES: Submit written comments that nonetheless require these information should contact Ms. Leslie on the collection of information through collections. These collections are N. Williams, Designated Federal Officer, www.Regulations.gov, or to Office of required to fulfill VA’s obligations Advisory Committee on Former Information and Regulatory Affairs, under Public Law 114–218. Prisoners of War. Ms. Williams contact Office of Management and Budget, Attn: Affected Public: Individuals or information is [email protected] or VA Desk Officer; 725 17th St. NW., households. via phone at (202) 530–9219. Washington, DC 20503 or sent through Estimated Annual Burden: 38,350. electronic mail to oira_submission@ Estimated Average Burden per Because the meeting is being held in Respondent: 76 minutes a government building, a photo I.D. omb.eop.gov. Please refer to ‘‘OMB Control No. 2900–0789’’ in any Frequency of Response: Annually. must be presented at the security desk correspondence. Estimated Annual Responses: as a part of the clearance process. Due 283,500. to an increase in security protocols, and FOR FURTHER INFORMATION CONTACT: By direction of the Secretary. in order to prevent delays in clearance Cynthia Harvey-Pryor, Enterprise processing, you should allow an Records Service (005R1B), Department Cynthia Harvey-Pryor, additional 15 minutes before the of Veterans Affairs, 810 Vermont Program Specialist, Office of Privacy and Records Management, Department of meeting begins. Avenue NW., Washington, DC 20420, (202) 461–5870 or email cynthia.harvey- Veterans Affairs. [email protected]. Please refer to ‘‘OMB [FR Doc. 2017–00208 Filed 1–9–17; 8:45 am] Control No. 2900–0789.’’ BILLING CODE 8320–01–P

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Part II

Environmental Protection Agency

40 CFR Parts 51 and 52 Protection of Visibility: Amendments to Requirements for State Plans; Final Rule

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ENVIRONMENTAL PROTECTION available electronically in http:// responsible for protection of visibility in AGENCY www.regulations.gov. mandatory Class I federal areas.2 FOR FURTHER INFORMATION CONTACT: For Entities potentially affected indirectly 40 CFR Parts 51 and 52 general information regarding this rule, by this rule include owners and [EPA–HQ–OAR–2015–0531; FRL–9957–05– contact Mr. Christopher Werner, Office operators of sources that emit OAR] of Air Quality Planning and Standards, particulate matter equal to or less than 10 microns in diameter (PM10), RIN 2060–AS55 U.S. Environmental Protection Agency, by phone at (919) 541–5133 or by email particulate matter equal to or less than Protection of Visibility: Amendments at [email protected]; or Ms. 2.5 microns in diameter (PM2.5 or fine to Requirements for State Plans Rhea Jones, Office of Air Quality PM), sulfur dioxide (SO2), oxides of Planning and Standards, U.S. nitrogen (NOX), volatile organic AGENCY: Environmental Protection Environmental Protection Agency, by compounds and other pollutants that Agency (EPA). phone at (919) 541–2940 or by email at may cause or contribute to visibility ACTION: Final rule. [email protected]. impairment. Others potentially affected indirectly by this rule include members SUPPLEMENTARY INFORMATION: SUMMARY: The Environmental Protection of the general public who live, work or Agency (EPA) is finalizing revisions to I. General Information recreate in mandatory Class I areas requirements under the Clean Air Act affected by visibility impairment. A. Preamble Glossary of Terms and (CAA) for state plans for protection of Because emission sources that Acronyms visibility in mandatory Class I Federal contribute to visibility impairment in areas in order to continue steady The following are abbreviations of Class I areas also may contribute to air environmental progress while terms used in this document. pollution in other areas, members of the addressing administrative aspects of the AQRV Air quality related value general public may also be affected by program. In summary, the revisions BART Best available retrofit technology this rulemaking. clarify the relationship between long- bext Light extinction term strategies and reasonable progress CAA Clean Air Act C. Obtaining a Copy of This Document goals (RPGs) in state implementation CFR Code of Federal Regulations and Other Related Information plans (SIPs) and the long-term strategy EGU Electric generating unit EPA Environmental Protection Agency In addition to being available in the obligation of all states; clarify and docket, an electronic copy of this modify the requirements for periodic FIP Federal implementation plan FLM or FLMs Federal Land Manager or Federal Register document will be comprehensive revisions of SIPs; Managers posted at http://www.epa.gov/visibility. modify the set of days used to track ICR Information collection request A ‘‘track changes’’ version of the full progress towards natural visibility IMPROVE Interagency monitoring of regulatory text that incorporates and conditions to account for events such as protected visual environments shows the full context of the changes in wildfires; provide states with additional NAAQS National Ambient Air Quality this final action is also available in the flexibility to address impacts on Standards docket for this rulemaking. In addition NSR New Source Review visibility from anthropogenic sources to the final and regulatory text NOX Nitrogen oxides outside the United States (U.S.) and documents, other relevant documents from certain types of prescribed fires; OMB Office of Management and Budget PM Particulate matter are located in the docket, including modify certain requirements related to PM2.5 Particulate matter equal to or less technical support documents referenced the timing and form of progress reports; than 2.5 microns in diameter (fine in this preamble. and update, simplify and extend to all particulate matter) states the provisions for reasonably PM10 Particulate matter equal to or less than development and approvability of tribal attributable visibility impairment, while 10 microns in diameter implementation plans that tribes may wish to revoking most existing reasonably PRA Paperwork Reduction Act submit in the future. We encourage states to provide attributable visibility impairment RHR Regional Haze Rule outreach and engage in discussions with tribes federal implementation plans (FIPs). RPG Reasonable progress goal about their regional haze SIPs as they are being developed. The EPA also is making a one-time RPO Regional planning organization SIP State implementation plan 2 Areas designated as mandatory Class I Federal adjustment to the due date for the next areas consist of national parks exceeding 6,000 SO2 Sulfur dioxide periodic comprehensive SIP revisions TAR Tribal Authority Rule acres, wilderness areas and national memorial parks exceeding 5,000 acres, and all international parks by extending the existing deadline of URP Uniform rate of progress July 31, 2018, to July 31, 2021. that were in existence on August 7, 1977. CAA B. Entities Affected by This Rule section 162(a). In accordance with section 169A of DATES: This final rule is effective on the CAA, the EPA, in consultation with the January 10, 2017. Entities potentially affected directly Department of Interior, promulgated a list of 156 areas where visibility is identified as an important ADDRESSES: The EPA established Docket by this rule include state, local and 1 value. 44 FR 69122 (November 30, 1979). The ID No. EPA–HQ–OAR–2015–0531 for tribal governments, as well as FLMs extent of a mandatory Class I area includes this action. All documents in the docket subsequent changes in boundaries, such as park 1 The EPA’s visibility protection regulations may expansions. CAA section 162(a). Although states are listed in the http:// apply, as appropriate under the Tribal Authority and tribes may designate as Class I additional areas www.regulations.gov Web site. Although Rule (TAR) in 40 CFR part 49, to an Indian tribe that they consider to have visibility as an important listed in the index, some information is that receives a determination of eligibility for value, the requirements of the visibility program set not publicly available, e.g., Confidential treatment as a state for purposes of administering forth in section 169A of the CAA apply only to a tribal visibility protection program under section ‘‘mandatory Class I Federal areas.’’ Each mandatory Business Information or other 169A of the CAA. No tribe has applied for such Class I Federal area is the responsibility of a information whose disclosure is status, and so at present the EPA is responsible for ‘‘Federal Land Manager.’’ CAA section 302(i). When restricted by statute. Certain other implementation of the visibility protection we use the term ‘‘Class I area’’ in this action, we material, such as copyrighted material, regulations in areas of tribal authority. This mean any one of the 156 ‘‘mandatory Class I Federal responsibility includes, but is not limited to, areas’’ where visibility has been identified as an is not placed on the Internet and will be implementation of the reasonable progress important value, unless the context makes it clear publicly available only in hard copy. requirements of 40 CFR 51.308(f), as necessary or that additional non-mandatory Federal Class I areas Publicly available docket materials are appropriate. These rule changes may impact the are also meant to be included.

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D. Judicial Review K. Changes to FLM Consultation how days are selected for tracking Requirements progress; changes to the proposed fire- Under CAA section 307(b)(1), judicial L. Extension of Next Regional Haze SIP review of this final action is available related definitions and terminology; Deadline From 2018 to 2021 changes to the proposed required only by filing a petition for review in M. Changes to Scheduling of Regional Haze the U.S. Court of Appeals for the District Progress Reports content of progress reports; changes to of Columbia Circuit by March 13, 2017. N. Changes to the Requirement That the proposed deadline for a state Under CAA section 307(d)(7)(B), any Regional Haze Progress Reports be SIP response to a reasonably attributable such judicial review is limited to only Revisions visibility impairment certification; the O. Changes to Requirements Related to the addition of a requirement for FLMs to those objections that were raised with Grand Canyon Visibility Transport reasonable specificity in timely consult with states prior to making a Commission reasonably attributable visibility comments. Filing a petition for V. Environmental Justice Considerations reconsideration by the Administrator of impairment certification; and minor VI. Statutory and Executive Order Reviews changes to the requirements for FLM this final rule does not affect the finality A. Executive Order 12866: Regulatory consultation on SIPs and progress of this action for purposes of judicial Planning and Review and Executive reports. The EPA is issuing this final review, extend the time in which a Order 13563: Improving Regulation and rule under section 307(d) of the CAA. petition for judicial review may be filed, Regulatory Review B. Paperwork Reduction Act (PRA) Section 553(d) of the Administrative or postpone the effectiveness of the rule. C. Regulatory Flexibility Act (RFA) Procedure Act (APA), 5 U.S.C. Chapter Under CAA section 307(b)(2), the D. Unfunded Mandates Reform Act 5, generally provides that rules may not requirements established by this final (UMRA) take effect earlier than 30 days after they rule may not be challenged separately in E. Executive Order 13132: Federalism are published in the Federal Register. any civil or criminal proceedings F. Executive Order 13175: Consultation CAA section 307(d)(1) clarifies that: brought by the EPA to enforce the and Coordination With Indian Tribal ‘‘The provisions of section 553 through requirements. Governments G. Executive Order 13045: Protection of 557 * * * of Title 5 shall not, except as E. Organization of This Federal Children From Environmental Health expressly provided in this section, Register Document and Safety Risks apply to actions to which this H. Executive Order 13211: Actions subsection applies.’’ Thus, section The information presented in this Concerning Regulations That document is organized as follows: 553(d) of the APA does not apply to this Significantly Affect Energy Supply, rule. The EPA has nevertheless I. General Information Distribution or Use considered the purposes underlying I. National Technology Transfer and A. Preamble Glossary of Terms and APA section 553(d) in making this rule Acronyms Advancement Act B. Entities Affected by This Rule J. Executive Order 12898: Federal Actions effective upon publication. The primary C. Obtaining a Copy of This Document and To Address Environmental Justice in purpose of the 30-day waiting period Other Related Information Minority Populations and Low-Income prescribed in section 553(d) is to give D. Judicial Review Populations affected parties a reasonable time to E. Organization of This Federal Register K. Congressional Review Act (CRA) adjust their behavior and prepare before Document VII. Statutory Authority the final rule takes effect. Notably, there F. Background on This Rulemaking F. Background on This Rulemaking are no specific obligations in the first II. Executive Summary thirty days of this regulatory action, and III. Overview of Visibility Protection On May 4, 2016, the EPA proposed Statutory Authority, Regulation and all obligations are established as of a revisions to the 1999 Regional Haze date certain, rather than being tied to Implementation Rule (RHR),3 which include A. Visibility in Mandatory Class I Federal the effective date. Areas clarifications and modifications to the In addition, section 553(d) allows an B. Reasonably Attributable Visibility requirements that states (and, if effective date less than 30 days after Impairment applicable, tribes) have to meet as they publication for a rule that ‘‘grants or C. Regional Haze implement programs for the protection recognizes an exemption or relieves a D. Air Permitting of visibility in mandatory Class I restriction.’’ An important aspect of this IV. Final Rule Revisions Federal areas, under sections 169A and rule is the 3-year extension for state A. Ongoing Litigation in Texas v. EPA 169B of the CAA. The EPA held public B. Cooperative Federalism planning obligations. This extension is C. Clarifications To Reflect the EPA’s Long- hearings on May 19, 2016, in comparable to the grant of an exemption Standing Interpretation of the Washington, DC and on June 1, 2016, in or relief from a restriction because it Relationship Between Long-Term Denver, Colorado. States, industry, provides more time for states to meet a Strategies and Reasonable Progress Goals private citizens and non-governmental regulatory requirement. It is thus D. Other Clarifications and Changes to organizations submitted over 180,000 reasonable to make this action effective Requirements for Periodic comments. Based on EPA’s review of upon publication because states do not Comprehensive Revisions of the comments, we are finalizing most of require an additional 30 days to adjust Implementation Plans the proposed revisions, but are also E. Changes to Definitions and Terminology their behavior and prepare for the rule Related to How Days Are Selected for making some changes to respond to the going into effect, and in fact will gain Tracking Progress concerns raised by commenters. These additional time to meet their planning F. Impacts on Visibility From include: Changes to the proposed obligations. Anthropogenic Sources Outside the U.S. terminology used to refer to emissions G. Impacts on Visibility From Wildland inventories; changes to the proposed II. Executive Summary Fires definitions and terminology related to The CAA’s visibility protection H. Clarification of and Changes to the program, implemented through the rules Required Content of Progress Reports 3 Here and elsewhere in this document, the terms at 40 CFR 51.300 through 51.309, helps I. Changes to Reasonably Attributable ‘‘Regional Haze Rule,’’ ‘‘1999 Regional Haze Rule’’ to protect clear views in national parks, Visibility Impairment Provisions and ‘‘1999 RHR’’ refer to the 1999 final rule (64 FR J. Consistency Revisions Related to 35714), as amended in 2005 (70 FR 39156, July 6, such as Grand Canyon National Park, Permitting of New and Modified Major 2005), 2006 (71 FR 60631, October 13, 2006) and and wilderness areas, such as the Sources 2012 (77 FR 33656, June 7, 2012). Okefenokee National Wildlife Refuge.

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Vistas in these areas are often obscured revoking FIPs adopted in the 1980s that into the state plan development process by visibility-impairing pollutants require the EPA to assess and address early enough that they can meaningfully caused by emissions from numerous any existing reasonably attributable contribute to the state’s deliberations. sources located over a wide geographic visibility impairment situations in some Collectively, the changes being finalized area. States are required to submit states; and revising the requirement for now will ensure that the regional haze periodic plans demonstrating how they states to consult with FLMs. Other program is implemented consistent with have and will continue to make progress changes address administrative aspects CAA obligations, and ensure successful towards achieving their visibility of the program in order to reduce implementation during the second improvement goals. The first state plans unnecessary burden. These include the planning period and beyond. were due in 2007 and covered the 2008– following: The EPA is finalizing a one- With regard to the extension of the 2018 planning period. time adjustment to the due date for the deadline of July 31, 2018, to July 31, The EPA is making changes to the next SIPs (from 2018 to 2021); revising 2021, for states’ comprehensive SIP requirements that states (and, if the due dates for progress reports; and revisions for the second implementation applicable, tribes) have to meet for the changing the requirement that progress period, this one-time change will benefit second and subsequent implementation reports be submitted as formal SIP states by allowing them to obtain and periods as they develop programs for revisions to documents that need not take into account information on the the protection of visibility in mandatory comply with the procedural effects of a number of other regulatory Class I areas, consistent with CAA requirements of 40 CFR 51.102, 40 CFR programs that will be impacting sources requirements. Implementation of the 51.103 and Appendix V to Part 51— over the next several years. The change EPA’s RHR (during the first Criteria for Determining the will also allow states to develop SIP implementation period) resulted in Completeness of Plan Submissions. All revisions for the second implementation significant reductions in emissions and of these changes apply to periodic period that are more integrated with associated improvements in visibility in comprehensive state implementation state planning for these other programs, many Class I areas (see Section III.B of plans developed for the second and an advantage that was widely confirmed this document). This final rule supports subsequent implementation periods and in early discussions with states and in continued environmental progress by to progress reports submitted comments submitted to the docket for retaining much of the 1999 RHR, subsequent to those plans. These this rulemaking. We anticipate that this clarifying or revising certain provisions changes do not affect the development change will result in greater of the visibility protection rules in 40 and review of state plans for the first environmental progress than if planning CFR part 51, subpart P, and removing implementation period or the first for these multiple programs were not as rule provisions that have been progress reports due under the 1999 well integrated. The end date for the superseded by subsequent RHR. second implementation period remains developments. An overview of the The rationale for these changes is 2028, as was required by the 1999 RHR. revisions is provided later, with described more fully in the descriptions Other than the one-time change to the additional details throughout this of each change detailed later in this next due date for periodic document. action as well as in the preamble to the comprehensive SIP revisions, no change The EPA is clarifying the relationship proposed rule.4 The revisions being is being made for due dates for future between long-term strategies and RPGs finalized are informed by approximately periodic comprehensive SIP revisions. in state plans and the long-term strategy 15 years of implementation of the CAA, obligations of all states. We are re- numerous outreach sessions and The changes related to progress iterating that the CAA requires states to stakeholder feedback regarding the reports are intended to make the timing consider the four statutory factors (costs regional haze program, and the many of progress reports more useful as mid- of compliance, time necessary for constructive comments we received on course reviews, to clarify the required compliance, energy and non-air quality the proposal. The clarifications content of progress reports for aspects environmental impacts and remaining regarding the relationship between on which there has been some useful life) in each implementation RPGs, long-term strategies and the long- confusion, and to allow states to period to determine the rate of progress term strategy obligation of all states are conserve their administrative resources towards natural visibility conditions intended to ensure appropriate and and make submission of progress that is reasonable for each Class I area. consistent understanding of these reports more timely by removing the The rate of progress in some Class I requirements as states prepare their requirement that they be submitted as areas may be meeting or exceeding the plans for the second implementation formal SIP revisions. We are retaining a uniform rate of progress (URP) that period. These clarifications reflect requirement that states consult with would lead to natural visibility EPA’s long-standing interpretation of FLMs on their progress reports, and that conditions by 2064, but this does not the RHR, and are now being codified. states offer the public an opportunity to excuse states from conducting the The rule revisions related to how days comment on progress reports before required analysis and determining are selected for visibility progress they are finalized, which are two of the whether additional progress would be tracking will provide the public and steps that applied to progress reports reasonable based on the four factors. state officials more meaningful when they were required to be SIP The EPA is revising the RHR to address information on how existing and revisions, and which will help ensure a number of issues, as discussed in the potential new emission reduction ongoing accountability for progress proposal, including: The way in which measures are contributing or could reports. Please note that while the a set of days during each year is to be contribute to reasonable progress in proposed rule included identical FLM selected for purposes of tracking reducing man-made visibility consultation periods for progress reports progress towards natural visibility impairment. Changes to FLM and periodic comprehensive SIP conditions; aspects of the requirements consultation requirements will help revisions, FLM consultation for the content of progress reports; ensure that the expertise and requirements for SIP revisions and updating, simplifying and extending to perspective of these officials are brought progress reports will differ going all states the provisions for reasonably forward. This issue is described more attributable visibility impairment and 4 81 FR 26942 (May 4, 2016). fully in Section IV.K of this document.

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Finally, the 1999 RHR’s provisions Environments’’ (IMPROVE) monitoring impairment results from manmade air related to reasonably attributable network, show that at the time the RHR pollution.’’ visibility impairment required a was finalized in 1999, visibility In 1980, the EPA promulgated recurring process of assessment and impairment caused by air pollution regulations to address visibility planning by the states. Experience since occurred virtually all the time at most impairment in Class I areas, including these provisions were promulgated national park and wilderness areas. The but not limited to impairment that is suggests that situations involving formally defined average visual range 5 ‘‘reasonably attributable’’ to a single reasonably attributable visibility in many Class I areas in the western source or small group of sources, i.e., impairment occur infrequently and U.S. was 62–93 miles. In some Class I ‘‘reasonably attributable visibility therefore that an ‘‘as needed’’ approach areas, these visual ranges may have been impairment.’’ 9 These regulations, for initiating a state planning obligation impacted by natural wildfire and dust codified at 40 CFR 51.300 through would be a more efficient use of episodes in addition to anthropogenic 51.307, represented the first phase in resources. The EPA is finalizing its impacts. In most of the eastern Class I addressing visibility impairment from proposal to replace the recurring areas of the U.S., the average visual existing sources. They also addressed process of assessment of reasonably range was less than 19 miles.6 potential visibility impacts from new attributable visibility impairment with Based on visibility data through 2014, and modified major sources already an as-needed approach. The change to the visual range has increased 10 to 20 subject to permitting requirements for an as-needed approach only applies to miles (4 to 7 deciviews) 7 since the year purposes of protection of the National reasonably attributable visibility 2000 in eastern Class I areas on the 20 Ambient Air Quality Standards impairment—periodic planning for percent haziest days. Some western (NAAQS) and preventing significant purposes of regional haze will continue. Class I areas have also experienced deterioration of air quality. In addition, in light of our increased visual range increases of 5 to 10 miles Notably, not all states were subject to understanding of the interstate nature of (1 to 4 deciviews) on the 20 percent the 1980 reasonably attributable visibility impairment, we are expanding haziest days. However, in some areas, visibility impairment requirements. the applicability of the requirement to such as Sawtooth Wilderness area in Under the 1980 rules, the 35 states and address reasonably attributable visibility Idaho, improvements from reduced one territory (Virgin Islands) containing impairment from only states with Class emissions from man-made sources have Class I areas were required to submit I areas to all states. If a situation exists been overwhelmed by impacts from SIPs addressing reasonably attributable or arises in which a source or a small wildfire and/or dust events. There are visibility impairment. The 1980 rules also some western areas where visibility number of sources in a state without any required states to (1) develop, adopt, has improved only by a slight amount Class I area causes reasonably implement and evaluate long-term or made no progress. attributable visibility impairment at a strategies for making reasonable Class I area in another state, this B. Reasonably Attributable Visibility progress toward remedying existing and mechanism will ensure adequate Impairment preventing future impairment in the visibility protection. In section 169A of the 1977 mandatory Class I areas through their III. Overview of Visibility Protection Amendments to the CAA, Congress SIP revisions; (2) adopt certain measures Statutory Authority, Regulation and enacted a program for protecting to assess potential visibility impacts due Implementation visibility in the nation’s national parks, to new or modified major stationary wilderness areas and other Class I areas sources, including measures to notify A. Visibility in Mandatory Class I due to their ‘‘great scenic importance.’’ 8 FLMs of proposed new source permit Federal Areas Section 169A(a) of the CAA establishes applications, and to consider visibility Reduction in visibility caused by as a national goal the ‘‘prevention of any analyses conducted by FLMs in their emissions of PM10, PM2.5 (e.g., sulfates, future, and the remedying of any new source permitting decisions; (3) nitrates, organic carbon, elemental existing, impairment of visibility in conduct visibility monitoring in carbon and soil dust) and their mandatory Class I Federal areas which mandatory Class I areas, and (4) revise precursors (e.g., SO2, NOX and, in some their SIPs at 3-year intervals to assure cases, ammonia and volatile organic 5 Visual range is the greatest distance, in reasonable progress toward the national compounds) can take the form of either kilometers or miles, at which a certain dark object visibility goal. In addition, the 1980 can be discerned against the sky by a typical regulations provided that an FLM may visibly distinct layers or plumes of observer under certain defined conditions. Visual pollution or more uniform ‘‘regional range defined in this highly controlled manner is certify to a state at any time that haze.’’ Fine particle precursors react in inversely proportional to light extinction (bext) by visibility impairment at a Class I area is particles and gases and is calculated as: Visual the atmosphere to form PM2.5, which reasonably attributable to a single Range = 3.91/bext (Bennett, M.G., The physical source or a small number of sources. along with directly emitted PM10 and conditions controlling visibility through the PM2.5 impairs visibility by scattering atmosphere; Quarterly Journal of the Royal Following such a certification by an Meteorological Society, 1930, 56, 1–29). Light FLM, a state was required to address the and absorbing light. This light scattering ¥ reduces the clarity, color and visible extinction has units of inverse distance (i.e., Mm 1 requirements for best available retrofit or inverse Megameters (mega = 106)). Under technology (BART) for BART-eligible distance that one can see. Particulate conditions other than those defined in this matter can also cause serious health reference, people’s ability to discern landscape sources considered to be contributing to effects in humans (including premature features may vary and be different than implied by reasonably attributable visibility death, heart attacks, irregular heartbeat, the value of the visual range as calculated from light impairment. Also, the appropriate extinction using this formula. control of any source certified by an aggravated asthma, decreased lung 6 64 FR 35715 (July 1, 1999). function and increased respiratory 7 The deciview haze index (discussed in more FLM, whether BART-eligible or not, symptoms) and contribute to detail in Section III.B.3 of this document) is would be specifically addressed in the environmental effects such as acid logarithmically related to light extinction and is long-term strategy for making reasonable deposition and eutrophication. used by the regional haze program because it progress toward the national goal of describes uniform differences in visibility across a Data from the existing visibility range of visibility conditions. natural visibility conditions. See the monitoring network, the ‘‘Interagency 8 H.R. Rep. No. 294, 95th Cong. 1st Sess. at 205 Monitoring of Protected Visual (1977). 9 45 FR 80084 (December 2, 1980).

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1980 rule’s version of 40 CFR 2007, deadline, and on January 15, 2. Roles of Agencies in Addressing 51.302(c)(2)(i). 2009, the EPA found that 37 states, the Regional Haze In practice, the 1980 rules resulted in District of Columbia and the Virgin Successful implementation of the few SIPs being submitted by states and Islands had failed to submit SIPs regional haze program requires long- approved by the EPA, requiring the EPA addressing the regional haze term regional coordination among to develop and apply FIPs to those requirements.14 These findings triggered states, tribal governments and various states that failed to submit an a requirement for the EPA to promulgate federal agencies. As noted earlier, approvable reasonably attributable FIPs within 2 years unless a state pollution affecting the air quality in visibility impairment SIP.10 Most of submitted a SIP and the EPA approved Class I areas is emitted from many these FIPs contained planning that SIP within the 2-year period.15 individual sources and can be requirements only. That is, most of the Most states eventually submitted SIPs. transported over long distances, even FIPs merely committed the EPA to The 1999 RHR also required states to hundreds of miles. Therefore, to assessing on a 3-year cycle whether submit periodic comprehensive effectively address the problem of reasonably attributable visibility revisions of their regional haze SIPs. visibility impairment in Class I areas, impairment was occurring, and if so, to Under 40 CFR 51.308(f) of the 1999 states need to develop strategies in adopting an appropriate strategy of RHR, states were required to submit the coordination with one another, taking required emission controls. first such revision by no later than July into account the effect of emissions from C. Regional Haze 31, 2018, and every 10 years thereafter. one jurisdiction on the air quality in These periodic comprehensive SIP another. 1. Requirements of the 1990 CAA revisions were required to address a Because the pollutants that lead to Amendments and the EPA’s Regional regional haze can originate from sources number of elements, including current Haze Rule located across broad geographic areas, visibility conditions and actual progress and because these sources may be In 1990, Congress added section 169B made toward natural conditions during numerous and emit amounts of to the CAA to further address regional the previous implementation period; a pollutants that, even though small, haze issues. Among other things, this reassessment of the effectiveness of the contribute to the collective whole, the section included provisions for the EPA long-term strategy in achieving the RPGs to conduct visibility research on EPA encourages states to address over the prior implementation period; visibility impairment from a regional regional regulatory tools with the and affirmation of or revision to the National Park Service and other federal perspective. Five regional planning RPGs. Further information on these organizations (RPOs) were formed after agencies, and to provide periodic periodic comprehensive SIP revisions reports to Congress on visibility the promulgation of the RHR in 1999 to can be found in Section III.B.3 of this address regional haze and related issues: improvements due to implementation of document. In addition, the 1999 RHR’s The Central Regional Air Planning other air pollution protection programs. 40 CFR 51.308(g) required each state to Association, the Mid-Atlantic/Northeast CAA section 169B also generally submit progress reports, in the form of Visibility Union, the Midwest Regional allowed the Administrator to establish SIP revisions, every 5 years after the Planning Organization, the Western visibility transport commissions and date of the state’s initial SIP submission. Regional Air Partnership and the specifically required the Administrator In the progress reports, states were Visibility Improvement State and Tribal to establish a commission for the Grand required to evaluate the progress made Association of the Southeast.16 The Canyon area. The EPA promulgated a towards the RPGs for mandatory Class I RPOs first evaluated technical rule to address regional haze in 1999.11 areas located within the state, as well as information to better understand how The 1999 RHR established a more those mandatory Class I areas located their states and tribes impact Class I comprehensive visibility protection outside the state that may be affected by areas across the country, and then program for Class I areas. The emissions from within the state. Further supported the development (by states) requirements for regional haze are found information on progress reports can be of regional strategies to reduce at 40 CFR 51.308 and 51.309. found in Section III.B.4 of this emissions of pollutants that lead to The requirement to submit a regional document. regional haze. haze SIP applies to all 50 states, the District of Columbia and the Virgin The 1999 RHR sought to improve 3. Requirements for the Regional Haze Islands.12 Congress subsequently efficiency and transparency by requiring SIPs states to coordinate planning under the amended the deadlines for regional haze As mentioned earlier, states were 1980 reasonably attributable visibility SIPs, and the EPA adopted regulations required to submit SIPs addressing impairment provisions with planning requiring states to submit the first regional haze visibility impairment in under the provisions added by the 1999 implementation plans addressing 2007, which covered what we refer to as RHR. The states were directed to submit regional haze visibility impairment no the first implementation period (2008– 13 reasonably attributable visibility later than December 17, 2007. These 2018). A focus of the 2007 SIP impairment SIPs every 10 years rather initial SIPs were to address emissions obligation was to give specific attention than every 3 years, and to do so as part from certain large stationary sources and to certain stationary sources that were in of the newly required regional haze other requirements, which we discuss in existence on August 7, 1977, but were SIPs. Many, but not all, states submitted greater detail later. Few states submitted not in operation before August 7, 1962, initial regional haze SIPs that a regional haze SIP by the December 17, by requiring these sources, where committed to this coordinated planning appropriate, to install BART controls for 10 process. Coordination of reasonably 52 FR 45132 (November 24, 1987). the purpose of eliminating or reducing 11 64 FR 35714 (July 1, 1999). attributable visibility impairment and visibility impairment. These SIPs 12 This requirement does not apply to other U.S. regional haze planning is described in included a number of components and/ territories defined as ‘‘states’’ under the CAA more detail later. because they do not have mandatory Class I Federal areas and are too distant from any such areas to 16 See ‘‘Visibility—Regional Planning affect them. 14 74 FR 2392 (January 15, 2009). Organizations,’’ available at https://www.epa.gov/ 13 70 FR 39104 (July 6, 2005). 15 CAA section 110(c). visibility/visibility-regional-planning-organizations.

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or analyses, which are described later of 40 CFR 51.308(d), which addresses Natural visibility is determined by along with information regarding regional haze SIP requirements for the estimating the natural concentrations of whether or not this final rule impacts first implementation period, in the same pollutants that cause visibility that particular SIP element. manner as other sources going impairment and then calculating total BART Requirement. Section 169A of forward.20 light extinction based on those the CAA directs states to evaluate the Visibility Metric. The RHR established estimates. The EPA has provided use of retrofit controls at certain larger, the 24-hour deciview haze index as the guidance to states regarding how to often uncontrolled, older stationary principal metric or unit for expressing calculate baseline, natural and current sources in order to address visibility visibility on any particular day.21 The visibility conditions at each Class I impacts from these sources. deciview haze index is calculated from area.24 After the EPA issued this Specifically, section 169A(b)(2)(A) of light extinction values and expresses guidance, a number of interested parties the CAA requires states to revise their uniform changes in the degree of haze together developed a set of alternative SIPs to include such measures as may in terms of common increments across estimates of natural conditions using a be necessary to make reasonable the entire range of visibility conditions, more refined approach (known as ‘‘NC– progress towards the natural visibility from pristine to extremely hazy. II’’), which were used by most states in goal, including a requirement that Deciview values are calculated by using their first regional haze SIPs with EPA certain categories of existing major air quality measurements to estimate approval.25 stationary sources 17 procure, install and light extinction, most recently using the Baseline visibility conditions reflect operate BART. Under the RHR, the EPA revised IMPROVE algorithm, and then the degree of visibility impairment for directed states to conduct BART transforming the value of light the 20 percent least impaired days and determinations for any ‘‘BART-eligible’’ extinction using a logarithmic 20 percent most impaired days for each sources 18 that may be anticipated to function.22 The deciview is a more calendar year from 2000 to 2004. Using cause or contribute to any visibility useful measure for comparing days and monitoring data for 2000 through 2004, impairment in a Class I area. The EPA tracking progress in improving visibility states are required to calculate the published the Guidelines for BART than light extinction itself because each average degree of visibility impairment Determinations Under the Regional deciview change is an equal incremental for each Class I area, based on the Haze Rule at appendix Y to 40 CFR part change in visibility typically perceived average of annual values of these two 51 (hereinafter referred to as the ‘‘BART by a human observer. Most people can metrics over the 5-year period. The Guidelines’’) to assist states in detect a change in visibility of one comparison of baseline visibility determining which of their sources deciview. The preamble to the 1999 conditions to natural visibility should be subject to the BART RHR provided additional details about conditions indicates the amount of requirements and in determining the deciview haze index. improvement that would be necessary to appropriate emission limits for each attain natural visibility. Over time, the 19 Baseline, Current and Natural applicable source. The 1999 RHR also Conditions and Tracking Changes in comparison of current visibility gave states the flexibility to adopt an Visibility. To track changes in visibility conditions 26 to the baseline visibility emissions trading program or other over time at each of the 156 Class I areas conditions will indicate the amount of alternative program in lieu of source- covered by the visibility program (40 progress that has been made. specific BART as long as the alternative CFR 81.401–437), and as part of the The 1999 RHR defined ‘‘visibility provided greater reasonable progress process for determining reasonable impairment’’ as a humanly perceptible towards improving visibility than BART progress, states were required to change (i.e., difference) in visibility and met certain other requirements set calculate visibility conditions at each from that which would have existed out in the 1999 RHR’s 40 CFR Class I area for a 5-year period just under natural conditions. The rule 51.308(e)(2). directed the tracking of visibility States were required to undertake the preceding each periodic comprehensive SIP revision.23 To do this, the 1999 RHR BART determination process during the 24 Guidance for Estimating Natural Visibility first implementation period. The BART required states to determine average visibility conditions (in deciviews) for Conditions Under the Regional Haze Rule, requirement was a one-time September 2003, EPA–454/B–03–005, available at requirement, but a BART-eligible source the 20 percent least impaired days and http://www3.epa.gov/ttn/caaa/t1/memoranda/rh_ _ may need to be re-assessed for the 20 percent most impaired days over envcurhr gd.pdf; and Guidance for Tracking Progress Under the Regional Haze Rule, September additional controls in future the 5-year period at each of their Class I areas. 2003, EPA–454/B–03–004, available at http:// implementation periods under the www3.epa.gov/ttn/oarpg/t1/memoranda/rh_tpurhr_ CAA’s reasonable progress provisions. States were also required to develop gd.pdf. Specifically, we anticipate that a an estimate of natural visibility 25 Regional Haze Rule Natural Level Estimates number of BART-eligible sources that conditions for the purpose of estimating Using the Revised IMPROVE Aerosol Reconstructed progress toward the national goal. Light Extinction Algorithm, available at http:// installed only moderately effective vista.cira.colostate.edu/improve/Publications/ controls (or no controls at all) will need GrayLit/032_NaturalCondIIpaper/Copeland_etal_ 20 Under the 1999 RHR’s 40 CFR 51.308(e)(5), NaturalConditionsII_Description.pdf; Revised to be reassessed. Under the 1999 RHR’s BART-eligible sources were subject to the 40 CFR 51.308(e)(5), BART-eligible IMPROVE Algorithm for Estimating Light requirements of 40 CFR 51.308(d), which addresses Extinction from Particle Speciation Data, available sources are subject to the requirements regional haze SIP requirements for the first at http://vista.cira.colostate.edu/improve/ implementation period, in the same manner as Publications/GrayLit/019_RevisedIMPROVEeq/ 17 The set of ‘‘major stationary sources’’ other sources going forward. RevisedIMPROVEAlgorithm3.doc; and Regional potentially subject-to-BART is listed in CAA section 21 See 70 FR 39104, 39118. Haze Data Analysis Workshop, June 8, 2005, 169A(g)(7). 22 Pitchford, M.; Malm, W.; Schichtel, B.; Kumar, Denver, CO, agenda and documents available at 18 BART-eligible sources are those sources that N.; Lowenthal, D.; Hand, J. Revised algorithm for http://www.wrapair.org/forums/aamrf/meetings/ have the potential to emit 250 tons or more of a estimating light extinction from IMPROVE particle 050608den/index.html. visibility-impairing air pollutant, were not in speciation data; J. Air & Waste Manage. Assoc. 26 Given the required timing of the first regional operation prior to August 7, 1962, but were in 2007, 57, 1326–1336; doi: 3155/1047– haze SIPs that were due by December 17, 2007, existence on August 7, 1977, and whose operations 3289.57.11.1326. ‘‘baseline visibility conditions’’ were also the fall within one or more of 26 specifically listed 23 Under the 1999 RHR, states were also required ‘‘current’’ visibility conditions. For future SIPs, source categories. 40 CFR 51.301. to periodically review progress in reducing ‘‘current conditions’’ will be updated to the 5-year 19 70 FR 39104 (July 6, 2005). impairment every 5 years. period just preceding the SIP revision.

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impairment on the 20 percent ‘‘most the start of this rulemaking and asked When setting their RPGs, states were impaired days’’ and 20 percent ‘‘least that the EPA explore options for also required to consider the rate of impaired days’’ in order to determine focusing the visibility tracking metric on progress for the most impaired days that progress towards natural visibility the effect of controlling anthropogenic would be needed to reach natural conditions. 40 CFR 51.308(d)(2)(i–iv). In emissions. To help states minimize the visibility conditions by 2064 and the light of the 1999 RHR’s definition of impacts of emissions from natural emission reduction measures that would ‘‘impairment,’’ the term ‘‘impaired’’ in sources on visibility tracking via an be needed to achieve that rate of the phrases ‘‘most impaired days’’ and approach that is also consistent with the progress over the approximately 10-year ‘‘least impaired days’’ could be taken to CAA’s goal to reduce visibility period of the SIP. The purpose of this mean anthropogenic impairment only impairment resulting from man-made requirement was to allow for analytical and to exclude reductions in visibility air pollution, the EPA proposed to more comparisons between the rate of attributable to natural emission sources. explicitly (and consistently) address this progress that would be achieved by the However, the preamble to the 1999 RHR issue for future implementation periods. state’s chosen set of control measures stated that the least and most impaired Reasonable Progress Goals and Long- and the URP. If a state’s RPG for the days were to be selected as the Term Strategy. To ensure continuing most impaired days achieved progress monitored days with the lowest and progress towards achieving the natural that was equal to the URP, the RPG highest actual deciview levels caused by visibility goal, the 1999 RHR required would be ‘‘on the URP line’’ 29 or ‘‘on all sources, respectively. In 2003, the that each SIP submission in the series of the glidepath.’’ If a state’s RPG for the EPA issued guidance describing in periodic comprehensive regional haze most impaired days was not on the detail the steps necessary for selecting SIPs establish two distinct RPGs (one for glidepath, 40 CFR 51.308(d)(1)(ii) and calculating light extinction on the the most impaired and one for the least required the state to demonstrate that it ‘‘worst’’ and ‘‘best’’ visibility days, and impaired days) for every Class I area. would not be reasonable to require this guidance also indicated that the See 40 CFR 51.308(d)(1). The 1999 RHR additional control measures and adopt monitored days with the lowest and did not mandate specific milestones or an RPG that would be on the glidepath. highest actual deciview levels were to rates of progress, but instead called for The 1999 RHR did not establish an be selected as the least and most states to establish goals that provide for enforceable requirement that natural impaired days.27 This approach worked ‘‘reasonable progress’’ toward achieving conditions be reached by 2064. The EPA well in many Class I areas but caused natural visibility conditions. approved a number of SIPs for the first some concerns in other areas. Specifically, states were required to implementation period that projected Specifically, the ‘‘worst’’ visibility provide for an improvement in visibility that continued progress at the rate days in some Class I areas can be for the most impaired days over the expected to be achieved during the first impacted by irregularly occurring period of the SIP, and ensure no period would not result in natural natural emissions (e.g., wildland degradation in visibility for the least conditions until after 2064. However, wildfires and dust storms). These impaired days over the same period. the EPA also disapproved some SIPs natural contributions to haze vary in To set their RPGs, states were during the first implementation period magnitude and timing. Anticipating this required to consider the four statutory where states argued that no analysis of variability, in the 1999 RHR the EPA reasonable progress factors: (1) The the four factors was necessary because decided to use 5-year averages of costs of compliance; (2) the time visibility was projected to be ‘‘below the visibility data to minimize the impacts necessary for compliance; (3) the energy glidepath’’ at the end of the implementation period even without of the interannual variability in natural and non-air quality environmental additional measures.30 events. However, additional data impacts of compliance; and (4) the available through the IMPROVE In setting their RPGs, each state with remaining useful life of any potentially one or more Class I areas was also monitoring network indicate that in affected sources. States were required to many Class I areas 5-year averages are required to consult with potentially demonstrate in their SIPs how these ‘‘contributing states,’’ i.e., other nearby not sufficient for minimizing these factors were considered when selecting erratic impacts. As a result, visibility states with emission sources that may be the RPGs for the least impaired and affecting visibility impairment in the improvements resulting from decreases most impaired days for each applicable in anthropogenic emissions can be state’s Class I areas. In such cases, the Class I area. The RPGs are not contributing state was required to hidden by this natural variability. 28 enforceable. demonstrate that it included in its long- Further, because of the logarithmic Consistent with the requirement in deciview scale, changes in PM term strategy all measures necessary to section 169A(b) of the CAA that states obtain its share of the emission concentrations and light extinction due include in their regional haze SIPs a 10- to reductions in anthropogenic reductions needed to make reasonable to 15-year strategy for making progress at the Class I area.31 In emissions have little effect on the reasonable progress, 40 CFR deciview value on days with high PM 51.308(d)(3) of the 1999 RHR required 29 The URP for the most impaired days can be concentrations and light extinction due states to include a long-term strategy in represented in a graphical manner by drawing the to natural sources. The use of the days their regional haze SIPs. Under the 1999 ‘‘URP line’’ on a chart with calendar year on the with the highest deciview index values, RHR, a state’s long-term strategy is horizontal axis and deciviews for the 20 percent without consideration of the source of most impaired day on the vertical axis. inextricably linked to the RPGs because 30 76 FR 64186 at 64195 (October 17, 2011) the visibility impacts, thus created the long-term strategy ‘‘must include (proposed action on Arkansas’s RPGs), 77 FR 14604 difficulties when attempting to track enforceable emission limitations, at 14612 (March 12, 2012) (final action on visibility improvements resulting from compliance schedules, and other Arkansas’s RPGs). controls on anthropogenic sources. 31 This consultation obligation is a key element of measures as necessary to achieve the the regional haze program. Congress, the states, the States identified this difficulty prior to reasonable progress goals established by courts and the EPA have long recognized that states having mandatory Class I Federal regional haze is a regional problem that requires 27 Guidance for Tracking Progress Under the areas.’’ 40 CFR 51.308(d)(3). regional solutions. Vermont v. Thomas, 850 F.2d Regional Haze Rule, September 2003, http:// 99, 101 (2d Cir. 1988). Ultimately, early actions by www3.epa.gov/ttnamti1/files/ambient/visible/ states such as Vermont were influential in tracking.pdf 28 64 FR 35754. Congressional enactment of section 169B of the

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determining whether the upwind and haze SIP. Under the 1999 RHR, states providing monitoring sites beyond those downwind states’ long-term strategies were required to submit future planned to be operated by the IMPROVE and RPGs provided for reasonable coordinated long-term strategies, and program during the period covered by a progress toward natural visibility periodic progress reports evaluating SIP revision. Further, if the IMPROVE conditions, the EPA was required to progress towards RPGs. The state’s program must discontinue a monitoring evaluate the demonstrations developed periodic review of its long-term strategy site, this would not be a basis for an by the state. 40 CFR 51.308(d)(1). was required to report on both regional approved regional haze SIP to be found The 1999 RHR required states to haze visibility impairment and inadequate; but rather, the state, the consider all types of anthropogenic reasonably attributable visibility federal agencies and the IMPROVE sources of visibility impairment when impairment and was required to be Steering Committee should work developing their long-term strategies, submitted to the EPA in the form of a together to address the RHR including major and minor stationary periodic comprehensive SIP revision. requirements when the next SIP sources, mobile sources and area Under our proposed changes to the revision is developed. As described in sources. States had to consider a reasonably attributable visibility Section IV.H of this document, we number of factors when developing impairment provisions, this coordinated proposed that progress reports from their long-term strategies, including: (1) approach to a state’s long-term strategies individual states no longer be required Emission reductions due to ongoing air for regional haze and reasonably to review and modify as necessary the pollution control programs, including attributable visibility impairment would state’s monitoring strategy. The measures to address reasonably continue, but will apply in the IMPROVE Steering Committee structure, attributable visibility impairment; (2) infrequent case that a state receives a the requirement to review the measures to mitigate the impacts of certification of reasonably attributable monitoring strategy as part of the construction activities; (3) emissions visibility impairment. periodic comprehensive SIP revision, limitations and schedules for Monitoring Strategy and Other and the requirement for a state to compliance; (4) source retirement and Implementation Plan Requirements. 40 consider any recommendations from the replacement schedules; (5) smoke CFR 51.308(d)(4) of the 1999 RHR EPA or a FLM for additional monitoring management techniques for agricultural included the requirement for a for purposes of reasonably attributable and forestry management purposes; (6) monitoring strategy for measuring, visibility impairment will be sufficient the enforceability of emissions characterizing and reporting of regional to achieve the objective of the current limitations and control measures; and haze visibility impairment that is progress report requirement to review (7) the anticipated net effect on representative of all mandatory Class I the monitoring strategy. visibility due to projected changes in areas within the state. The strategy was point, area and mobile source emissions required to be coordinated with the Consultation Between States and over the period addressed by the long- monitoring strategy required in the 1999 FLMs. The 1999 RHR required that term strategy. 40 CFR 51.308(d)(3)(v). RHR version of 40 CFR 51.305 for states consult with FLMs before Coordinating Regional Haze and reasonably attributable visibility adopting and submitting their SIPs. 40 Reasonably Attributable Visibility impairment. Compliance with this CFR 51.308(i). There are two parts to Impairment. The 1999 RHR fulfilled the requirement could be met through this requirement. First, states must EPA’s responsibility to put in place a ‘‘participation’’ in the IMPROVE provide FLMs an opportunity for an in- national regulatory program that network.32 A state’s participation in the person consultation meeting at least 60 addresses both reasonably attributable IMPROVE network includes state days prior to holding any public hearing visibility impairment and regional haze. support for the use of CAA state and on the SIP. This consultation meeting As part of the 1999 RHR, the EPA tribal assistance grants funds to partially was required to include the opportunity revised the schedule in 40 CFR support the operation of the IMPROVE for the FLMs to discuss their assessment 51.306(c) for the periodic review of network as well as the state’s review of impairment of visibility in any Class reasonably attributable visibility and use of monitoring data from the I area and to offer recommendations on impairment SIPs. The revised version of network. The monitoring strategy was the development of the RPGs and on the this subsection required that the due with the first regional haze SIP, and development and implementation of reasonably attributable visibility under the 1999 RHR it must be reviewed strategies to address visibility impairment plan must continue to every 5 years as part of the progress impairment. Further, a state was provide for a periodic review and SIP reports. The monitoring strategy must required to include in its SIP a revision not less frequently than every also provide for additional monitoring description of how it addressed any 3 years until the date of submission of sites if the IMPROVE network is not comments provided by the FLMs. We the state’s first plan addressing regional sufficient to determine whether RPGs proposed to require that states offer the haze visibility impairment. On or before will be met. To date, neither the EPA opportunity for this already-required in- this date, the state must have revised its nor any state has concluded that the person consultation meeting early plan to provide for periodic review and IMPROVE network is not sufficient in enough that information and revision of a coordinated long-term this way. The evolution of the recommendations provided by the FLMs strategy for addressing reasonably IMPROVE network will be guided by a can meaningfully inform the state’s attributable visibility impairment and Steering Committee that has FLM, EPA decisions on the long-term strategy. The regional haze, and the state must have and state participation, within the second part of the consultation submitted the first such coordinated evolving context of available resources. requirement is that a SIP must provide long-term strategy with its first regional It is the EPA’s objective that individual procedures for continuing consultation states will not be required to commit to between the state and FLMs regarding CAA in 1990. Congress intended this provision of the state’s visibility protection program, the CAA to ‘‘equalize the positions of the States 32 While compliance with 40 CFR 51.308(d)(4) for including development and review of with respect to interstate pollution,’’ (S. Rep. No. regional haze may be met through participation in SIP revisions, progress reports, and the 95–127, at 41 (1977)) and our interpretation the IMPROVE network, additional analysis or implementation of other programs accomplishes this goal by ensuring that downwind techniques beyond participation in IMPROVE may states can seek recourse from us if upwind states be required for compliance with 40 CFR 51.305 for having the potential to contribute to are not doing enough to address visibility transport. reasonably attributable visibility impairment. impairment of visibility in Class I areas.

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We did not propose any change to this measures included in the regional haze Under the 1999 RHR, the first requirement for procedures for SIP; a summary of the emissions progress reports were due 5 years from continuing consultation. This reductions achieved throughout the the initial SIP submittal (with the next continuing consultation should provide state; an assessment of current visibility progress reports for New Mexico, Utah, opportunities for FLM input on the conditions and the change in visibility and Wyoming due in 2018). Most of scope and methods for the state’s impairment over the past 5 years; an these deadlines have already passed technical analyses as they are being analysis tracking the change over the although some are due in 2016 and in planned, while the in-person past 5 years in emissions of pollutants 2017.35 consultation meeting required by the contributing to visibility impairment 5. Tribes and Regional Haze first part of the consultation from all sources and activities within requirement will occur as a state is the state; an assessment of any Tribes have a distinct interest in making decisions based on the significant changes in anthropogenic regional haze due to the effects of conclusions of its technical analyses. emissions within or outside the state visibility impairment on tribal lands as FLMs often participate in multi-state that have occurred over the past 5 years well as on other lands of high value to workgroups on regional haze and that have limited or impeded progress tribal members, such as landmarks related issues and attend multi-state in reducing pollutant emissions and considered sacred. Tribes, therefore, meetings on these topics, which further improving visibility; an assessment of have a strong interest in emission facilitates collaboration with individual whether the current SIP elements and control measures that states and the states during SIP development. strategies are sufficient to enable the EPA incorporate into SIPs and FIPs with state (or other states with mandatory regard to regional haze, and also have an 4. Requirements for the Regional Haze interest in the state response to any Progress Reports Class I areas affected by emissions from the state) to meet all established RPGs; certification of reasonably attributable The 1999 RHR included provisions visibility impairment made by an a review of the state’s visibility 36 for progress reports to be submitted at monitoring strategy and any FLM. The agency has a tribal 5-year intervals, counting from the modifications to the strategy as consultation policy that covers any plan submission of the first required SIP necessary; and a determination of the that the EPA would promulgate that revision by the particular state. The adequacy of the existing SIP (including may affect tribal interests. This requirements for these reports were taking one of four possible actions).34 consultation policy applies to situations included for most states in 40 CFR We proposed to include a number of where a potentially affected source is 51.308(g) and (h). Three western states located on tribal land, as well as clarifications and changes to the (New Mexico, Utah and Wyoming) situations where a SIP or FIP concerns requirements for the content of progress exercised an option provided in the a source that is located on state land and reports. RHR to meet alternative requirements may affect tribal land or other lands that Under the 1999 RHR’s 40 CFR contained in 40 CFR 51.309 for their involve tribal interests. In addition, the 51.308(g) and 40 CFR 51.309(d)(10), SIPs. For these three states, the EPA has and will continue to consider progress reports must take the form of requirements for the content of the 5- any tribal comments on any proposed SIP revisions, so states must follow year progress reports are identical to action on a SIP or FIP. formal administrative procedures those for the other states, but for these In the first implementation period for (including public review and states the requirements for the reports regional haze SIPs, the partnerships were contained in 40 CFR 51.309(d)(10). opportunity for a public hearing) before within the RPOs included strong This section specifies fixed due dates in formally submitting the 5-year progress relationships between the states and the 2013 and 2018 for these progress report to the EPA. See 40 CFR 51.102, tribes, and the EPA encourages states to reports. The 1999 RHR then provided 40 CFR 51.103, and Appendix V to Part continue to invest in those relationships that these three states will revert to the 51—Criteria for Determining the (including consulting with tribes), progress report requirements in 40 CFR Completeness of Plan Submissions. We particularly with respect to tribes 51.308 after the report currently due in proposed to remove the requirement located near Class I areas. States should 2018. We did not propose this aspect of that progress reports be submitted as SIP continue working directly with tribes on the RHR. revisions. their SIPs and their response to any An explanation of the 5-year progress In addition, because progress reports certification of reasonably attributable reports is provided in the preamble to were SIP revisions under the 1999 RHR, visibility impairment made by an FLM. the 1999 RHR.33 This 5-year review was states were required to provide FLMs It is preferable for states to address tribal intended to provide an interim report on with an opportunity for in-person concerns during their planning process the implementation of, and if necessary consultation at least 60 days prior to any rather than the EPA addressing such mid-course corrections to, the regional public hearing on progress report. See concerns in its subsequent rulemaking haze SIP, which is generally prepared in 1999 RHR version of 40 CFR 51.308(i)(2) process. During the development of this 10-year increments. The progress report and (3). Procedures must also be rulemaking, the EPA was asked by the provides an opportunity for public provided for continuing consultation input on the state’s (and the EPA’s) between the state and FLM regarding 35 A number of first progress reports have been assessment of whether the approved development and review of progress submitted by states. Several of these progress reports. See 40 CFR 51.308(i)(4). reports have been approved, action on several regional haze SIP is being implemented others has been proposed, and EPA is still appropriately and whether reasonable reviewing the other submitted reports. There are visibility progress is being achieved 34 40 CFR 51.308(g). See also General Principles also states for which progress reports are overdue, for the 5-Year Regional Haze Progress Reports for and a few states for which progress reports are not consistent with the projected visibility the Initial Regional Haze State Implementation yet due and have not been submitted. improvement in the SIP. Plans (Intended to Assist States and EPA Regional 36 Like the EPA, the Department of the Interior Required elements of the progress Offices in Development and Review of the Progress and the U.S. Forest Service in the U.S. Department report under the 1999 RHR included: Reports), April 2013, EPA–454/B–03–005, available of Agriculture have strong tribal consultation at https://www.epa.gov/sites/production/files/2016- policies. See: http://www.epa.gov/tribal/ The status of implementation of all 03/documents/haze_5year_4-10-13.pdf, (hereinafter consultation/index.htm; http://www.fs.fed.us/spf/ referred to as ‘‘our 2013 Progress Report tribalrelations/authorities.shtml, and https:// 33 64 FR 35747 (July 1, 1999). Guidance’’). www.doi.gov/tribes/Tribal-Consultation-Policy.

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National Tribal Air Association to adopt IV. Final Rule Revisions issued by a panel of Fifth Circuit judges a requirement that states formally The EPA is finalizing revisions to the reviewing motions to stay the EPA’s FIP, consult with tribes during the agency’s visibility regulations that are otherwise referred to as a ‘‘motions development of their regional haze SIPs. intended to build upon the progress panel.’’ That panel expressly noted that The CAA does not explicitly authorize achieved by the visibility program over its ‘‘determination of Petitioners’ the EPA to impose such a requirement the last decade while streamlining likelihood of success on the merits is for on the states. While we recognize the certain administrative requirements that the purposes of the stay only and does 42 value of dialogue between state and are unnecessarily burdensome. The EPA not bind the merits panel.’’ Second, tribal representatives, we did not gained a substantial amount of and more importantly, the Fifth propose to require it. knowledge during the first regional haze Circuit’s evaluation of the EPA’s FIP was based on the existing visibility D. Air Permitting implementation period and learned what aspects of the program work well regulations at 40 CFR 51.308(d). In this rulemaking, we are promulgating new One part of the visibility protection and what aspects could benefit from regulations at 40 CFR 51.308(f) that will program, 40 CFR 51.307, New Source modification. The EPA received information and perspectives from air govern the second and future Review (NSR), was established in 1980 implementation periods. Under CAA with the rationale that while most new agencies and FLMs during this period that were invaluable in developing the section 307(b), the D.C. Circuit Court of sources that may impair visibility were Appeals is the exclusive venue for already subject to review under the proposal. We also received comments from a wide variety of other judicial review of these regulations. Prevention of Significant Deterioration Consequently, the preliminary views of provisions (part C of Title I of the CAA), stakeholders during the public comment process, including groups of states, another circuit on the lawfulness of a additional regulations would ‘‘ensure FIP issued in the first implementation that certain sources exempt from the FLMs, industry and industry representatives, nongovernmental period under our existing regulations at PSD regulations because of geographic 40 CFR 51.308(d) are not germane to criteria will be adequately reviewed for organizations, and others. We considered all timely comments this rulemaking. Third, portions of the their potential impact on visibility in stay decision indicate a fundamental the mandatory Class I Federal area.’’ 37 submitted on the proposal and address many of the most significant comments misunderstanding of aspects of the The EPA explained at proposal that this in this section. We are also providing a visibility program and the EPA’s action was necessary because the PSD separate response-to-comments (RTC) on the Oklahoma and Texas regional regulations did not call for the review of document in the docket for this haze SIPs. For example, the decision on major emitting facilities (or major rulemaking. Between this preamble and several occasions conflated the BART modifications) located in nonattainment and reasonable progress requirements of 38 the RTC document, we have responded areas, and that it was appropriate to to all significant comments received on the RHR, even though the FIP solely 43 ‘‘clarify certain procedural relationships this rulemaking. concerned the latter. Indeed, we between the FLM and the state in the explicitly delayed final action in review of new source impacts on A. Ongoing Litigation in Texas v. EPA promulgating a FIP to address the BART visibility in Federal class I areas.’’ 39 The A number of state and industry requirements for EGUs in Texas in light EPA envisioned that state and FLM stakeholders submitted comments of the D.C. Circuit’s decision to remand consultation would commence with the regarding the ongoing litigation in the several of the Cross-State Air Pollution state notifying the FLM of a potential Fifth Circuit Court of Appeals over the Rule’s (CSAPR) emissions budgets.44 new source, and that consultation EPA’s January 2016 final action that While the decision in Texas v. EPA would continue throughout the partially approved and partially does not dictate the outcome of this permitting process. We proposed to disapproved the Oklahoma and Texas rulemaking, the decision has created revise 40 CFR 51.307 only as needed to regional haze SIPs for the first some confusion regarding certain maintain consistency with revisions to implementation period and aspects of the visibility program, other sections of 40 CFR part 50 subpart promulgated partial FIPs for each including (1) whether states can or must P. state.40 These commenters asserted that consider the four reasonable progress the Fifth Circuit’s decision granting a factors on a source-specific basis; (2) the 37 45 FR 80084 (December 2, 1980). stay 41 of the Texas FIP’s reasonable scope of the consultation requirements; 38 In 1978, PSD rules were put in place that progress emission limits undermined and (3) whether a state’s long-term required permitting agencies to interact with FLMs our proposed revisions to the visibility strategy can contain measures that and for air quality related values (AQRVs) to be regulations. Some commenters also cannot be fully implemented by the end taken into consideration in the PSD permitting of an implementation period. process. 43 FR 26380 (June 19, 1978). Those PSD suggested that we must suspend our rules did not cover sources in nonattainment areas, rulemaking revising the visibility Consequently, we believe that it is and while there were EPA rules for nonattainment regulations until after the Fifth Circuit appropriate to address each of these NSR in existence, they did not require has issued a decision on the merits. issues at this time to explain how it was consideration of Class I areas. In 1979, 40 CFR part treated under the existing regulations 51, appendix S established rules for nonattainment We disagree that the Fifth Circuit’s permitting, but they did not (and still do not) recent stay decision in Texas v. EPA during the first implementation period require consideration of visibility or FLM dictates the lawfulness or timeliness of and whether it will be treated any notification. (The same is also true of a more recent this rulemaking. First, as the addition, 40 CFR 51.165. Where applicable to commenters have noted, the Fifth 42 Id. at *42 n.29. nonattainment areas, this rule does not require 43 See, e.g., id. at *8 (SIPs must ‘‘list the best Class I reviews. While 40 CFR 51.165(b) requires Circuit decision was not a final decision available retrofit technology (‘BART’) that emission that sources located in attainment areas cannot on the merits of our action on the sources in the state will have to adopt to achieve cause or contribute to a NAAQS violation Oklahoma and Texas regional haze SIPs; the visibility goals’’); id. at *9 (‘‘BART is the only anywhere, this does not cover AQRVs in Class I instead, it was a preliminary decision portion of the implementation plan that is enforced areas.) As a result, in 1980, the EPA added against emission sources in a state.’’); id. at *42 requirements to 40 CFR 51.307 for notification of (asserting that ‘‘the BART requirements’’ are ‘‘the FLMs of pending permits for new sources in 40 81 FR 295 (January 5, 2016). portion of the Final Rule imposing injury on nonattainment areas. 41 Texas v. EPA, 2016 U.S. App. LEXIS 13058 (5th Petitioners’’). 39 45 FR 34765 (May 22, 1980). Cir. July 15, 2016). 44 81 FR 301–02.

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differently (and if so how) under the 51.308(f)(2)(i) also refers to ‘‘major or downwind states with a specific type of new regulations governing future minor stationary sources or group of four-factor analysis during the implementation periods. sources, mobile sources, and area consultation process; the four-factor sources.’’ analysis that the upwind state did could 1. Source-Specific Analysis We also note that the stay decision in be based on a source-specific or In Texas v. EPA, the Fifth Circuit Texas v. EPA mistakenly indicated that aggregate approach, for example. The explained that neither the RHR nor the the EPA disapproved the Texas SIP for consultation provisions were intended CAA requires a state to conduct a failing to evaluate the four factors on a to foster and facilitate regional solutions source-specific four-factor analysis.45 source-specific basis. As we explained to what is, by definition, a regional Several commenters cited this aspect of in the January 2016 final rule, we problem, not to mandate specific the Fifth Circuit’s decision to argue that disapproved Texas’s four-factor analysis outcomes. The final revisions largely the EPA’s proposal could not require because the set of sources and controls preserve the existing consultation states to conduct source-specific four- that Texas analyzed was both over- provisions and similarly do not require factor analyses and that, while states inclusive and under-inclusive, not upwind states to provide downwind could conduct such analyses at their because the state failed to conduct a states with any specific type of analysis, discretion, a state’s decision not to do so source-specific analysis.46 Texas’s or vice versa. Nevertheless, to develop could not form the basis of the EPA’s analysis was over-inclusive because it coordinated emission management disapproval of a SIP. Other commenters included controls on sources that served strategies, each state must make argued that proposed 40 CFR only to increase total costs with little decisions with respect to its own long- 51.308(f)(3)(ii) would unlawfully force corresponding visibility benefit, and term strategy with knowledge of what states to conduct source-specific four- under-inclusive because it did not other states are including in their factor analyses if a state’s RPGs provide include scrubber upgrades that would strategies and why. In other words, for a slower rate of improvement in achieve highly cost-effective emission states must exchange their four-factor visibility than the URP. Several reductions that would lead to significant analyses and the associated technical commenters asked us to clarify our visibility improvements. While these information that was developed in the position on these issues. final revisions to the RHR continue to course of devising their long-term Neither the 1999 RHR nor the revised provide states with considerable strategies. This information includes regulations in this rulemaking require flexibility in evaluating the four modeling, monitoring and emissions states to conduct four-factor analyses on reasonable-progress factors, we expect data and cost and feasibility studies. To a source-specific basis. CAA section states to exercise reasoned judgment the extent that one state does not 169A(b)(2) requires states to include in when choosing which sources, groups of provide another other state with these their SIPs ‘‘emission limits, schedules of sources or source categories to analyze. analyses and information, or to the compliance and other measures as may Consistent with CAA section 169A(g)(1) extent that the analyses or information be necessary to make reasonable and our action on the Texas SIP, a are materially deficient, the latter state progress.’’ While these emission limits state’s reasonable progress analysis must should document this fact so that the must apply to individual sources or consider a meaningful set of sources and EPA can assess whether the former state units, section 169A(g)(1) does not controls that impact visibility. If a has failed to meaningfully comply with explicitly require states to consider the state’s analysis fails to do so, for the consultation requirements. four factors on a source-specific basis example, by arbitrarily including costly 3. Timing of Control Requirements when determining what amount of controls at sources that do not emission reductions (and corresponding meaningfully impact visibility or failing Lastly, in Texas v. EPA, the Fifth visibility improvement) constitutes to include cost-effective controls at Circuit’s stay decision suggested that it ‘‘reasonable progress.’’ Unlike section sources with significant visibility was likely that the EPA had exceeded its 169A(g)(2), which requires states to impacts, then the EPA has the authority statutory authority by imposing consider ‘‘any existing control to disapprove the state’s unreasoned emission controls that go into effect technology in use at the source’’ and analysis and promulgate a FIP. after the end of the implementation ‘‘the remaining useful life of the source’’ period.49 This preliminary assessment is when determining BART, section 2. Interstate Consultation incorrect for several reasons. 169A(g)(1) refers to the four factors more In the Texas v. EPA stay decision, the First, we note that the decision did generally. For example, with respect to Fifth Circuit explained that neither the not cite to a provision of the CAA to remaining useful life, section 169A(g)(1) RHR nor the CAA explicitly require support the proposition that the EPA refers not to ‘‘the source,’’ but rather upwind states to provide downwind exceeded its statutory authority. Indeed, ‘‘any existing source subject to such states with source-specific emission the CAA includes no such constraint. requirements.’’ Thus, the EPA has control analyses.47 Consistent with Two provisions are of particular consistently interpreted the CAA to Congress’s focus on interstate relevance. Section 169A(b)(2)(B) provide states with the flexibility to cooperation under section 169B, the requires SIPs to include ‘‘a long-term conduct four-factor analyses for specific 1999 RHR required states to consult (ten to fifteen years) strategy for making sources, groups of sources or even entire with one another when developing their reasonable progress toward meeting the source categories, depending on state RPGs and long-term strategies, develop national goal.’’ The phrase ‘‘ten to policy preferences and the specific ‘‘coordinated emission management fifteen years’’ is ambiguous. It could circumstances of each state. This is the strategies’’ and document any mean that the long-term strategy must case under the 1999 RHR and continues disagreements regarding their goals and be updated every 10 to 15 years or that to be the case under these final strategies.48 We agree with the Fifth the strategy must be fully implemented revisions. Contrary to the arguments in Circuit that the 1999 RHR did not within 10 to 15 years. Even under the some comments, 40 CFR 51.308(f)(3)(ii) require upwind states to provide latter interpretation, courts have held explicitly refers to ‘‘sources or groups of that an agency does not lose authority sources.’’ Similarly, 40 CFR 46 81 FR 313–14. to regulate when a mandatory deadline 47 Id. at *51–53. 45 Id. at *45–51. 48 40 CFR 51.308(d)(1)(iv); (d)(3)(i). 49 Texas, 2016 U.S. App. LEXIS 13058 at *53–57.

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has passed; rather, the appropriate Second, we note that the Fifth Circuit the 1999 RHR prohibited states from remedy is an order compelling agency appeared to misunderstand a provision requiring the control measure. action.50 We therefore do not interpret in the 1999 RHR that it used to support In the proposal for this rulemaking, this provision as restricting the its decision. Specifically, the stay which was promulgated before the Fifth authority of states or the EPA to include decision stated: Circuit’s stay decision, we did not control measures in a SIP or FIP that The Regional Haze Rule requires states to address this issue. At that time, we cannot be fully implemented by the end ‘‘consider . . . the emission reduction thought that it was clear that neither of a regulatory implementation period measures needed to achieve [the reasonable states nor the EPA lose the authority to or as relaxing their obligation to include progress goal] for the period covered by the require emissions limits or other such controls if they are otherwise implementation plan,’’ and to impose measures that are necessary to make necessary to make reasonable progress. ‘‘enforceable emissions limitations, compliance schedules, and other measures, reasonable progress if those limits or To do so would create an inappropriate as necessary to achieve the reasonable measures cannot be fully implemented incentive for states to delay their SIP progress goals.’’ 40 CFR 51.308(d)(1)(i)(B), by the end of the implementation period submittals in an effort to ‘‘run out the (d)(3) (emphasis added). The Regional Haze and incorporated into the RPGs. For the clock’’ on the EPA’s authority to issue Rule provides that each implementation plan reasons provided previously, we a corrective FIP. will cover a ten-year period; before the close continue to believe that this is the case. of each ten-year period, the state must submit Also, section 169A(g)(1) requires a comprehensive revision to cover the next Therefore, we are modifying 40 CFR states to consider ‘‘the time necessary ten-year period. 40 CFR 51.308(b), (f) (first 51.308(f)(2)(i) to explicitly provide that, for compliance’’ when determining implementation plan due December 2007; when considering the time necessary for what control measures are necessary to first ‘‘comprehensive periodic revision’’ due compliance, a state may not reject a make reasonable progress. This phrase July 31, 2018, and every ten years thereafter). control measure because it cannot be is also ambiguous. One possible The emissions controls included in a state installed and become operational until implementation plan, therefore, must be after the end of the implementation interpretation of the phrase is that states those designed to achieve the reasonable need only consider control measures progress goal for the period covered by the period. As discussed previously, the that can be implemented within a plan. 40 CFR 51.308(d)(1)(i)(B).51 state should instead consider that fact in determining the appropriate compliance certain period of time. This However, 40 CFR 51.308(d)(1)(i)(B) does deadline for the measure. Of course, any interpretation is unreasonable, however, not actually say that states must emission reductions that will not occur because it would allow states to forever consider the emission reductions until after the end of the forgo cost-effective but time-intensive measures needed to achieve ‘‘the implementation period should not be emission reduction measures that could reasonable progress goal’’ for the period reflected in the RPGs. otherwise improve visibility, which covered by the implementation plan. would thwart Congress’s national goal. Instead, it requires states to ‘‘consider In addition, to avoid any future A more reasonable interpretation of the the uniform rate of improvement in confusion with respect to this issue, we phrase is that states must consider the visibility and the emission reduction are making a small modification to 40 feasibility of the ‘‘schedules of measures needed to achieve it for the CFR 51.308(f)(3)(i) in these final compliance’’ referred to in section period covered by the implementation revisions. This final provision now 169A(b)(2) when determining when the plan.’’ 52 In essence, the provision reads: emission reductions necessary to make requires a state to make a comparison A State in which a mandatory Class I reasonable progress must be between its chosen control set and the Federal area is located must establish implemented. The structure of section specific set of control measures that reasonable progress goals (expressed in 169A also lends support to this would be needed to achieve the URP by deciviews) that reflect the visibility interpretation. When determining the end of the implementation period. conditions that are projected to be achieved by the end of the applicable implementation reasonable progress, states must The provision does not dictate the date consider three of the same factors that period as a result of those enforceable by which all of the measures in a state’s emissions limitations, compliance schedules, they consider when determining BART. chosen control set must be The only unique reasonable progress and other measures required under paragraph implemented. (f)(2) that can be fully implemented by the factor relates to timing: ‘‘the time Third, the stay decision did not end of the applicable implementation period, necessary for compliance.’’ Congress discuss the EPA’s 2007 reasonable as well as the implementation of other had no reason to include a timing factor progress guidance, which specifically requirements of the CAA. for BART, however, because section recognized that the time needed for full This modification makes it clear that a 169A(b)(2)(A) already includes a implementation of a control measure state’s long-term strategy can include requirement that BART must be might extend beyond the end of the emission limits and measures beyond installed and operated ‘‘as expeditiously implementation period. In such those reflected in the state’s RPGs. The as practicable,’’ which section situations, the EPA stated that it may be RPGs are unenforceable tracking 169A(g)(4) defines as no later than 5 appropriate for states to use the time metrics. They are not meant to dictate years from the date of plan approval. necessary for compliance factor ‘‘to or limit the content of a state’s long-term With no similar requirement in section adjust the [RPG] to reflect the degree of strategy for making reasonable progress 169(b)(2), it is reasonable to interpret improvement in visibility achievable towards Congress’s national goal. This that Congress intended ‘‘the time within the period of the first SIP,’’ 53 change is also consistent with our necessary for compliance’’ factor to which would prevent the state from serve an analogous function to the actions promulgating FIPs near the end falling short of its goal. The 2007 of the first implementation period, ‘‘expeditiously as practicable’’ language, guidance did not state that the CAA or albeit with more discretion left to the which by necessity included reasonable

states. 51 progress emission limits with Texas, 2016 U.S. APP. LEXIS 13058 at *53–54. 54 52 40 CFR 51.308(d)(1)(i)(B) (emphases added). compliance deadlines after 2018. 50 Oklahoma v. EPA, 723 F.3d 1201, 1223–24 53 Guidance for Setting Reasonable Progress Goals (10th Cir. 2013) (citing Brock v. Pierce Cty., 476 U.S. Under the Regional Haze Program, revised, at 5–2 54 81 FR 296 (January 5, 2016) (Texas); 81 FR 253, 260 (1986). (June 1, 2007). 68319 (October 4, 2016) (Arkansas).

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B. Cooperative Federalism regulations.’’ 60 In accord with these reduce burdens on states. The revisions principles, the Third Circuit recently require states to consider certain factors Some commenters invoked principles remanded the EPA’s approval of a and provide certain information as they of cooperative federalism to argue that state’s regional haze SIP where the EPA develop their regional haze SIPs, but the proposed revisions were too deferred too readily to state conclusions they do not mandate specific outcomes. prescriptive and thus undermined the without providing a sufficient Where applicable, the revisions also discretion afforded to states by the CAA. explanation for overlooking problems in provide states with significant flexibility As support for this argument, the the SIP.61 Thus, the view expressed by to take state-specific facts and commenters pointed almost exclusively the Fifth Circuit motions panel in the circumstances into account when to the Fifth Circuit’s stay decision in stay decision is an outlier. developing their long-term strategies.68 Texas v. EPA, discussed previously, in More importantly, however, the Thus, contrary to the commenters’ which a motions panel of the Fifth situation in Texas v. EPA is inapposite assertions, the final revisions are fully Circuit described EPA’s role in to the situation here. In Texas, we consistent with the CAA’s cooperative- reviewing SIPs as ‘‘ministerial.’’ 55 partially disapproved an individual federalism framework and the decision Commenters also suggest the proposed state’s implementation plan and in Corn Growers, which addressed revisions are inconsistent with the promulgated a FIP to fill the gap. In this EPA’s authority to require states to principles announced in American Corn rulemaking, we are not expressing views consider the visibility benefits of BART Growers Association v. EPA, 291 F.3d 1 on any state’s implementation plan, so controls in a specific fashion, a set of (D.C. Cir. 2002) (‘‘Corn Growers’’). it is simply premature to suggest that we facts not present in this rulemaking, is As a preliminary matter, the are affording insufficient deference to not on point. state choices. Rather, we are commenters’ reliance on Texas v. EPA C. Clarifications To Reflect the EPA’s is misplaced. The view expressed in the promulgating revisions to the existing visibility regulations that will guide Long-Standing Interpretation of the stay decision, that the EPA has only a Relationship Between Long-Term ‘‘ministerial function’’ in reviewing future SIP development. In 1977, Congress expressly required the EPA to Strategies and Reasonable Progress SIPs, is at odds with the great majority Goals of courts that have considered this issue promulgate regulations ‘‘to assure (A) in the context of the regional haze reasonable progress toward meeting the 1. Summary of Proposal national goal . . . and (B) compliance program. Under the principles of Under the 1999 RHR, states were cooperative federalism, the CAA vests with the requirements of [section 169A].’’ 62 Congress also required the required to revise their regional haze state air agencies with substantial EPA’s regulations to ‘‘provide SIPs every 10 years by evaluating and discretion as to how to achieve guidelines to the States’’ 63 regarding reassessing all of the elements required Congress’s air-quality goals and 69 ‘‘methods for identifying, under 40 CFR 51.308(d). Over the standards, but states exercise this characterizing, determining, course of the first implementation authority with federal oversight. As the quantifying, and measuring visibility period, however, we realized that some Tenth Circuit explained in Oklahoma v. impairment;’’ 64 ‘‘modeling techniques of the requirements in 40 CFR 51.308(d) EPA, ‘‘the EPA reviews all SIPs to for determining the extent to which were creating confusion regarding the ensure that they comply with the manmade air pollution may reasonably relationship between RPGs and the [CAA],’’ and ‘‘[t]he EPA may not be anticipated to cause or contribute to long-term strategy and the respective approve any plan that ‘would interfere such impairment;’’ 65 and ‘‘methods for obligations of upwind and downwind with any applicable requirement’ of [the states. We discussed this issue at length 56 preventing and remedying such Act].’’ Relying on Oklahoma, the manmade air pollution and resulting in our December 14, 2014, proposed Eighth Circuit in North Dakota v. EPA visibility impairment.’’ 66 In 1990, action on the Texas and Oklahoma held that the ‘‘EPA is left with more Congress reiterated this statutory regional haze SIPs,70 and incorporated than the ministerial task of routinely obligation, tasking the EPA again with that discussion by reference in the 57 approving SIP submissions,’’ and that carrying out its ‘‘regulatory proposal for this rulemaking.71 the ‘‘EPA’s review of a SIP extends not responsibilities under [section 169A], For example, under 40 CFR 51.308(d), only to whether the state considered the including criteria for measuring states were required to (1) develop necessary factors in its determination, ‘reasonable progress’ toward the RPGs, (2) calculate baseline and natural but also to whether the determination is national goal.’’ 67 visibility conditions, (3) establish long- one that is reasonably moored to the These final revisions to the 1999 RHR term strategies and (4) adopt monitoring CAA’s provisions.’’ 58 Similarly, in and 1980 reasonably attributable strategies and other measures to track Arizona v. EPA, the Ninth Circuit held visibility impairment regulations are future progress and ensure compliance. that the ‘‘EPA is not limited to the fully consistent with this extensive The sequencing of these requirements in ‘ministerial’ role of verifying whether a grant of rulemaking authority. The the rule text was problematic because it determination was made; it must revisions will ensure that the steady did not accord with the way the ‘review the substantive content of the environmental progress achieved during planning process works in practice. For . . . determination,’ ’’ 59 and that the the first implementation period example, states must calculate baseline ‘‘EPA has a substantive role in deciding continues, while streamlining several and natural visibility conditions before whether state SIPs are compliant with administrative aspects of the program to they can compare their RPGs to the the Act and its implementing URP. Similarly, states must evaluate the 60 Id. at 532 (emphasis in original). control measures that are necessary to 55 Texas, 206 U.S. App. LEXIS 13058 at *5. 61 Nat’l Parks Conservation Ass’n v. EPA, 803 56 Oklahoma v. EPA, 723 F.3d 1201, 1204 (10th F.3d 151, 167 (3d Cir. 2015). 68 See, e.g., 81 FR at 26954/1 (explaining that Cir. 2013). 62 CAA section 169A(b). states have the flexibility to justify and use values 57 North Dakota v. EPA, 730 F.3d 750, 761 (8th 63 CAA section 169A(b)(1). for natural visibility conditions that include Cir. 2013). 64 CAA section 169A(a)(3)(A). anthropogenic international emissions). 58 Id. at 766. 65 CAA section 169A(a)(3)(B). 69 40 CFR 51.308(f). 59 Ariz. el rel. Darwin v. EPA, 815 F.3d 519, 531 66 CAA section 169A(a)(3)(C). 70 79 FR 74823–30 (December 14, 2014). (9th Cir. 2016). 67 CAA section 169B(e)(1). 71 81 FR 26949, 26952.

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make reasonable progress using the four projected future emissions under the limitations, compliance schedules, and factors and develop their long-term long-term strategies to establish RPGs other measures that are necessary to strategies before they can predict future and then compare those goals to the make reasonable progress,’’ and emission reductions and conduct the URP line; 73 and (4) adopt a monitoring determine those limits, schedules, and regional-scale modeling used to strategy and other measures to track measures by considering the four establish RPGs. future progress and ensure compliance. statutory factors. Similarly, problematic was the confusing way in which 40 CFR 2. Comments and Responses We disagree that the CAA requires 51.308(d) addressed the obligations of In response to our proposed structural EPA’s regulations to allow states to upwind and downwind states. Under 40 revisions to 40 CFR 51.308(f), we calculate the visibility improvement CFR 51.308(d)(1)(i)(A), downwind states received a number of significant that represents ‘‘reasonable progress’’ were explicitly required to consider the comments. Some commenters prior to or independently from the four factors when developing their contended that the proposed revisions analysis of control measures. The RPGs. Upwind states, on the other hand, were contrary to the structure and plain commenters do not explain how states were implicitly required to consider the language of the CAA. They explained could consider costs, time schedules, four factors only when developing their the position that states must first make energy and environmental impacts or long-term strategies. Section 40 CFR a ‘‘determination’’ as to what constitutes the remaining useful lives of sources 51.308(d)(3)(iii) required states to ‘‘reasonable progress’’ by analyzing the other than by assessing the potential ‘‘document the technical basis, four statutory factors on a source- impacts of control measures on those including modeling, monitoring and category basis. Then, only after sources. Indeed, use of the terms emissions information, on which the ‘‘reasonable progress’’ is quantified as a ‘‘compliance’’ and ‘‘subject to such State is relying to determine its benchmark or goal do states have to requirements’’ in section 169A(g)(1) apportionment of emission reduction consider what emission limits, strongly indicates that Congress obligations necessary for achieving schedules of compliance and other intended the relevant determination to reasonable progress in each mandatory measures at individual sources are be the requirements with which sources Class I Federal area it affects.’’ As we actually necessary to make reasonable would have to comply in order to satisfy progress. The commenters further explained in our December 14, 2014, the CAA’s reasonable progress mandate. explained that this reading of the statute proposed action on the Texas and Moreover, the reasonable progress Oklahoma regional haze SIPs, the CAA was supported by the current factors share obvious similarities with requires states to determine reasonable regulations, the preamble to the 1999 the BART factors, which are progress by considering the four factors, RHR and the EPA’s prior guidance. indisputably used to determine so the determination of the proper Based on their reading, these apportionment of emission reductions commenters concluded that proposed appropriate control measures for 74 necessarily required a state to evaluate 40 CFR 51.308(f)(2), which would sources. the four factors in reaching its decision. govern long-term strategies, and Finally, we note that RPGs are not a This structure made little sense because proposed 40 CFR 51.308(f)(3), which concept that is included in the CAA both upwind and downwind states need would govern RPGs, were contrary to itself. Rather, they are a regulatory to conduct their four-factor analyses, the CAA because states must first construct that we developed to satisfy a determine the proper apportionment of determine reasonable progress separate statutory mandate in section emission reduction obligations, and independently from the development of 169B(e)(1), which required our develop their long-term strategies before the long-term strategy, not the other way regulations to include ‘‘criteria for the downwind state will have sufficient around. measuring ‘reasonable progress’ toward information to establish RPGs. We disagree. Our proposed structural the national goal.’’ 75 Under 40 CFR Recognizing that the sequence and revisions to 40 CFR 51.308(f) are 51.308(f)(3)(ii), RPGs continue to serve structure of the existing regulations was consistent with the CAA. Section this important analytical function. They confusing, we proposed to amend 40 169A(b)(2) requires states to submit SIP measure the progress that is projected to CFR 51.308(f), which governs periodic revisions that contain ‘‘emission limits, be achieved by the control measures SIP revisions for future implementation schedules of compliance and other states have determined are necessary to periods, to codify our long-standing measures as necessary to make make reasonable progress based on a interpretation of the way in which the reasonable progress toward meeting the existing regulations were intended to national goal’’ and ‘‘a long-term (ten to four-factor analysis. Consistent with the operate. Specifically, we proposed to fifteen years) strategy for making 1999 RHR, the RPGs are 76 eliminate the cross-reference in 40 CFR reasonable progress.’’ Section 169A(g)(1) unenforceable, but they create a 51.308(f) to 40 CFR 51.308(d) and to states that, in determining reasonable benchmark that allows for analytical adopt new regulatory language that progress, states must consider four tracked the actual planning sequence, factors: ‘‘the costs of compliance, the 74 Compare CAA section 169A(g)(1) with CAA while clarifying the obligations of section 169A(g)(2). time necessary for compliance, and the 75 upwind and downwind states.72 See 64 FR 35731 (‘‘The final rule calls for States Under energy and nonair quality to establish ‘reasonable progress goals,’ expressed in the proposal, states would (1) calculate environmental impacts of compliance, deciviews, for each Class I area for the purpose of baseline, current and natural visibility and the remaining useful life of any improving visibility on the haziest days and not conditions, progress to date and the existing source subject to such allowing degradation on the clearest days over the URP; (2) develop a long-term strategy for period of each implementation plan or revision. requirements.’’ Under 40 CFR The EPA believes that requiring States to establish addressing regional haze by evaluating 51.308(f)(2), both as proposed and as we such goals is consistent with section 169A of the the four factors to determine what are finalizing it, states must similarly CAA, which gives EPA broad authority to establish emission limits and other measures are submit a ‘‘long-term strategy’’ that regulations to ‘ensure reasonable progress,’ and necessary to make reasonable progress; with section 169B of the CAA, which calls for EPA includes ‘‘enforceable emissions to establish ‘criteria for measuring reasonable (3) conduct regional-scale modeling of progress’ toward the national goal.’’). 73 This step applies only to downwind states that 76 Compare 40 CFR 51.308(f)(3)(iii) with 40 CFR 72 81 FR 26952. have mandatory Class I Federal areas. 51.308(d)(v).

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comparisons to the URP 77 and mid- state measures (the Clean Air Interstate sources,’’ 82 but that the factors could implementation-period course Rule (CAIR), mobile source measures, potentially be applied to sources other corrections if necessary.78 etc.), anticipated BART controls and than point sources as well. We also Other commenters stated that the anticipated reasonable progress described the intricate relationship proposed revisions to 40 CFR 51.308(f) measures. The proposed and final between RPGs, BART, and the long-term were significant and unexplained revisions to 40 CFR 51.308(f) are fully strategy: departures from the EPA’s prevailing consistent with this process. Under 40 The RPGs, the long-term strategy, and interpretation of the reasonable progress CFR 51.308(f)(ii), states must develop BART (or alternative measures in lieu of factors and long-term strategy during the their long-term strategies by identifying BART) are the three main elements of the first implementation period. Several reasonable progress measures using the regional haze SIPs that States are required to commenters contended that the four factors and engaging in interstate submit by December 17, 2007. The long-term strategy and BART emissions limitations or revisions constituted an arbitrary and consultation. Once their strategies have capricious change of position under the other alternative measures, including cap- been developed, states with Class I areas and-trade programs or other economic Supreme Court’s recent decision in must establish RPGs that reflect existing Encino Motorcars, LLC v. Navarro, 136 incentive approaches, are inherently related federal and state measures (the CSAPR, to the RPG. The long-term strategy is the S. Ct. 2117 (2016). For example, one the Mercury and Air Toxics Standards, compilation of ‘‘enforceable emissions commenter contended that it was BART, mobile source measures, etc.) limitations, compliance schedules, and other paradoxical for the long-term strategy to and the reasonable progress measures in measures as necessary to achieve the include the measures necessary to the long-term strategy. [RPGs],’’ and is the means through which the achieve the RPGs, while the RPGs were State ensures that its RPG will be met. BART the predicted visibility outcome of In contrast, the commenters have emissions limits (or alternative measures in implementing the emission controls in proposed a process in which states lieu of BART, such as the Clean Air Interstate the long-term strategy. The commenter would either model their RPGs without Rule (CAIR)) are one set of measures that explained that this was inconsistent fully developed emissions information must be included in the SIP to ensure that or select their goals arbitrarily without an area makes reasonable progress toward the with the 1999 RHR, which made no national goal, and the visibility improvement mention of RPGs being set based on the any modeling at all. We rejected a resulting from BART (or a BART alternative) predicted visibility improvement similar approach in the 1999 RHR. In is included in the development of the RPG.83 the 1997 proposal for the RHR, we resulting from emission controls. We note that the discussion Another commenter contended that proposed to establish presumptive previously refers to the long-term the EPA’s proposed approach puts the reasonable progress targets of 1.0 strategy as including the measures cart before the horse because it does not deciview of improvement for the most ‘‘necessary to achieve the RPG,’’ and allow states and RPOs to set visibility impaired days and no degradation for that several provisions in the 1999 RHR targets and then select the appropriate the least impaired days and to require were worded similarly.84 We believe emission reduction measures to reach states to develop emission reduction this type of language may have caused those targets. This would result in strategies to achieve the reasonable confusion among some of the inefficiencies, according to the 79 progress targets. In the 1999 RHR, we commenters. This language does not commenter, because states may have to revised the proposal to eliminate the mean that we intended states to develop secure additional emission reductions if presumptive targets and instead their RPGs first and later adopt their chosen strategies result in RPGs required states ‘‘to determine the rate of measures in the long-term strategy to that fall short of the URP. The progress for remedying existing achieve those RPGs. Rather, it merely commenter explained that states would impairment that is reasonable, taking acknowledges the fact that, because we need more guidance regarding what into consideration the statutory intended states to develop their RPGs by types of sources and source categories to 80 factors.’’ Importantly, we explained modeling, among other things, the consider when seeking emission that, ‘‘[i]n considering whether measures in the long-term strategy, the reductions. The commenter requested reasonable progress will continue to be measures in the strategy are necessary to that the EPA develop a more logical maintained, States will need to consider achieve the RPGs. For example, BART is process whereby states and RPOs would during each new SIP revision cycle one of the measures in the long-term first develop visibility goals, allocate whether additional control measures for strategy, and the discussion previously those goals among the states and then improving visibility may be needed to clearly states that ‘‘the visibility give states latitude to identify and make reasonable progress based on the improvement resulting from BART (or a assure emission reductions to achieve 81 statutory factors.’’ Thus, the 1999 BART alternative) is included in the those visibility goals by using the four RHR was clear that states must development of the RPG.’’ We proposed factors. determine what control measures are We disagree with these comments. the structural revisions to 40 CFR necessary to make reasonable progress 51.308(f) in part to eliminate this cart- They reflect a misunderstanding of the by considering the four factors and then regional haze planning process before-the-horse ambiguity. use this information to determine the Later, the 2007 guidance clearly generally followed by states. During the rate of progress that is reasonable for describes the goal-setting process as first implementation period, the RPOs each mandatory Class I Federal area. starting with the evaluation of control conducted the regional-scale modeling measures. First, we recommended that used to establish their member states’ In 2007, we provided guidance to the states ‘‘[i]dentify the key pollutants and RPGs. To conduct this modeling, the states on setting RPGs. There, we sources and/or source categories that are RPOs relied on 2018 emissions explained that the guidance’s discussion contributing to visibility impairment at projections that reflected future of the four factors was ‘‘largely aimed at application of reasonable controls for helping States apply these factors in considering measures for point 82 Guidance for Setting Reasonable Progress Goals sources, including existing federal and Under the Regional Haze Program, at 1–3 (2007) (emphasis added). 77 Compare 40 CFR 51.308(f)(3)(ii) with 40 CFR 79 62 FR 41146–47 (July 31, 1997). 83 Id. at 1–4. 51.308(d)(1)(ii). 80 64 FR 35731 (July 1, 1999). 84 See, e.g., 40 CFR 51.308(d)(3), (d)(3)(ii), 78 40 CFR 51.308(g)(7), (h). 81 Id. at 35733. (d)(3)(v)(C).

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each Class I area.’’ 85 Second, we RHR, our 2007 guidance and the and at odds with the purpose of the recommended that states ‘‘[i]dentify the planning process actually used by states visibility program. In this situation, the control measures and associated during the first implementation period. state should take a second look to see emission reductions that are expected to For this reason, the Supreme Court’s whether more effective controls or result from compliance with existing decision in Encino Motorcars is additional measures are available and rules and other available measures for inapplicable. reasonable. Whether the state takes this the sources and source categories that Another commenter contended that second look or not, it may not abandon contribute significantly to visibility the EPA’s proposed revisions failed to the controls it has already determined impairment.’’ 86 Third, and most include a necessary step where states are reasonable based on the four factors. importantly, we recommended that evaluate the control measures identified Regional haze is visibility impairment states ‘‘[d]etermine what additional as necessary to make reasonable that is caused by the emission of air control measures would be reasonable progress in light of the RPGs pollutants from numerous sources based on the statutory factors and other themselves. This commenter requested a located over a wide geographic area. At relevant factors for the sources and/or mechanism whereby a state could any given Class I area, hundreds or even source categories you have determine that some of the initially thousands of individual sources may identified.’’ 87 Finally, we recommended evaluated control measures were contribute to regional haze. Thus, it that states ‘‘[e]stimate through the use of unnecessary in light of the RPGs would not be appropriate for a state to air quality models the improvement in themselves. In particular, this reject a control measure (or measures) visibility that would result from commenter suggested that a state should because its effect on the RPG is implementation of the control measures be able to reject ‘‘costly’’ control subjectively assessed as not you have found to be reasonable and measures if (1) the RPG for the most ‘‘meaningful.’’ Also, for Class I areas compare this to the uniform rate of impaired days is on or below the URP where visibility conditions are progress.’’ 88 In sum, ‘‘[t]he line or (2) the RPGs are not considerably worse than natural improvement in visibility resulting from ‘‘meaningfully’’ different than current conditions because of continuing implementation of the measures you visibility conditions. anthropogenic impairment from have found to be reasonable . . . is the We disagree that the states should be numerous sources, the logarithmic amount of progress that represents your able to reevaluate whether a control nature of the deciview index makes the RPG.’’ 89 This is the process that states measure is necessary to make reasonable effect of a control measure on the value used during the first implementation progress based on the RPGs. The CAA of the RPG less than its effect would be period, see the RTC at 2.2.1.2.6 for requires states to determine what if visibility conditions at the Class I area examples, and it is the same process emission limitations, compliance were better. Thus, if a state could reject that the states must follow under the schedules and other measures are a control measure based on its final revisions to 40 CFR 51.308(f). necessary to make reasonable progress individual effect on the RPG, the state While the guidance went on to note by considering the four factors. The would be more likely to reject those that states could attempt to ‘‘back out’’ CAA does not provide that states may measures that are necessary to make the measures necessary to achieve the then reject some control measures reasonable progress at the dirtiest Class URP by modeling first and then already determined to be reasonable if, I areas, which would thwart Congress’ considering the four factors to select in the aggregate, the controls are national goal. appropriate measures,90 few if any states projected to result in too much or too One commenter contended that the chose this approach, likely because it little progress. Rather, the rate of proposed revisions would lead to was a more complicated way to achieve progress that will be achieved by the disagreements among states because the same result as the recommended emission reductions resulting from all states might set different RPGs instead approach. Under either approach, states reasonable control measures is, by of working jointly toward the still had to use the four factors to justify definition, a reasonable rate of progress. downwind state’s goals. We disagree. whether the control measures necessary In regards to the commenter’s first Only downwind states set RPGs for their to achieve the URP were reasonable, suggestion, if a state has reasonably mandatory Class I Federal areas, so whether achieving the URP was selected a set of sources for analysis and there is no situation in which there unreasonable and some of lesser set of has reasonably considered the four would be different goals for the same measures was reasonable, or whether factors in determining what additional area. control measures are necessary to make additional measures were reasonable. Another commenter contended that reasonable progress, then the state’s Moreover, the ‘‘back out’’ approach the proposed revisions would force analytical obligations are complete if the specified a concrete visibility target as states to require controls even where resulting RPG for the most impaired its basis: The visibility that would be visibility at a Class I area is already days is below the URP line. The URP is achieved by the URP at the end of the equivalent to or better than the visibility not a safe harbor, however, and states implementation period. The approach that represents the URP at the end of the may not subsequently reject control would be arbitrary and unworkable as a implementation period. We agree that measures that they have already some states may end up establishing step in making the justifications just determined are reasonable. If a state’s RPGs that exceed the URP, but as we mentioned if the visibility target were RPG for the most impaired days is above explained previously in this document, chosen at random, as some commenters the URP line, then the state has an the URP was never intended to be a safe have requested. In sum, the EPA’s additional analytical obligation to harbor. In the 1999 RHR, we explained proposed structural revisions are ensure that no reasonable controls were that ‘‘[i]f the State determines that the completely consistent with the 1999 left off the table. amount of progress identified through The commenter’s second suggestion, the analysis is reasonable based upon 85 Id. at 203. 86 Id. (emphasis in the original). that states should be able to reject the statutory factors, the State should 87 Id. ‘‘costly’’ control measures if the RPG for identify this amount of progress as its 88 Id. the most impaired days is not reasonable progress goal for the first 89 Id. at 2–4 (emphasis added). ‘‘meaningfully’’ different than current long-term strategy, unless it determines 90 Id. at 2–3 to 2–4. visibility conditions, is counterintuitive that additional progress beyond this

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amount is also reasonable. If the State obligations as downwind states. One implementation period. As discussed determines that additional progress is commenter asserted that, under the later in this preamble, we are expanding reasonable based on the statutory proposal, all states would be subject to the scope of the 1980 reasonably factors, the State should adopt that the RHR for the very first time, attributable visibility impairment amount of progress as its goal for the regardless of whether they have a regulations to all states for the first time, first long-term strategy.’’ 91 This mandatory Class I Federal area or not. but the new reasonably attributable approach is consistent with and Another commenter contended that visibility impairment provisions only advances the ultimate goal of section requiring upwind states to conduct four- require state action upon receipt of a 169A: Remedying existing and factor analyses for downwind Class I certification by a FLM. Historically, preventing future visibility impairment. areas was a new requirement that was there have been very few FLM Congress required the EPA to not part of the 1999 RHR. This certifications requesting states to assess promulgate regulations requiring commenter acknowledged that upwind controls for a particular source or small reasonable progress toward that goal, states must address downwind Class I group of sources. and it would be antithetical to allow areas where their emissions ‘‘may Finally, we note that the language states to avoid implementing reasonable reasonably be anticipated to cause or ‘‘may affect’’ in 40 CFR 51.308(f)(2) was measures until and unless that goal is contribute to any impairment of adapted from the 1999 RHR, which used achieved. visibility’’ at the downwind area, but the same term.93 On July 8, 2016, we Other commenters were supportive of suggested that the proposed revisions released draft guidance that discusses the proposed structural revisions use the language ‘‘may affect’’ instead. how states can determine which Class I intended to clarify the relationship This commenter stated that the EPA’s areas they ‘‘may affect’’ and therefore between RPGs and long-term strategies. proposal did not define or quantify what must consider when selecting sources They explained that by reorienting these the term ‘‘may affect’’ means. for inclusion in a four-factor analysis.94 provisions to reflect the EPA’s long- The draft guidance discusses various standing interpretation, the EPA was Section 169A(b)(2) states that the EPA’s approaches that states used during the regulations must: Require each applicable providing a clearer blueprint for states implementation plan for a State in which any first implementation period, provides to follow in future implementation [mandatory Class I Federal] area . . . is states with the flexibility to choose from periods. These commenters also located (or a for a State the emissions from among these approaches in the second provided specific suggestions for how which may reasonably be anticipated to implementation period, and the EPA could further revise the cause or contribute to any impairment of recommends that states adopt ‘‘a proposed regulatory text for 40 CFR visibility in any such area) to contain such conservative . . . approach to 51.308(f). Among other things, these emission limits, schedules of compliance and determining whether their sources may commenters requested that the EPA other measures as may be necessary to make affect visibility at out-of-state Class I reasonable progress toward meeting the 95 include language in the regulations that national goal. areas.’’ We plan to finalize the draft would make it clear that a state’s long- guidance in the near future. term strategy can include emission Section 169A(g)(1) thus requires states We also received comments on the limits and other measures that cannot be to determine the measures necessary to proposed interstate consultation installed by the end of an make reasonable progress by provisions in 40 CFR 51.308(f). A few implementation period. As discussed considering the four factors, while commenters inquired whether proposed earlier in Section IV.A of this document, section 169A(a)(1) defines Congress’s 40 CFR 51.308(f)(2)(iii) 96 would affect a we are modifying the language in 40 national goal as preventing future and substantive change from the existing CFR 51.308(f)(2(i) and 51.308(f)(3)(i) to remedying existing anthropogenic consultation provisions in 40 CFR make this point clear. We have reviewed visibility impairment in all Class I areas. 51.308(d). One commenter stated that the other suggestions made by these Thus, Congress was clear that both proposed 40 CFR 51.308(f)(2)(ii) would commenters and do not believe that downwind states (i.e., ‘‘a State in which apparently require states to consider they are necessary, as discussed more any [mandatory Class I Federal] area how other states calculated the URP, fully in the RTC document available in . . . is located) and upwind states (i.e., adopted emission reduction measures the docket for this rulemaking. ‘‘a State the emissions from which may for sources and adopted any additional We also received several comments reasonably be anticipated to cause or measures that may be needed to address regarding the obligations of upwind and contribute to any impairment of state contributions. This commenter downwind states. Some commenters visibility in any such area’’) must revise also argued that proposed 40 CFR supported the revisions that were their SIPs to include measures that will 51.308(f)(2)(iii) would incentivize states intended to clarify that all states must make reasonable progress at all affected not to agree with other states on conduct a four-factor analysis to Class I areas. Congress was also clear coordinated emission management determine what control measures are that states must determine the necessary strategies because an agreement would necessary to make reasonable progress measures and rate of progress that are create an enforceable obligation against at each mandatory Class I Federal area reasonable by considering the four the state. Another commenter stated that affected by emissions from the state. factors. Our proposed revisions to 40 the EPA would need to coordinate and They explained that any other CFR 51.308(f)(2) are in accord with this interpretation of the CAA’s congressional mandate. 93 See 40 CFR 51.308(d)(3). requirements would allow an upwind The commenter who suggested that 94 81 FR 44608 (July 8, 2016). state to continue impairing downwind our proposed revisions are expanding 95 Draft Guidance on Progress Tracking Metrics, visibility without consequence, the scope of the RHR to all states for the Long-term Strategies, Reasonable Progress Goals and Other Requirements for Regional Haze State regardless of whether there were first time is incorrect. The 1999 RHR Implementation Plans for the Second reasonable, cost-effective measures that applies to all states,92 and all states Implementation Period, at 57–58 (2016). would improve downwind visibility. submitted regional haze SIPs (or asked 96 As explained later in this document, the final Other commenters argued that upwind the EPA to promulgate a regional haze rule includes a consolidation and resulting renumbering of some of the proposed provisions of states should not have the same FIP on its behalf) during the first 40 CFR 51.308(f)(2). This discussion refers specifically to either proposed or final section 91 64 FR 35732. 92 40 CFR 51.300(b)(1)(i). numbers to avoid confusion.

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mediate interstate consultations in order interstate consultations. During the first to require states to consider the for them to prove successful. implementation period, states consulted emission reduction measures identified With one exception, we did not one-on-one and through the RPO under 40 CFR 51.308(f)(2)(i) a second intend the proposed interstate process without EPA oversight, and we time. As discussed in the following consultation provisions to affect a expect this process to work going paragraph, we are moving the third substantive change from the existing forward as well. requirement in proposed 40 CFR provisions in the 1999 RHR. Under the 3. Final Rule 51.308(f)(2)(ii) to the interstate proposed provisions, as under the 1999 consultation provisions. RHR, states must consult to develop We are finalizing the revisions to 40 We are changing proposed 40 CFR CFR 51.308(f) that were intended to coordinated emission management 51.308(f)(2)(iii), regarding interstate clarify the relationship between RPGs strategies, demonstrate that their SIPs consultations, to be 40 CFR and long-term strategies and the contain all agreed-upon emission 51.308(f)(2)(ii) and making several obligations of upwind and downwind reduction measures, and document changes. First, we are removing the states largely as proposed. However, we disagreements so that the EPA can distinction between contributing states are making several changes to the properly evaluate whether each state’s and states affected by contributing states provisions in 40 CFR 51.308(f)(2) implementation plan provides for because the substance of the two governing long-term strategies to reasonable progress toward the national provisions was essentially the same. simplify these provisions, enhance goal. We also proposed a new The final revisions include a single clarity and eliminate superfluous requirement, in 40 CFR 51.308(f)(2)(ii), provision requiring each state to consult that states must consider the control regulatory text. with the other states that are reasonably strategies being adopted by other states In 40 CFR 51.308(f)(2), we are revising anticipated to contribute to visibility when conducting their own four-factor the requirement that states must include impairment in a mandatory Class I analyses. The purpose of this provision in their long-term strategies ‘‘the Federal area to develop coordinated was to ensure that if one state had enforceable emissions limitations, emission management strategies. identified a control measure as being compliance schedules, and other Identification of the other states should reasonable for a source or group of measures that are necessary to achieve occur as part of a regional planning sources to improve visibility at a Class reasonable progress’’ to read ‘‘make process. Second, we are revising the I area, then other states that affect that reasonable progress’’ instead. This language that required states to obtain Class I area would be required to change is to maintain consistency with consider that control measure for their the language in CAA section 169A(b)(2). either their ‘‘share of the emission own sources, to the extent that the In 40 CFR 51.308(f)(2)(i), we are reductions needed to provide for sources share similar characteristics. making two minor changes. First, we are reasonable progress’’ or ‘‘all measures However, in reviewing proposed 40 CFR revising the beginning of the first needed to achieve its apportionment of 51.308(f)(2)(ii), we realized that it sentence to read, ‘‘[t]he State must emission reduction obligations’’ contains extraneous language that has evaluate and determine the emission depending on whether the state was a led to confusion among some of the reduction measures that are necessary to contributing state or a state affected by commenters. We discuss this issue in make reasonable progress by contributing states. Most states are both more depth, and other changes being considering’’ the four factors. We contributing states and states affected by made to the consultation provisions, in believe that this formulation is clearer contributing states, so these variations the following section. than the language in the proposal and in wording could be viewed as creating In regard to the commenter’s concern more consistent with the language of the two distinct obligations. Now, each state that the consultation provisions will CAA. Second, we are revising the must demonstrate that it has included in incentivize states to avoid entering into second sentence, and splitting it into its long-term strategy ‘‘all measures agreements with each other to avoid two separate sentences, to make it clear agreed to during state-to-state enforceable obligations, we disagree. that states must consider anthropogenic consultations or a regional planning States largely worked cooperatively to sources of visibility impairment when process, or measures that will provide develop coordinated emission conducting their four-factor analyses, equivalent visibility improvement.’’ management strategies during the first not natural sources, and that Third, as discussed previously, we have implementation period, and we expect anthropogenic sources can include moved the requirement that states that they will do so again. If a state mobile and area sources in addition to consider the emission reduction believes that additional controls from major and minor stationary sources. As measures other states have identified as sources in another state or states are mentioned earlier, we are also adding a being necessary to make reasonable necessary to make reasonable progress sentence to 40 CFR 51.308(f)(2)(i) progress from proposed 40 CFR at a Class I area, then the state should regarding the consideration of emission 51.308(f)(2)(ii), which accordingly has document the disagreement to assist the controls that cannot reasonably be been eliminated, to the interstate EPA in determining whether the other installed prior to the end of the consultation provisions (now numbered state’s SIP is inadequate. Moreover, implementation period. as 40 CFR 51.308(f)(2)(ii)) because it is even if states were to avoid entering into We are removing proposed 40 CFR a more logical place for it. We have also agreements for the purpose of avoiding 51.308(f)(2)(ii) in these final revisions, revised the wording of this provision to enforceable obligations under 40 CFR which required states to consider the eliminate the ambiguity in the proposed 51.308(f)(iii), this would not absolve the URP, the emission reduction measures language noted by commenters states of their independent obligation to identified under 40 CFR 51.308(f)(2)(i), regarding ‘‘additional measures being include in their SIPs enforceable and measures being adopted by adopted’’ by other states. Under this emission limits and other measures that contributing states under 40 CFR provision, states must consider whether are necessary to make reasonable 51.308(f)(2)(iii) when developing their the emission reduction measures other progress at all affected Class I areas, as long-term strategies. States are already states have identified by other States for determined by considering the four required to consider the URP under 40 their sources as being necessary to make factors. Finally, we do not believe that CFR 51.308(f)(3)(ii) when establishing reasonable progress in the mandatory the EPA needs to coordinate or mediate their RPGs. Moreover, it is duplicative Class I Federal area. This consideration

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is appropriate especially when the schedules, and other measures that are 31, 2004, at the value of the 2000–2004 sources are of a similar type and have necessary to make reasonable progress baseline visibility conditions for the 20 similar emissions profiles and visibility in their long-term strategies. Section percent most impaired days, and ending impacts. IV.G of this document discusses at the value of natural visibility We are changing proposed 40 CFR revisions we are making to the conditions on December 31, 2064. 51.308(f)(2)(iv), regarding additional factor regarding basic smoke Specifying that the 5-year average documentation requirements, to be 40 management practices and smoke baseline visibility conditions are CFR 51.308(f)(2)(iii) and making a few management programs. associated with the date of December minor changes. First, we are revising the 31, 2004, and that natural visibility D. Other Clarifications and Changes to first sentence to require the states to conditions are associated with the date Requirements for Periodic ‘‘document the technical basis, of December 31, 2064, also clarifies that Comprehensive Revisions of including modeling, monitoring, cost, the period of time between the baseline Implementation Plans engineering, and emissions information, period and natural visibility conditions, on which the State is relying to The following clarifications and which is needed for determining the determine the emission reduction changes were also proposed to be URP (deciviews/year) is 60 years. measures that are necessary to make included in the revised 40 CFR Along with the clarification that the reasonable progress in each mandatory 51.308(f). A summary of each proposed baseline period remains 2000–2004 for Class I area it affects.’’ The proposed clarifying change, a synopsis of the final subsequent implementation periods, the language referred to ‘‘information on the rule, and a discussion of comments EPA also proposed clarifications in 40 factors listed in (f)(2)(i) and modeling, received and EPA’s responses are given CFR 51.308(f)(1)(i) regarding how states monitoring, and emissions later. treat Class I areas without available information,’’ but we believe this The URP line starts at 2000–2004, for monitoring data or Class I areas with language was confusing because it every implementation period. incomplete monitoring data, as follows: suggested that information on the four 1. Summary of Proposal If Class I areas do not have monitoring factors was something distinct from data for the baseline period, data from modeling, monitoring and emissions The 1999 RHR’s text of 40 CFR representative sites should be used; if information. The purpose of this 51.308(d)(1)(i)(B) contains a discussion baseline monitoring data are provision is to require states to of how states must analyze and incomplete, states should use the 5 document all of the information on determine ‘‘the rate of progress needed complete years closest to the baseline which they rely to develop their long- to attain natural visibility conditions by period. We proposed to add this term strategies, which will primarily be the year 2064.’’ This rate has commonly provision to remove any uncertainty information used to conduct the four- been called the ‘‘uniform rate of about how an issue of data factor analysis. Therefore, in addition to progress’’ or URP as well as ‘‘the incompleteness should be addressed in modeling, monitoring and emissions glidepath.’’ The 1999 RHR’s text of 40 a SIP. information, we are making it explicit CFR 51.308(f), which indicates that Finally, we proposed language in 40 that states must also submit the cost and states must evaluate and reassess all CFR 51.308(f)(3)(i) and an engineering information on which they elements required by 40 CFR 51.308(d), accompanying definition of ‘‘end of the are relying to evaluate the costs of requires states to evaluate and reassess applicable implementation period’’ in compliance, the time necessary for the URP in the second and subsequent 40 CFR 51.301 to make clear that RPGs compliance, the energy and non-air implementation periods. We explained are to address the period extending to quality impacts of compliance and the in the proposal that 40 CFR 51.308(d) is the end of the year of the due date of remaining useful lives of sources. not perfectly clear as to whether the the next periodic comprehensive SIP We are removing proposed 40 CFR URP line for the second or later revision. 51.308(f)(2)(v), which required states to implementation periods must always 2. Comments and Responses identify the anthropogenic sources of start in the baseline period of 2000– visibility impairment analyzed using the 2004, or whether the state must (or may) Some commenters were supportive of four factors and the criteria used to recalculate the starting point of the URP EPA’s proposal to have the URP line select sources for analysis, because 40 line based on data from the most recent start at 2000–2004 for every CFR 51.308(f)(2)(i) as finalized already 5-year period during each successive implementation period, although some includes these requirements. regional haze SIP revision.97 We also asked for the option of recalculating the Finally, we are changing proposed 40 explained that although the regulations URP for the start of each CFR 51.308(f)(2)(vi) to be 40 CFR make clear that the endpoint of the URP implementation period based on how 51.308(f)(2)(iv) and making a few line should be set based on attainment much further progress is needed to changes. We are revising the first of the natural visibility condition for the reach natural conditions given the sentence of this provision to clarify that 20 percent most impaired days in 2064, progress already achieved. Other the enumerated factors are additional to the 1999 RHR does not specify an exact commenters did not agree with EPA’s the factors states must consider in 40 date in 2064 for this element. proposal and instead supported a CFR 51.308(f)(2)(i). We are also To ensure consistent understanding of revision to the regulations that would removing proposed 40 CFR how the URP analysis must be done, the require states to reset the URP at current 51.308(f)(2)(vi)(C) and (F) because they EPA proposed rule revisions in 40 CFR visibility conditions during each are duplicative requirements. These 51.308(f)(1)(i) and (vi) that would make periodic review, provided those provisions required states to consider it explicit that in every implementation visibility conditions are better than the emission limitations and schedules period, the URP line for each Class I during the baseline. Taking into account for compliance to achieve the RPG and area is to be drawn starting on December past improvements in visibility that the enforceability of emission were in excess of the URP in this way limitations and control measures. 97 The preamble to the 1999 RHR provides an would result in a lower-lying URP line example explaining how a state would determine Section 40 CFR 51.308(f)(2) already the 2028 point on the URP line. 64 FR at 35746, for successive planning periods. This requires states to include enforceable n. 113. In this example, the URP line for the second could change the comparison of the RPG emission limitations, compliance implementation period starts at 2000–2004. to the URP line, and trigger the

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requirement of 40 CFR 51.308(f)(3)(ii) to ensure no degradation for the clearest projected visibility condition on the show that there are no additional days. clearest days as of the end of the given measures that would be reasonable to 1. Summary of Proposal implementation period) shows no include in the long-term strategy, when degradation, the benchmark for that it would not be triggered if the start of Section 169A of the CAA requires a comparison should be the lowest the URP line had been kept at the 2000– SIP to not only reduce existing visibility measured impairment of either the 2004 period. impairment but also to prevent future baseline period or current conditions As explained in the 1999 RHR, the impairment. As part of meeting the goal reported in any progress report or consideration of the improvement in of preventing future visibility comprehensive periodic revision for the visibility represented by the URP and impairment, 40 CFR 51.308(d)(1) of the clearest days. The approach 1999 RHR requires a state to establish the measures necessary to attain that recommended by the commenter would RPGs that ensure no degradation in level of improvement is an analytical mean that the benchmark for the no visibility for the least impaired days requirement. In the 1999 RHR, EPA degradation comparison would ratchet adopted this required analysis in lieu of over the period of the implementation down over time. establishing presumptive reasonable plan. This text is ambiguous, however, progress targets, in part to provide as to whether ‘‘the period of the One commenter pointed out that as equity between the goals set for the implementation plan’’ refers to the proposed, 40 CFR 308(f)(3)(i) addressed Class I areas in the more impaired entire period since the baseline period not just the requirement for no eastern portion of the country as of 2000–2004 or to the specific degradation for the clearest days but compared to the areas in the western implementation period addressed by the also the requirement that there be an portion. The URP analysis also helps to periodic SIP revision. The proposal improvement for the most impaired provide transparency to the overall noted that a table in the preamble to the days. This commenter noted that the regional haze SIP planning process, in 1999 RHR summarizing certain relevant sentence of 40 CFR 308(f)(3)(i) part by requiring states to compare their requirements indicated that the 2000– could be interpreted to mean that the RPGs to the rate of progress represented 2004 period would be used for ‘‘tracking baseline period of 2000–2004 is the by the URP at each Class I areas. Neither visibility improvement.’’ 98 To provide benchmark for determining if the long- of these goals would be served by further clarity on this issue, we term strategy and RPG for the most allowing states to adopt differing proposed new rule text in revised 40 impaired days provides for an approaches to the calculation of the CFR 51.308(f)(3)(i) that would make improvement.99 The commenter said URP. clear that the requirement is for a state that the final rule should provide that We have considered the comments to establish an RPG for the 20 percent the benchmark for the improvement suggesting that the URP be redrawn clearest days in each periodic review requirement should be the lowest during each successive planning period. that ensures that there is no measured impairment of either the Although such an approach is deterioration in visibility on the 20 baseline period or current conditions apparently intended by commenters to percent clearest days as compared to the reported in any progress report or maintain pressure on the states to adopt baseline period of 2000–2004. We note comprehensive periodic revision for the more comprehensive and effective that while 40 CFR 308(d)(1) of the 1999 most impaired days. The approach reasonable progress strategies, it is not RHR expresses the requirement of no recommended by the commenter would clear that this approach would in fact degradation in visibility in terms of the mean that the benchmark for the achieve that outcome because it may RPG for the 20 percent clearest days, improvement comparison would ratchet create disincentives for states to take this requirement comes into play as a down over time. aggressive action during the first few factor in what emission sources are planning periods. This is because subject to additional control measures We are finalizing our proposal to resetting the URP would make it more in the long-term strategy, because this clarify that the benchmark for the likely that a state that has taken early RPG is the projected result of requirement for no degradation on the and aggressive action to improve implementing the long-term strategy. In 20 percent clearest days is the 2000– visibility would become subject to the other words, a state must adopt a long- 2004 baseline visibility condition. enhanced analytical requirement of 40 term strategy that includes the necessary Further, we are clarifying that the CFR 51.308(f)(3)(ii), thus generating a measures to ensure that the expected baseline visibility condition for the 20 possible disincentive for continued visibility on the 20 percent clearest days percent most impaired days is also the progress. at the end of the planning period, as benchmark for the requirement that the Because we have concluded that our represented by the RPG for these days, long-term strategy and RPGs provide for proposed approach of starting the URP will not deteriorate as compared to the an improvement for the most impaired for every implementation period at visibility condition for these days in days. We are taking this approach in the 2000–2004 will result in the most 2000–2004.The rule text we proposed final rule for several reasons. equitable and transparent process and for 40 CFR 308(f)(3)(i) made this Visibility on the clearest days has provide the strongest incentive for connection explicit by saying that the been improving since the 2000–2004 continued progress toward achieving long-term strategy and the RPG must period in most Class I areas, generally natural visibility conditions, we are provide for no degradation. tracking the improvements seen on the finalizing that approach with no 2. Comments and Responses 20 percent haziest and 20 percent most changes to 40 CFR 51.308(f)(1)(i) or (vi). The EPA received comments both in 3. Final Rule 99 The relevant sentence in the rule reads, ‘‘The support of, and raising concerns with, long-term strategy and reasonable progress goals The EPA is finalizing all of the the proposed changes. The commenters must provide for an improvement in visibility for previously described rule text without opposed to our proposal preferred that the most impaired days and ensure no degradation any changes from the proposal. when a state documents that the RPG for in visibility for the clearest days since the baseline period.’’ The concluding phrase ‘‘since the baseline The long-term strategy and the RPGs the 20 percent clearest days (i.e., the period’’ can be taken to apply to only the clearest must provide for an improvement in days, or to both the most impaired days and the visibility for the most impaired days and 98 64 FR 35730. clearest days.

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impaired days.100 We expect that it will point for the URP, across Class I areas current conditions. If a state were to set continue to be the case that emission in a given implementation period and an RPG that reflects a forecast of reduction measures that provide for across implementation periods, will aid degradation during a particular period, reasonable progress on the 20 percent public understanding and participation the adequacy of the SIP would need to most impaired days will also have in SIP development. For these reasons, be carefully assessed. In this situation, benefits on the clearest days. Thus, we we are finalizing our proposal on this additional measures may be necessary expect that there will be a continuing aspect of the RHR. to ensure reasonable progress, improvement on the clearest days In addition, we are finalizing wording depending on the underlying regardless of the benchmark selected, in 40 CFR 308(f)(3)(i) that makes it clear explanation for the forecasted even if the rule did not contain any that the baseline condition in 2000– degradation. It may be that a state would requirement for no degradation on the 2004 is also the benchmark for be able to show that any forecasted clearest days. Even so, we believe that determining whether the long-term degradation is attributable to causes the no degradation requirement with the strategy and RPGs provide for an other than deficiencies in its long-term 2000–2004 visibility condition as the improvement in visibility for the most strategy, but such a demonstration benchmark is an appropriate backstop impaired days, but repeating the would need to be carefully assessed. We in the rule that will continue to require reference to this baseline so that it links note that for at least the next planning states to consider additional measures unambiguously to that requirement as period or two, the requirement to in the event that measures adopted to well as to the no degradation consider the four statutory factors for a improve visibility on the most impaired requirement. We recognize that since reasonably selected set of sources days are insufficient to protect visibility 2000–2004 there have been widespread should result in the adoption of on the clearest days. improvements in visibility on the most additional control measures that We are not adopting the approach of impaired days and that this already provide an improvement, especially for ratcheting down the benchmark for the accomplished improvement has created a state with sources that contribute to no degradation requirement. If we were a ‘‘cushion’’ for a comparison to check impairment at a Class I area with an to do this, it might lead to unreasonable that the RPG for the end of a future RPG above the URP line. outcomes in some cases. Available air implementation period shows quality modeling approaches for improvement. However, we disagree 3. Final Rule forecasting visibility conditions are at with the commenter’s suggestion that Upon careful consideration of public present more uncertain when predicting the benchmark for the improvement comments received on this issue, the low concentrations of visibility- requirement should ratchet down over EPA is finalizing the proposed rule with impairing pollution than when time, for similar but not entirely a clarifying edit to the proposed predicting higher concentrations, identical reasons that we disagree language to make it clear that the making comparisons of two ‘‘clean’’ regarding the no degradation baseline visibility condition is also the scenarios more uncertain. Such requirement. The advantage of benchmark for determining whether the comparisons could become required for consistency to public understanding long-term strategy and RPGs provide for many areas and have critical applies to the improvement requirement an improvement in visibility on the implications for SIP approvals. Errors in as well as to the no degradation most impaired days. such comparisons due to modeling requirement. While the problem of The sentences of the final version of system errors might lead to modeling uncertainty applies less to the 40 CFR 51.308(f)(1)(i), regarding the inappropriate SIP disapprovals if the most impaired days at this stage of the calculation of the baseline visibility benchmark for the no degradation regional haze program, in later periods conditions, have been slightly reordered requirement continually ratcheted down the most impaired days will be clearer and reworded from the proposed as progress is made. Another than they are now and the difficulty of version for clarity. In addition, the final consideration is that even with a 5-year distinguishing differences may apply sentence of this paragraph, regarding averaging approach, transient natural more strongly. Also, we are mindful of Class I areas that did not have IMPROVE phenomena might cause a temporary the potential for reducing incentives for monitoring stations installed in time to improvement in visibility on the states to take action during the first few provide complete monitoring data for clearest days entirely unrelated to the planning periods. With the 2000–2004 2000–2004, has been re-worded to content and implementation of states’ period as the benchmark for the no clarify that ‘‘closest’’ means closest in long term strategies, which would degradation requirement, a state has an time to 2000–2004 and does not refer to permanently reduce the benchmark if incentive to take early action to improve another Class I area that is nearest in the ratcheting approach were followed. the clearest days because this will create distance. In the final version of 40 CFR It might then be very difficult or a safety margin in case later 51.308(f)(1)(ii), an occurrence of ‘‘or’’ unreasonable for a state in subsequent developments outside the state’s control has been corrected to ‘‘and’’ to indicate periods to show no degradation relative cause an increase in impairment on that natural visibility conditions for to this lower benchmark given that on these days. Ratcheting down the both the most impaired days and the the clearest days influences from baseline for the no degradation clearest days must be based on available anthropogenic sources will be relatively requirement would remove this monitoring information. Minor edits for small. Finally, we believe that incentive for continued progress clarity have also been included in the consistency between the benchmark for because it would never be possible for final versions of 40 CFR 51.308(f)(1)(iii) the no degradation test and the starting a state to create a safety margin. and (iv). However, the use of the baseline Analytical Obligation When the 100 The RTC contains graphics illustrating these period as the benchmark for the no Reasonable Progress Goal for the 20 improvement trends. The only situations in which degradation and improvement Percent Most Impaired Days Is Not On there has been degradation since 2000–2004 are at requirements does not mean that states or Below the URP Line. a few Class I areas in the Virgin Islands and Alaska are free to simply allow visibility levels where sea salt particles significantly contribute to 1. Summary of Proposal light extinction on the clearest days and to return to what they were in the concentrations of such particles on those days have baseline period, or to allow for The EPA proposed 40 CFR increased over this period. degradation in visibility as compared to 51.308(f)(3)(ii) in order to clarify the

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relationship between the RPG for the 20 for the most impaired days in the SIP of which we expect to finalize in the near percent most impaired days and the the state containing the Class I area does future. This guidance can provide URP line. This relationship determines not ‘‘set the bar’’ for the contributing further direction regarding the types of the content of the demonstration a state state’s long-term strategy. information and analyses a state may provide in its demonstration under 40 must submit to show that its long-term 2. Comments and Responses strategy provides for reasonable CFR 51.308(f)(3)(ii). The EPA is progress. This clarification was based The EPA received comments both in therefore finalizing this provision as upon the 1999 RHR’s text of 40 CFR support of, and opposed to, the proposed. In addition, one commenter 51.308(d)(1)(ii). That provision proposed changes. Comments opposing stated that the ‘‘robust demonstration’’ addresses required actions of a state these provisions stated that this language of the proposed 40 CFR containing a Class I area that has additional requirement goes beyond the 51.308(f)(3)(ii)(A) was missing from the adopted an RPG for the area that CAA’s requirement to consider the four proposed 40 CFR 51.308(f)(3)(ii)(B). The provides for a slower rate of visibility statutory factors. The EPA disagrees EPA agrees the necessary text was improvement than that needed to attain with this assertion. Congress declared a missing from proposal, as states with natural conditions by 2064 (i.e., an RPG national goal of preventing any future Class I areas should be subject to the for the 20 percent most impaired days and remedying any existing visibility same type of demonstration as those that is above the URP line). The impairment in Class I areas resulting contributing states without Class I areas. proposed text of 40 CFR from manmade air pollution and Therefore, the final rule includes in the 51.308(f)(3)(ii)(A) stated that if the RPG delegated to EPA the authority to requirements for a contributing state in for a Class I area is above the URP line, promulgate regulations assuring 40 CFR 51.308(f)(3)(ii)(B) the same the state containing the Class I area reasonable progress toward meeting that requirement for a robust demonstration must demonstrate, based on the four goal. CAA section 169A(a)(1), (a)(4). The that appeared only in 40 CFR reasonable progress factors, that there analytical obligations contained in 40 51.308(f)(3)(ii)(A) at proposal. are no additional emission reduction CFR 51.308(f)(3)(ii) are a mechanism to Some commenters stated a desire for measures for anthropogenic sources or ensure that states are, in fact, making corresponding rule text dealing with groups of sources in the state that may reasonable progress by requiring states situations where RPGs are equal to be reasonably anticipated to contribute in certain circumstances to demonstrate (‘‘on’’) or better than (‘‘below’’) the URP to visibility impairment that would be the reasonableness of their four-factor or glidepath. Several commenters stated analyses. In addition, some commenters reasonable to include in the long-term that the URP or glidepath should be a suggested that the term ‘‘robust strategy, and that such a demonstration ‘‘safe harbor,’’ opining that states should demonstration’’ is overly vague and is required to be ‘‘robust.’’ Specifically, be permitted to analyze whether expressed concern that, essentially, the this demonstration must include projected visibility conditions for the EPA could take advantage of this documentation of the criteria used to end of the implementation period will vagueness in order to form its own determine which sources or groups of be on or below the glidepath based on criteria for disapproval of a SIP. Most sources were evaluated and of how the on-the-books or on-the-way control commenters did not supply any specific four factors were taken into measures, and that in such cases a four- suggestions, simply stating either that consideration in selecting the measures factor analysis should not be required. the term should be clarified or that this for inclusion in its long-term strategy. Other commenters suggested a provision should not be finalized, somewhat narrower entrance to a ‘‘safe In addition, in comparison with the although one commenter suggested harbor,’’ by suggesting that if current 1999 RHR’s 40 CFR 51.308(d)(2)(iv) and states be allowed to refer to information visibility conditions are already below 40 CFR 51.308(d)(3)(i) and (ii), the already submitted or contained in an the end-of-planning-period point on the proposed 40 CFR 51.308(f)(2)(iii) more applicable docket for purposes of such URP line, a four-factor analysis should clearly spelled out the respective a demonstration. We disagree that the not be required. We do not agree with consultation responsibilities of states requirement of a ‘‘robust either of these recommendations. The containing Class I areas as well as states demonstration’’ is vague. The provision CAA requires that each SIP revision with sources that may reasonably be requires the demonstration to be based contain long-term strategies for making anticipated to cause or contribute to on the analysis in 40 CFR 51.308(f)(2)(i), reasonable progress, and that in visibility impairment in those areas. To and further clarifies that the determining reasonable progress states further clarify the obligations of what demonstration must document the must consider the four statutory we are referring to as contributing states, criteria used to determine which factors.101 Treating the URP as a safe we proposed 40 CFR 51.308(f)(3)(ii)(B) sources or groups of sources were harbor would be inconsistent with the to specify that in a situation where the evaluated and how the four reasonable statutory requirement that states assess RPG for the most impaired days is set progress factors were considered. The the potential to make further reasonable above the glidepath, a contributing state purpose of this demonstration is to progress towards natural visibility goal must make the same demonstration with show that a state conducted its analysis in every implementation period. Even if respect to its own long-term strategy in a reasonable manner and that there a state is currently on or below the URP, that is required of the state containing are no additional measures that would there may be sources contributing to the Class I area, namely that there are no be reasonable to implement in a visibility impairment for which it would other measures needed to provide for particular planning period. A state may be reasonable to apply additional reasonable progress. The intent of this refer to its own experience, past EPA control measures in light of the four proposal was to ensure that states actions, the preamble to this rule as factors. Although it may conversely be perform rigorous analyses, and adopt proposed and this final rule preamble, the case that no such sources or control measures necessary for reasonable and existing guidance documents for measures exist in a particular state with progress, with respect to Class I areas direction on what constitutes a reasoned respect to a particular Class I area and that their sources contribute to, determination. Additionally, the EPA implementation period, this should be regardless of whether such areas are recently issued a draft guidance determined based on a four-factor located within their borders. This document that addresses, among other proposed change clarifies that the RPG things, the reasonable progress analysis, 101 CAA section 169A(b)(2)(B), (g)(1).

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analysis for a reasonable set of in-state 2021, there would not be adequate time month ‘‘grace period’’ such that a sources that are contributing the most to after release of these inventories to submission to the NEI in the period 12 the visibility impairment that is still complete all the modeling and analysis months prior to the due date of the SIP occurring at the Class I area.102 It would work required. does not trigger this requirement. We bypass the four statutory factors and Consideration of these comments agree with the comments to the effect undermine the fundamental structure uncovered significant ambiguity in the that there is no reason why a state and purpose of the reasonable progress text of 40 CFR 51.308(d)(3)(iii) of the should not make at least some analysis to treat the URP as a safe 1999 RHR and ambiguity in the information for the year of its most harbor, or as a rigid requirement. proposed new 40 CFR 51.308(f)(2)(iv) recent submission to the NEI part of the that would reflect 40 CFR basis for its determination of the 3. Final Rule 51.308(d)(3)(iii). Specifically, the term emission reduction measures that are The EPA is finalizing all of the ‘‘the baseline inventory on which [the necessary to make reasonable progress. previously described rule text without state’s] strategies are based’’ in the 1999 The state is not required to use the same any changes from the proposal, with the RHR can be taken to refer to the information as was submitted to the exception of including in 40 CFR inventory that is used to assess the NEI, and it should not if it has 51.308(f)(3)(ii)(B) the same requirement contribution that sources make to developed or received better for a robust demonstration that visibility impairment (and the visibility information for that year since its NEI appeared only in 40 CFR benefits of additional control measures, submission. A state may also consider 51.308(f)(3)(ii)(A) at proposal. when such benefits are considered) for information for a more recent year if it Emission inventories. individual sources or groups of sources. is available and is of sufficient quality. That information is critical to the Therefore, we do not believe it is 1. Summary of Proposal development of the long-term strategy necessary or appropriate for the RHR to The EPA proposed language in 40 and, in that sense, is the information on provide for an exception to the CFR 51.308(f)(2)(iv) regarding the which a state’s strategies are to be based. requirement as it is stated in this section ‘‘baseline emissions inventory’’ to be However, we believe that some of the rule text and interpreted here. A used by a state in developing the commenters have taken the term to refer state that plans to use information other technical basis for the state’s long-term to the inventory that is used as the than what is in the most recent NEI strategy. This was done in order to expected starting point for the version released by the EPA to develop reconcile this section with changes that photochemical modeling that they (and its long-term strategy should consult have occurred to 40 CFR part 51, we) expect will be used to project the with its EPA regional office to obtain the subpart A, Air Emissions Reporting RPG that quantifies the projected effect EPA’s preliminary perspective on Requirements, since the RHR was of all the measures in the long-term whether there is a reasonable basis for originally promulgated in 1999. The strategy and other influences on its planned approach. This should also proposed changes were also intended to visibility at the end of the be a topic of the ongoing consultation provide flexibility in the base inventory implementation period. The two bodies with affected FLMs. year the state chooses to use, as the EPA of information are not necessarily the The final version of 40 CFR has always intended if there is good same, and they do not necessarily even 51.308(f)(2)(iv) does not address the reason to use another inventory year. need to be for the same year in order to question of the year to be used as the develop a SIP that provides for base year for emissions modeling of the 2. Comments and Responses reasonable progress. In fact, the RPGs. The EPA generally recommends Commenters were split on whether to modeled RPGs that are eventually that this be the year of the most recent support the flexibility afforded by the included in a SIP revision do not NEI version that has been developed proposed rule text for selecting a year directly affect the development of the and validated enough to be appropriate other than the most recent NEI year as long-term strategy, but rather they for air quality modeling to support the year of the inventory to be used as reflect that strategy. We are revising the policy development. The final rule the basis for developing the long-term proposed regulatory text to make this provides the EPA flexibility to approve strategy. Some commenters supported clear. The final regulations use the a SIP based on another year if there are the proposal, while others preferred that ‘‘emissions information on which the good reasons. States that believe that EPA require or definitively endorse that State’s strategies are based’’ to refer to another year is more suitable should the 2011 NEI can be used as the base the inventory that is used to assess the consult with the EPA Regional office year for modeling for the next periodic contribution that sources make to about their reasons. visibility impairment and not to the comprehensive SIP revisions. The latter 3. Final Rule view generally resulted from concerns base year inventory used to model the For the reasons described previously, that while additional NEI versions, such RPGs. and also here, the final language for 40 as the 2014 and 2017 NEI versions, The requirement in the final version CFR 51.308(f)(2)(iv) differs somewhat should be available by the time periodic of 40 CFR 51.308(f)(2)(iv) is that the from the wording we proposed with comprehensive SIP revisions are due in emissions information on which the state is relying to determine the respect to the terminology used to refer 102 The point that having a RPG that is on or emission reduction measures that are to emissions inventories. The final below the URP line is not a safe harbor has been necessary to make reasonable progress version of this subsection of the rule articulated in past actions such as the disapproval must include, but need not be limited refers to the ‘‘emissions information on of the reasonable progress element of Arkansas’ SIP to, information on emissions in a year which the state’s strategies are based,’’ (see fn 32). Our approval of the reasonable progress element of South Dakota’s SIP is an example in at least as recent as the most recent year rather than to a ‘‘baseline’’ emissions which we approved the state’s RPGs even though for which the State has submitted inventory. The final version also does the RPG for the most impaired days for two Class emission inventory information to the not include a provision for EPA I areas were above the respective URP lines, based Administrator under the Air Emissions approval for selecting a year other than on the state having adequately considered the four statutory factors for important contributing sources. Reporting Requirements. To allow time the year of the most recent submission 76 FR 76646 (December 8, 2011) (proposed action) for this information to be used in SIP under the Air Emissions Reporting and 77 FR 24845 (April 26, 2012) (final action). development, the rule provides for a 12- Requirements as the year of the

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inventory to be used as the basis for report,’’ which EPA is incorporating implementation period involved developing the long-term strategy. into the final text (this is discussed selecting the least and most impaired However, the final rule provides a 12- later). In addition, one commenter noted days as the monitored days with the month grace period for the use of the that states should also be required to lowest and highest actual deciview year of the most recent submission address the requirements of proposed 40 levels regardless of the source of the under the Air Emissions Reporting CFR 51.308(g)(8) in periodic particulate matter causing the visibility Requirements. The rule does not comprehensive SIP revisions. Proposed impairment. While the EPA approved address the selection of a year as the 40 CFR 51.308(g)(6), renumbered in the SIPs using this approach for the first base year for emissions modeling of the final rule as 40 CFR 51.308(g)(8), implementation period, experience now RPGs for the end of the implementation requires progress reports to include a indicates that for the most impaired period. summary of the most recent assessment days an approach focusing on EPA action on RPGs. of smoke management programs anthropogenic impairment is more operating within the state if such appropriate because it will more 1. Summary of Proposal assessments are an element of the effectively track whether states are The proposed language of 40 CFR program. (As background, this is not a making progress in controlling 51.308(f)(3)(iv) was intended to make requirement of the 1999 RHR for either anthropogenic sources. Our proposed clear that in approving a state’s RPGs, progress reports or periodic SIP approach is also more consistent with the EPA will consider the controls and revisions.) We agree that the provisions the definition of visibility impairment technical demonstration provided by a of 40 CFR 51.308(f)(5) do not contain a in 40 CFR 51.301. Because the 1999 contributing state with respect to its requirement similar to the requirement RHR rule text already refers to the 20 long-term strategy, in addition to those in proposed 40 CFR 51.308(g)(6) or final percent most impaired days, we did not developed by the state containing the 40 CFR 51.308(g)(8). However, for any propose to change that wording. In the Class I area with respect to its long-term state where smoke from prescribed fires preamble to the proposal, we made clear strategy. This clarification was proposed is a significant contributor to visibility that going forward, we would interpret in light of the 1999 RHR’s 40 CFR impairment, the analysis that it will ‘‘most impaired days’’ to mean those 51.308(d)(1)(iii), which only explicitly perform under 40 CFR with the greatest anthropogenic mentions the demonstration provided 51.308(f)(3)(iv)(D) as finalized (the visibility impairment, as opposed to the by the state containing the Class I area. requirement for a state to consider basic 20 percent haziest days. We did not propose to change the approach of using 2. Comments and Responses smoke management practices and smoke management programs) will serve the the 20 percent of days with the best No comments were received that same purpose as would requiring visibility to represent good visibility specifically addressed this proposed periodic SIP revisions to summarize the conditions for RPG and tracking rule text. conclusions of the most recent purposes, but we did propose a rule text change to refer to them as the 20 percent 3. Final Rule assessment of an existing smoke management program. clearest days rather than the 20 percent The EPA is finalizing this rule text as least impaired days. proposed. 3. Final Rule The proposal included changes to a Progress report elements of periodic The EPA is finalizing this rule text as number of the definitions in 40 CFR comprehensive SIP revisions. proposed with only minor wording 51.301 as well as added definitions for 1. Summary of Proposal changes for clarity including a small some previously undefined terms, change in wording in response to a including clearest days, the deciview The proposed language in 40 CFR public comment indicating confusion index, natural visibility conditions and 51.308(f)(5) complemented proposed with the terminology ‘‘past progress visibility. changes regarding progress reports and report.’’ The EPA agrees that this should The EPA solicited comment on the proposal to eliminate separate instead refer to the ‘‘most recent requiring all states to use the new progress reports being due progress report’’ and is finalizing meaning of ‘‘most impaired days’’ as simultaneously with periodic referring to the days with the most revised text accordingly. comprehensive SIP revisions by anthropogenic impairment, as well as requiring periodic comprehensive SIP E. Changes to Definitions and on a second proposed approach. In the revisions to include certain information Terminology Related to How Days Are second proposed rule alternative, states that would have been addressed in the Selected for Tracking Progress would be allowed to choose between progress reports. While the proposed selecting the 20 percent of days with the 1. Summary of Proposal language would expand the scope of highest overall haze (i.e., the approach periodic comprehensive SIP revisions, The 1999 RHR’s 40 CFR 51.308(d) used in the first implementation period) the same information would still be required states to determine the and selecting the 20 percent of days covered and states would no longer visibility conditions (in deciviews) for with the most impairment from need to prepare and submit two separate the average of the 20 percent least anthropogenic sources (the proposed documents (potentially containing impaired and 20 percent most impaired new meaning). The EPA also solicited overlapping content) at the same time. visibility days over a specified time comment on any additional approaches. period at each of their Class I areas. As 2. Comments and Responses discussed in detail in the preamble of 2. Comments and Responses Few comments were received that the proposed rule, the definition of We received some comments favoring specifically addressed this proposed visibility impairment included in 40 the first proposed rule alternative that rule text. Those that did address these CFR 51.301 of the 1999 RHR suggests expressed support for a single, provisions supported the proposed that only visibility impacts from consistent approach to selecting the 20 changes, with one comment anthropogenic sources should be percent most impaired days for all additionally suggesting use of the included when considering the degree states. However, the majority of terminology ‘‘the most recent progress of visibility impairment. However, the comments from states favored the report’’ instead of ‘‘the past progress approach followed for the first second proposed rule alternative due to

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the flexibility it offered. Some additional confusion. In addition, we Regarding the proposed changes to comments on the second proposed rule believe the approach of using definitions, commenters recommended alternative expressed concerns about, anthropogenic impairment to select the adding language to the definitions of and requested guidance for, 20 percent worst days is more consistent most impaired days, regional haze, and consultation between states in situations with the intent of the original RHR, visibility impairment to further clarify where two states use different namely to reduce the aggregate effect that these terms refer to impairment due approaches. Some comments favoring that anthropogenic sources have on the to anthropogenic sources. The EPA the second proposed rule alternative visual experience of visitors to Class I agrees that some of the suggestions said that they anticipated that using the areas. provided by commenters further clarify 20 percent most anthropogenically The EPA disagrees that concerns that visibility impairment is due to impaired days would mean an regarding additional workload and lack anthropogenic sources and does not additional workload that would of resources preclude adopting the first include emissions from natural sources. consume state resources during the proposed alternative. The EPA and Therefore, in response to these planning process, and cited this as the IMPROVE program will work together to comments, we have finalized additional reason they did not support the first provide datasets that identify the most changes to the definitions of most proposed rule alternative. One anthropogenically impaired days in impaired days, regional haze, and commenter suggested that the final rule each year of IMPROVE data and that visibility impairment to also include the could allow states submitting their SIPs contain the statistical summaries of concept that impairment is for the second implementation period these days need as part of a SIP revision anthropogenic. by the 1999 RHR’s deadline of July 31, or progress report. These datasets will We also received comments on the 2018, to choose between using the 20 be based on a specific method the EPA proposed change to the definition of percent most anthropogenically intends to recommend in a future natural conditions and the proposed impaired days or the 20 percent haziest guidance document. We expect that definition of natural visibility days, with states submitting later these datasets will avoid any increase in conditions. The commenters asked the required to use the latter approach. the workload and resources required of EPA to further revise these definitions states relative to continued use of the to reflect the reality that natural After considering these comments and haziest days. We will also work with conditions have changed over time and other considerations as described here, any state or states interested in a will continue to change in the future; to we are finalizing the first proposed different specific method for identifying make clear the timeframe of natural alternative for the final rule (i.e., that the most impaired days than the one we visibility conditions we intend to be ‘‘most impaired days’’ means those with will recommend, to avoid an increase in captured by the definition; that natural the most anthropogenic impairment). workload that would interfere with visibility conditions may reflect poor The EPA often provides states flexibility other aspects of SIP development. visibility conditions; and to more when it may help achieve the objectives The final rule revisions requiring explicitly include the factors of SIP development and does not states to use the 20 percent of days with contributing to natural visibility negatively implicate a program’s the greatest anthropogenic impairment conditions (e.g., fire and dust events, objectives. In this particular situation, do not have any direct implications for volcanic activity, etc.). As a result of however, the flexibility of the second how states develop their long-term these comments, we are finalizing proposed rule approach would not strategies. While these revisions may additional changes to these two significantly assist in developing affect whether a state has to demonstrate definitions and adding definitions for efficient and effective SIPs and would that there are no additional measures two additional terms used in the rule. likely result in confusion among that would be reasonable to include in We are also providing further stakeholders. For example, if two states the long-term strategy under the explanation of the role of natural with Class I areas in close proximity requirement of 40 CFR 51.308(f)(3)(ii), visibility conditions in the SIP choose different approaches to the these revisions do not prescribe how a development process as follows. selection of days, the public might state may make this demonstration. The EPA is finalizing the definition of misunderstand how past and projected Thus, we believe that this requirement natural conditions to include a list of progress in improving visibility will not impair states’ flexibility to example phenomena considered to be a compares between the two areas. Also, appropriately analyze and address the part of natural conditions. The list allowing the state with a Class I area to sources of visibility impairment at Class provided is not intended to be unilaterally choose the selection I areas in and near their states. exhaustive, but provides examples of approach for that area would raise the We are not making any changes in some of the types of natural impacts that prospect that a contributing state might response to the comment suggesting that may affect Class I areas. We are also disagree with that choice, because the the final rule provide flexibility in the finalizing the definition of natural choice could make a difference in approach to the selection of the worst conditions to reflect the EPA’s whether both states are subject to the days only for areas that submit their SIP understanding that natural conditions enhanced analysis requirement of 40 revisions by July 31, 2018. It is our not only will vary with time, but that CFR 51.308(f)(3)(ii), therefore understanding that only some eastern they also may have long-term trends due complicating consultation among states. states may be submitting SIP revisions to changes in the Earth’s climate system. It would be possible for a state to choose this early and that the states involved We have also clarified in this definition a given approach simply because it have not been experiencing erratic that natural phenomena both near to would result in the best comparison of impacts from wildfires and dust storms. and far from a Class I area may impact RPGs to the glidepath or URP for the Therefore, we do not believe the special visibility in the Class I area. implementation period being addressed flexibility the commenter suggests is To reduce confusion between the by a SIP revision, and a state could needed. As mentioned, any state may natural visibility that would exist on a conceivably switch back and forth choose to include in its SIP a second single day and the average of a set of between the two approaches from one summary of visibility data using the 20 natural visibility values for a set of days, period to another to get the best percent haziest days approach, for we are finalizing separate definitions of comparison for each period, causing public information purposes. natural visibility and natural visibility

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condition. Natural visibility will refer to sources including wildland wildfires additional changes to these proposed visibility on a single day. The natural and dust storms. The RPGs and URP definitions are intended to more clearly visibility definition includes language line that are calculated using explain that impairment is from that recognizes natural visibility does anthropogenic impairment to select the anthropogenic sources and that natural vary daily and may contain long-term most impaired days constitute the sources and their contributions to trends. Natural visibility condition will glidepath representing the state’s visibility vary over time. Additionally, refer to the average of a set of values on determination of reasonable progress the EPA is finalizing definitions for an indicated set of days. and, if appropriate, may trigger the natural visibility, baseline visibility In practice, the natural visibility requirement for a state to show that condition, and current visibility condition for the 20 percent most there are no additional emission condition that we determined are impaired days is used by a state when reductions measures that would be needed to fully clarify the meanings of developing the most appropriate 2064 reasonable to include in the long-term these terms. endpoint for the URP line. Then the strategy (see Section IV.D of this We are not finalizing the proposed RPG for the 20 percent most impaired document). Since the 20 percent most change to the definition of a Federal days is to be compared with the point anthropogenically impaired days will, Class I area that would have stated that on the URP line corresponding to the going forward, be used to estimate non-mandatory Federal Class I areas are end date of the implementation period, natural visibility conditions, current identified in 40 CFR part 52. There which will in effect be adjusted by a visibility conditions and the URP, they currently are no non-mandatory Federal portion of the adjustment made to the must also be used in setting RPGs and Class I areas and the reference to 40 CFR 2064 endpoint. The EPA invited in progress reports. Conforming edits part 52 could have created confusion. comment on draft guidance 103 to the that were proposed to the provisions The final definition of a mandatory states on how to determine the value of related to each of these calculations are Class I Federal area correctly indicates the 2064 natural visibility condition for likewise being finalized. As described at that the mandatory areas are identified the 20 percent most impaired days for proposal, the revised approach will in 40 CFR part 81 subpart D. each Class I area for purposes of apply starting with the second and F. Impacts on Visibility From calculating the URP, and we intend to subsequent periodic comprehensive SIP Anthropogenic Sources Outside the U.S. provide final guidance on this topic revisions and will apply to progress separately from this action on revisions reports starting with those submitted 1. Summary of Proposal to the RHR. after the second SIP revision. EPA will In the proposal, the EPA The need for clarity about the continue to use the previous approach acknowledged that emissions (natural distinction between visibility on one of considering the 20 percent haziest and anthropogenic) from other countries day and the average of the visibility days with respect to SIP revisions and marine vessel activity in waters values for a set of days also applies to submitted to satisfy the requirements of outside the U.S. may impact Class I baseline visibility conditions and to the first implementation period or areas, especially those areas near current visibility conditions. To achieve initial progress reports. borders and coastlines. Prior to our this clarity, the final rule text includes The EPA did not propose to require proposal, several states with such Class new definitions of the terms baseline any particular method for determining I areas requested that they be allowed to visibility condition and current visibility the natural versus anthropogenic adjust their URP line, visibility tracking condition. These definitions are contributions to daily haze and thus the metrics and RPGs to account for consistent with the way these terms are degree of visibility impairment for each international anthropogenic impacts used in 40 CFR 51.308, but having these monitored day. The EPA issued draft when preparing SIPs and progress 104 explicit definitions will improve guidance describing a recommended reports.105 We therefore solicited understanding by participants in the approach along with a process for comment on a proposed provision that regional haze program. routinely providing relevant datasets for would allow states with Class I areas 3. Final Rule use by states when they develop their significantly impacted by international SIPs and progress reports. No particular anthropogenic emissions to adjust their The EPA is finalizing the requirement method is being prescribed by the final that all states select the 20 percent most URPs with approval from the rule nor will the final version of the Administrator.106 The proposed impaired days, i.e., the days with the guidance contain any binding most impairment from anthropogenic requirements; states can therefore 105 The impacts from natural sources located sources, as the ‘‘worst’’ days for develop, justify and use another method outside the U.S. can be large in certain Class I areas, purposes of calculating baseline of discerning natural and anthropogenic but because the RHR treats impacts from all natural visibility conditions, current visibility contributions to visibility impairment in sources equally, those impacts are inherently conditions, natural visibility conditions properly included in the 2000–2004 baseline their SIPs. The EPA intends to include condition used as the starting point for the URP line and the URP in SIPs and, as applicable, more information on this subject in the and the natural visibility condition used as the 2064 in progress reports. Under the final rule final guidance. endpoint of the URP line. Thus, the logical interest revisions, states retain the option to also As described in the summary of of these states was in a special adjustment for the present visibility data using the days comments on this topic, the EPA is impacts of anthropogenic sources outside the U.S. We note for clarity that under the final rule, with the highest overall deciview index finalizing the proposed changes to the prescribed fires outside of the U.S. are considered values (i.e., the 20 percent haziest days), definitions of clearest days, deciview, anthropogenic sources and thus the discussion in for public information purposes. deciview index, least impaired days, this section is relevant to such prescribed fires. Including this information in the SIP and visibility along with additional Prescribed fires in wildland are also addressed in may help communicate to the public the Section IV.G of this document. changes we have determined are needed 106 The 1999 RHR provided that if a state found magnitude of impacts from natural to further clarify the definitions of most that international emissions sources were affecting impaired days, visibility impairment, visibility conditions in a Class I area or interfering 103 Draft Guidance on Progress Tracking Metrics, regional haze, natural conditions, and with plan implementation, that state could submit Long-Term Strategies, Reasonable Progress Goals a technical demonstration in support of its finding. and Other Requirements for Regional Haze State natural visibility condition. The If EPA agreed with the finding, it would ‘‘take Implementation Plans for the Second appropriate action to address the international Implementation Period. 81 FR 44608 (July 8, 2016). 104 81 FR 44608 (July 8, 2016). Continued

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adjustment would consist of adding to robust. Our proposal did not include We did not intend to preclude or the value of the natural visibility any statement about whether EPA prejudge consideration of estimates that condition for the 20 percent most would provide estimates on states may include in SIPs for the impaired days in 2064 an estimate of the international impacts or guidance on second implementation period or average impact from international how states can estimate such impacts. subsequent periods based on newer and anthropogenic sources on such days,107 more refined methodologies and/or 2. Comments and Responses for the sole purpose of calculating the information. Although we do not URP.108 We also solicited comment on Some commenters opposed allowing believe such estimates and models are another possible approach to accounting any adjustment to the URP, while others currently able to adequately represent for international anthropogenic impacts, supported some sort of adjustment the impacts of international in which the influence of emissions based on the impacts of international anthropogenic sources on visibility, we from anthropogenic sources outside the anthropogenic sources. Several acknowledge that this is an area of U.S. would be removed from estimates commenters stated that the EPA or other active research and development that of 2000–2004 baseline visibility federal entities should provide an may lead to adequate estimates in time conditions, current visibility conditions approach to estimating international for the development of SIPs for the and the RPG for the end of an anthropogenic impacts, or actual second implementation period. implementation period. estimates of such impacts, that are Additionally, the final rule text includes The proposal reflected the EPA’s presumptively approvable, or that the a small change to clarify that the position that it may be appropriate to EPA should give deference to any Administrator’s approval for an allow a state to adjust the RPG estimate a state develops. Some adjustment will be part of the framework, including in its progress commenters inferred that the EPA’s Administrator’s review of the full SIP reports, to avoid any perception that a statements in the proposal regarding the submission for an implementation state should be aiming to compensate current state of the art for estimating period, and not a separate action in for impacts from international international anthropogenic impacts advance of SIP submission. In this way, anthropogenic sources and to avoid meant that no state would be able to the Administrator’s decision to approve requiring a state to undertake the obtain EPA approval for an adjustment or not approve the adjustment will be additional analytical requirement under in the SIP due in 2021. Several made in the context of the complete SIP 40 CFR 51.308(f)(3)(ii) based solely on commenters objected to their submission, with public notice and an visibility impairment due to understanding that the proposed rule opportunity to comment. As with any international anthropogenic sources. would require a state to obtain EPA SIP element, states are encouraged to However, we proposed that an approval for a particular adjustment consult with EPA Regional offices adjustment to compensate for such approach before including such an during the development of any impacts would be available only when approach in its SIP submission. Finally, proposed adjustment approach. and if these impacts can be estimated at least one commenter requested that Because the EPA is not providing with sufficient accuracy. In the proposal EPA also provide rule language allowing estimates of international anthropogenic we stated that we do not expect that for adjustment of the 20 percent clearest impacts or guidance for calculating explicit consideration of impacts from days framework to reflect the impacts of those impacts at this time, we are not anthropogenic sources outside the U.S. international anthropogenic sources. specifying that any such estimates or should or would actually affect the The EPA does not have a near-term methodologies are presumptively conclusions that states make about what plan to develop guidance on estimating approvable. We further disagree with emission controls for their own sources international anthropogenic impacts or comments that states have inherent are necessary for reasonable progress. to provide such estimates specifically discretion to adjust their URP and RPG However, we explained that explicit for the purpose of regional haze SIPs. frameworks to account for impacts of quantification of international However, the EPA is an active international anthropogenic sources and anthropogenic impacts, if accurate, participant in research in this area and that the EPA lacks the authority to could improve public understanding will continue to share its work with review such adjustments. As explained and effective participation in the interested states and with others.109 To in Section IV.B of this notice, the CAA development of regional haze SIPs. We clarify, the statements in the preamble mandates that the EPA promulgate also indicated that while we had not regarding the state of the art method regulations requiring that states’ SIP yet, at the time of the proposal, seen an refer to our assessment of the estimates submittals contain, among other things, approach that would allow states to and models for estimating international ‘‘measures as may be necessary to make adjust their visibility tracking metrics impacts available in the scientific reasonable progress toward meeting the with sufficient accuracy, we expected literature at the time of this rulemaking. national goal.’’ 110 Furthermore, the EPA that by the time some future periodic is required to ensure that states’ comprehensive SIP revisions are to be 109 For example, the EPA held a 2-day workshop submittals meet the basic legal prepared, methods and data for in February 2016 to advance the collective requirements and objectives of the CAA, estimating international anthropogenic understanding of technical and policy issues including any regulations the agency impacts will be substantially more associated with background ozone, which includes promulgates for the purpose of ensuring impacts from anthropogenic sources outside the U.S., as part of the agency’s ongoing efforts to that states make reasonable progress emissions through available mechanisms.’’ 64 FR engage with states and stakeholders on towards achieving natural visibility. A 35714, 35747 (July 1, 1999). implementation of the 2015 ozone NAAQS. While proposed adjustment to a state’s RPG 107 The URP line is expressed in deciview units, this workshop focused on ozone, the modeling framework to address the impacts of so the value added to the natural visibility issues and approaches for ozone are similar to those condition would also be in deciviews. However, for visibility-impairing pollutants. More international anthropogenic sources has that added deciview value would be based on the information on the EPA’s activities and current the potential to affect that state’s light extinction increments caused by the indicated understanding of this area can be found in the assessment of what constitutes sources. white paper available at https://www.epa.gov/ reasonable progress. Thus, the EPA not 108 This proposed extra step in determining the ozone-pollution/background-ozone-workshop-and- URP was not intended to have the effect of defining information and other documents available in EPA only has the authority to review a state’s international anthropogenic sources as natural, or to number EPA–HQ–OAR–2016–0097 at https:// change any other aspect of SIP development. www.regulations.gov. 110 CAA section 169A(b)(2).

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proposed adjustment, it has an visibility conditions. We are not contribute to visibility impairment at obligation to do so. finalizing the alternative approach to the Class I area,112 we recommend that Finally, we disagree with the accounting for international a state seeking approval for such an comment that we should provide rule anthropogenic impacts that would have adjustment first consult with language for states to adjust their involved removing the influence of contributing states. Such an adjustment frameworks for assessing visibility on emissions from anthropogenic sources should also be a topic for the required the 20 percent clearest days to account outside the U.S. when developing the consultation with the FLM for the Class for any impacts of international estimates of 2000–2004 baseline I area at issue. anthropogenic sources. First, particular visibility conditions, current visibility G. Impacts on Visibility From Wildland days on which international conditions and the RPGs. We are Fires anthropogenic sources have particularly finalizing only one approach to provide strong impacts due to unusual source consistency and transparency, as the 1. Summary of Proposal events or transport conditions are alternative approach would have been Fires on wildlands within and outside unlikely to be among the 20 percent more complicated and involved the U.S. can significantly impact clearest days in their respective years. presenting numerous counterfactual visibility in some Class I areas on some The commenter presented no basis for values of visibility levels that could be days but have little to no impact in anticipating that increasing impacts mistaken as actual measured values. from anthropogenic sources on the other Class I areas. And even in those Because this adjustment is permitted Class I areas significantly impacted by clearest days might cause a state to be only if the Administrator determines unable to satisfy the no degradation fires on wildlands on some days, there that a state has estimated the are a greater number of days where fires requirement without employing international impacts from unreasonable measures for domestic do not have such impacts. The EPA anthropogenic sources outside the U.S. presented an extensive discussion of sources. Second, our analysis indicates using scientifically valid data and that such an adjustment would not have wildland fire concepts, including methods, we are finalizing the rule text actions that the manager of a prescribed been necessary in the first of 40 CFR 51.308(f)(1)(vi)(B) as implementation period, in that nearly fire can take to reduce the amount of proposed, with a small change to clarify smoke generated by a prescribed fire all Class I areas in fact have had no singular versus plural,111 as well as the degradation during this period so far, and/or to reduce public exposure to the aforementioned change to clarify that smoke that is generated (i.e., basic and the few that have experienced the Administrator’s approval for an degradation have not done so because of smoke management practices), in the adjustment will be part of the proposed and recently finalized impacts attributable to international Administrator’s review of the full SIP anthropogenic sources. Improvements revisions to the Exceptional Events submission for an implementation 113 in visibility on the 20 percent clearest Rule. That discussion is not repeated period, and not a separate action in here. days have been significant enough so advance of SIP submission. that we expect that states impacted by The preamble for our proposed action In addition, we are finalizing the discussed at length how the RHR relates increased emissions from international proposed rule text changes in 40 CFR anthropogenic sources in the second to the management of wildland 51.308(f)(1)(i) and 40 CFR wildfires and wildland prescribed fires. implementation period will still be able 51.308(f)(1)(vi) to remove ‘‘needed to to comply with the requirement that The information presented there is attain natural visibility conditions’’ applicable to states as guidance under visibility on those days show no from the reference to ‘‘uniform rate of degradation compared to 2000–2004 these final RHR revisions, except as progress,’’ because when adjusted to revised or supplemented as follows. baseline conditions. The RTC contains reflect international impacts the more information on this improvement There were many public comments on ‘‘uniform rate of progress’’ would not be the subject of wildland fires, some of trend. The EPA will continue to assess the rate of progress that would reach this relationship throughout the second which are addressed in this section. We true natural visibility conditions. address the remaining comments in the and subsequent implementation Because the manner in which a state periods. Third, on clear days when there RTC document for this action. with a Class I area calculates the URP We proposed new definitions for is relatively little visibility-impairing air may affect other states with sources that pollution, it is difficult with our current wildland, wildfire and prescribed fire. tools to discern the portion of that air These proposed definitions were 111 Our proposed rule text used the phrase ‘‘the consistent with the definitions we had pollution originating from international State must add the estimated impacts [of anthropogenic sources, as opposed to international anthropogenic sources (or certain recently proposed be added to the domestic anthropogenic or natural prescribed fires)] to natural visibility conditions and Exceptional Events Rule. We said in the sources and as compared to the compare the resulting value to baseline visibility proposal for the Exceptional Events conditions.’’ For consistency with our final Rule that wildland can include assessment of the impact of definitions, this part of the final rule text instead international anthropogenic sources on refers to the natural visibility condition and the the most impaired days. It would thus baseline visibility condition. The use of the plural 112 Contributing states may be affected because form for ‘‘natural visibility conditions’’ and under the final version of 40 CFR 51.308(f)(3)(iv)(B), be unlikely that a state could estimate ‘‘baseline visibility conditions’’ could give the a contributing state will have an additional international anthropogenic impacts on impression that multiple values of impacts are to analytical requirement if the RPG does not provide the 20 percent clearest days with the be added to multiple values of natural visibility for the URP at an affected Class I area in another requisite degree of accuracy at this time conditions, when actually a single value reflecting state. impacts from international anthropogenic sources 113 80 FR 72840 (November 20, 2015); 81 FR or when developing a SIP for the second (or certain prescribed fires) is to be added to the 68216 (October 3, 2016). Both the preamble and implementation period. single value of the ‘‘natural visibility condition’’ for final rule of the Exceptional Events Rule listed six the 20 percent most impaired days. The final rule basic smoke management practices with an 3. Final Rule text does not specify that the average of estimates important footnote which recognizes that those The EPA is finalizing the provision to of daily international impacts be used in this listed are not intended to be all-inclusive for the addition step, so that states can propose and the purpose of the Exceptional Events Rule. Section allow an adjustment of the URP by Administrator can approve another statistic to IV.G.2 of this document discusses the term ‘‘basic adding an estimate for international represent the distribution of daily values, for smoke management practices’’ in the context of the anthropogenic impacts to 2064 natural example the median value, if more appropriate. Regional Haze Rule.

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forestland, shrubland, grassland and wildfires. (Comments on this proposal wildland or prescribed fires on other wetlands, and that the proposed are summarized in Section IV.H of this types of land. definition of wildland includes lands document.) 2. Comments and Responses that are predominantly wildland, such We proposed that the Administrator as land in the wildland-urban interface. may approve a state’s proposal to adjust With regard to the definitions of The proposed definition for wildfire the URP to avoid subjecting a state to prescribed fire and wildfire and the included a provision that a wildfire that the additional analytical requirement of related question of whether each type of occurs predominantly on wildland is a 40 CFR 51.308(f)(3)(ii) due to the wildland fire should be considered as natural event. impacts of wildland fire conducted with an anthropogenic versus non- We also proposed language for new 40 the objective to establish, restore and/or anthropogenic event or source, some CFR 51.308(f)(2)(vi)(E) based on the maintain sustainable and resilient commenters said that all wildland provisions of the 1999 RHR’s 40 CFR wildland ecosystems, to reduce the risk prescribed fires, or at least all prescribed 51.308(d)(3)(v)(E), with updates to of catastrophic wildfires, and/or to fires conducted under a smoke reflect terminology used within the air preserve endangered or threatened management program, should be treated quality and land management species for purposes of ecosystem health as non-anthropogenic. Other communities. Specifically, we proposed (objectives that we refer to here as commenters said that all or some to use the term ‘‘basic smoke ‘‘wildland ecosystem health’’) and wildfires should be treated as management practices’’ to better align public safety during which appropriate anthropogenic, noting that the with current usage of ‘‘smoke basic smoke management practices were occurrence of wildfires is not purely management practices’’ in the fire applied. This aspect of the proposal did natural in that past human actions have management community to refer to not address and did not apply to fires affected fire risks and that current steps that a burn manager can take to of any type on lands other than actions by humans initiate some reduce emissions during a prescribed wildland or to burning on wildland that wildfires. We disagree with these and fire. We also proposed to use the term is for purposes of commercial logging similar comments. We recognize that ‘‘wildland vegetation management slash disposal rather than wildland prescribed fires in many cases are purposes’’ in lieu of ‘‘forestry ecosystem health and public safety. This conducted because natural wildfires management purposes.’’ This latter aspect of the proposal was not restricted have been previously suppressed, or as change was proposed in recognition of to prescribed fires within the U.S. a substitute for waiting for a wildfire to the fact that not all wildland for which We proposed to revise the definition take place because conditions are such fire and smoke are issues is forested. We of ‘‘fire’’ to remove the phrase that a wildfire would pose high risks. also proposed to replace the phrase ‘‘prescribed natural fire.’’ However, we We also recognize that human actions, ‘‘including plans as currently exist stated that the definition of ‘‘fire’’ that in particular the suppression of within the State for these purposes’’ would be revised appears in 40 CFR wildfires in the past, have affected the with ‘‘and smoke management programs 51.301, when it actually appears in 40 propensity of some wildlands to for prescribed fire as currently exist CFR 51.309(b)(4) and applies only to 40 experience wildfires from natural within the State.’’ The term ‘‘smoke ignition sources such as lightning and management program’’ is used within CFR 51.309. We inadvertently did not make any change to 40 CFR 51.309(b)(4) that human actions such as arson or the fire management community to refer careless smoking, fireworks, target to a multi-participant program that in our proposed rule text. We proposed this revision to remove ‘‘prescribed practice or backyard burning are the seeks to influence or regulate both sources of the ignition of many wildland whether and when prescribed fires are natural fire’’ from the ‘‘fire’’ definition because the concept of a ‘‘prescribed wildfires. Thus, there is some basis for conducted and, typically, the smoke the perspective that prescribed fires management practices employed during natural fire’’ is inconsistent with our proposal that all prescribed fires be merit being treated somewhat like a prescribed fire. We stated in the natural sources, as well as for the preamble of the proposal that this considered anthropogenic sources. We recognize that some prescribed fires are opposite view that wildfires merit being required consideration of smoke treated somewhat as anthropogenic management programs only applies if intended to emulate and/or mitigate natural wildfires that would otherwise sources. However, by declaring in the existing smoke management section 169A(a) of the CAA a national program has six key features: (i) occur at some point in time. We also recognize that some wildfires are goal of remedying visibility impairment Authorization to burn, (ii) minimizing in Class I areas ‘‘which impairment air pollutant emissions, (iii) smoke appropriately allowed to proceed for results from man-made air pollution,’’ management components of burn plans, some time over an area without Congress established a bifurcation (iv) public education and awareness, (v) suppression in order to help achieve between anthropogenic and non- surveillance and enforcement and (vi) land management objectives. However, anthropogenic sources of air pollution. program evaluation. to use the term ‘‘natural’’ and We proposed that for a state with a ‘‘prescribed’’ in one definition would Given that prescribed fires involve long-term strategy that includes a smoke cause confusion. conscious planning by humans, it management program for prescribed While the direction of these proposals would be unreasonable for the rule to fires on wildland, each required was towards providing states categorically consider them to be progress report must include a summary considerable flexibility regarding natural events and natural sources of air 114 of the most recent periodic assessment measures to limit emissions from pollution. We consider wildfires of the smoke management program wildland prescribed fire after having 114 As explained in footnote 95, the rationale for including conclusions the managers of given reasonable consideration to their allowing an adjustment of the URP framework to the smoke management program or options, it was not and is not our address the impacts of wildland prescribed fires other reviewing body reached in the intention to in any way discourage does not stem from the fact that we are treating assessment as to whether the program is federal, state, local or tribal agencies or these fires as natural sources of air pollution, as this is not the case. Rather, we are providing for an meeting its goals regarding improving private land owners from taking adjustment because we acknowledge that ecosystem health and reducing the situation-appropriate steps to minimize anthropogenic prescribed fire conducted for damaging effects of catastrophic emissions from prescribed fires on purposes of ecosystem health and public safety

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having natural causes of ignition to be changes to the proposed approach. sources within the U.S.115 This will natural sources of air pollution. The Many comments did not support all the focus public and state attention on provision that a wildfire that occurs specifics of our proposal for adjustment whether there are any reasonable predominantly on wildland is a natural of the URP. Many commenters also said measures for reducing impacts from event also encompasses wildfires that the EPA or the FLMs should these other types of prescribed fires. We initiated by human action because it is provide guidance on how to estimate also disagree with other commenters not always possible to determine the prescribed fire impacts for the purposes who recommended that the adjustment cause of ignition for some wildfires, and of this adjustment and/or provide the be more restrictive and apply only to because once ignited the progress of adjustment values themselves. prescribed fires conducted in these wildfires is largely determined by Of those commenters who did not compliance with a smoke management factors beyond human control at the support all the specifics of our proposal, program, because this would make the time. Therefore, it is appropriate to treat one commenter said that states should adjustment unavailable to some states both wildland wildfires with natural be required to apply the four statutory where it would be consistent with the sources of ignition and the other types factors to prescribed fire in order to be goal of making reasonable progress and of wildfires encompassed by the eligible to make any adjustment to the where an adjustment would be an definition in 40 CFR 51.301 as natural URP for prescribed fire impacts. Other appropriate efficiency and public events and natural sources of air commenters said that adjustment should communication approach. pollution. be allowed only for prescribed fires We also disagree with commenters These categorizations do not mean conducted in accordance with any that states should be required to that prescribed fires necessarily should applicable smoke management program. conduct a four-factor analysis for or can be regulated in a manner similar However, other commenters said that an prescribed fire before being eligible to to sources that are more purely adjustment should be allowed to reflect adjust their URPs for the impacts of anthropogenic, such as industrial the impacts of all types of prescribed such fires. As we explained earlier, we sources, or that no consideration should fire and not merely those that met the are limiting the availability of an be given to how human actions affect conditions proposed by the EPA based adjustment to only those wildland wildfire occurrence. For the regional on ecosystem or public health prescribed fires conducted for the haze program, an implication of these protection and use of basic smoke purposes of ecosystem health and categorizations is that states are not management practices. public safety and in accordance with required to consider additional We disagree with commenters that the basic smoke management practices. measures to reduce visibility impacts adjustment of the URP should be based These particular types of fires are from wildfires when they develop their on the impact of all prescribed fires, or generally consistent with the goal of regional haze SIP submissions. all wildland prescribed fires, rather than making reasonable progress because However, we believe that it is in the only wildland prescribed fire conducted they are most often conducted to public interest for states, and all for purposes of ecosystem health and improve ecosystem health and to reduce managers of wildland, to consider such public safety during which appropriate the risk of catastrophic wildfires, both of measures to limit wildfire impacts on basic smoke management practices have which can result in net beneficial 116 visibility on an ongoing basis. We been applied. The fires that meet these impacts on visibility. Therefore, as encourage them to do so, to help conditions are fires conducted for 115 improve visitor experiences in Class I purposes and in accordance with If there is no adjustment of the 2064 endpoint practices that are consistent with the of the URP line for impacts from international areas, to protect public safety and health goal of making reasonable progress anthropogenic sources, the URP effectively assumes and to protect ecosystems from the that emissions from these sources will be zero in towards natural visibility. We note, impacts of catastrophic wildfires. We 2064. If there is an adjustment, the URP effectively however, that the availability of an also believe that it is in the public assumes that these sources continue to have adjustment to the URP for the impacts emissions in 2064. interest for states, and all land managers 116 of these particular prescribed fires does There is similarity and a difference in the using prescribed fire, to consider not in any way restrict a state from rationales for an adjustment of the URP related to measures that can reduce the impact of impacts from anthropogenic sources outside the considering additional measures or prescribed fires on visibility in Class I U.S. and an adjustment related to impacts from management programs to address their wildland prescribed fire conducted for reasons of areas and other air quality objectives. As impacts on visibility. We recommend ecosystem health and public safety with they consider measures to reduce the that as a state considers such measures, appropriate basic smoke management practices applied. Because states cannot control and should impacts of prescribed fires on visibility, it should consult with managers of states may consider the benefits of not be expected to compensate for impacts from federal, state and private lands that international anthropogenic sources, such wildland prescribed fire use (including would be subject to such measures; this international impacts should not be the sole reason benefits to ecosystem health and may include federal agencies in that the RPG is above the URP line. In contrast, states generally have authority to regulate wildland reduction in the risk of catastrophic addition to the federal land manager of wildfires) and the opportunity provided prescribed fires within their borders. However, the Class I areas affected by sources in because it is generally reasonable for wildland by the final rule for a state to make an the state, with whom consultation on prescribed fires of the type described to be adjustment to the URP to account for the the development of the SIP is a conducted as determined to be needed through impact of certain prescribed fires. appropriate planning processes, with appropriate requirement of the final rule. basic smoke management practices to reduce smoke Regarding the proposal that would Furthermore, it is appropriate that for allow the Administrator to approve an impacts on the public, states should have the prescribed fires conducted on lands flexibility to determine that limiting the number of adjustment to the URP for impacts from other than wildlands, wildland fires such wildland prescribed fires is not necessary for at least some wildland prescribed fires, conducted for other purposes and reasonable progress. SIP development can be more some comments were in favor of this efficient and the public will better understand the wildland fires conducted without progress being made to control other types of provision while others suggested minor application of basic smoke management sources if the URP is adjusted to remove the practices, the URP should assume their influence of any projected increase in application during which appropriate basic smoke management of this type of wildland prescribed fire. Also, as practices have been applied can be consistent with impacts will diminish to zero by 2064, with international anthropogenic impacts, this will the goal of making reasonable progress towards just as the URP effectively assumes with avoid such fire impacts from being a critical factor natural visibility. respect to other types of anthropogenic in whether the RPG is above the URP line.

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long as these fires are conducted in portion of that air pollution originating smoke management programs, and accordance with basic smoke from prescribed fire, as opposed to the further suggested that listing only smoke management practices, an additional assessment of the impact of prescribed management practices and smoke four-factor analysis in this specific case fire on the most impaired days. It would management programs was insufficient might serve no purpose. States may thus be unlikely that a state could and that the rule should also require all consider additional measures to address estimate prescribed fire impacts on the states to consider other measures to the impacts of these and other types of 20 percent clearest days with the mitigate the impact of fire. prescribed fires, on the basis of a formal requisite degree of accuracy at this time After consideration of these four-factor analysis if they choose or or when developing a SIP for the second comments and a review of how the EPA after another form of consideration.117 implementation period. and the states have applied 40 CFR One commenter suggested that an Regarding our proposal to use 51.308(d)(3)(v)(E) during the first adjustment for the impacts of prescribed updated terminology in proposed 40 implementation period, we decided that fires also be allowed as part of the CFR 51.308(f)(2)(vi)(E), some finalization of the phase ‘‘as currently demonstration that the long-term commenters said that ‘‘basic smoke exist with the State for these purposes’’ strategy and RPGs ensure no management practices’’ was not the cannot be said to clearly be only a degradation on the clearest days. We appropriate update of the term ‘‘smoke preservation of the existing requirement disagree with this suggestion. First, the management techniques’’ because the of the 1999 RHR, particularly when impacts from prescribed fires will latter term is not explicitly restricted to combined with the replacement of necessarily be small on the clearest ‘‘basic’’ techniques. We disagree with ‘‘including plans’’ with ‘‘and smoke days. The commenter presented no basis the commenter that the phrase ‘‘basic management programs.’’ In the first for anticipating that increasing impacts smoke management practices’’ could be implementation period the EPA never from prescribed fire on the clearest days interpreted as requiring a state to relied on a narrow interpretation of the might cause a state to be unable to consider a narrower set of practices than applicability of this part of 40 CFR satisfy the no degradation requirement the phrase ‘‘smoke management 51.308(d)(3)(v)(E) in reviewing a SIP. without employing unreasonable techniques.’’ The EPA listed six basic The final rule does not include the measures for other source types. smoke management practices in both phrase ‘‘as currently exist with the State Second, our analysis indicates that such the preamble and final rule of the for these purposes’’ because we have an adjustment would not have been Exceptional Events Rule with an decided that there is no rational basis necessary in the first implementation important footnote which recognizes for the restriction.118 period, in that nearly all Class I areas in that those listed are not intended to be The final version of 40 CFR fact have had no degradation during this all-inclusive for the purposes of the 51.308(f)(2)(iv)(D) (renumbered) period so far, and the few that have Exceptional Events Rule. We similarly requires that states consider basic smoke experienced degradation have not done consider the term ‘‘basic smoke management practices and smoke so because of impacts attributable to management practices’’ in the context of management programs when developing prescribed fire. Improvements in the Regional Haze Rule as allowing for their long-term strategies. As discussed visibility on the 20 percent clearest days additional basic smoke management in the preamble to our proposed 119 have been significant enough so that we practices to be developed to address action, these requirements do not expect that states impacted by increased Class 1 visibility impacts. In addition, require a state to adopt basic smoke emissions from prescribed fire in the this paragraph of the Regional Haze management practices or programs into 120 second implementation period will still Rule specifies what a state at a its regional haze SIP. As states be able to comply with the requirement minimum must consider, and a state consider whether to adopt new that visibility on those days show no may consider other measures as well. measures that might affect the ability of degradation compared to 2000–2004 Accordingly, the final rule text in land managers to use prescribed fire, baseline conditions. The RTC contains 308(f)(2)(iv)(D) contains the phrase they may newly consider both the more information on this improvement ‘‘basic smoke management practices.’’ effectiveness of their smoke trend. The EPA will continue to assess No commenters opposed the use of management programs in protecting ‘‘and smoke management programs’’ in this relationship throughout the second visibility and the benefits of wildland proposed 40 CFR 51.308(f)(2)(vi)(E) in prescribed fire for ecosystem health and and subsequent implementation place of ‘‘including plans’’ in 40 CFR public safety. There are many ways that periods. Finally, on clear days when 51.308(d)(3)(v)(E). However, there were a state can give new consideration to there is relatively little visibility- other comments on proposed 40 CFR such practices and programs. For impairing air pollution, it is difficult 51.308(f)(2)(vi)(E) that concern the example, a state can consider the need with our current tools to discern the proposed retention and meaning of the for including such measures in its SIP phrase ‘‘as currently exist within the without shoehorning them into a formal 117 Another way of considering whether measures in addition to BSMP are appropriate for prescribed State for these purposes.’’ One four-factor analysis. A state can also fires conducted to improve ecosystem health and to commenter supported the concept that consider them by determining based on reduce the risk of catastrophic wildfires, and/or only states with existing smoke analysis of IMPROVE data that fires in considering what measures are appropriate for other management programs should be subject general, and thus prescribed fires in types of prescribed fires, could be to assess and conclude that a particular subcategory of prescribed to this specific requirement to consider fires does not meaningfully impact visibility at any smoke management programs. Another 118 Given the removal of the phrase ‘‘as currently Class I area. Such a conclusion could support a commenter said that even with this exist within the state,’’ the interpretation we decision not to require additional measures for that restricted applicability, the requirement articulated in the proposal that this phrase refers subcategory in the LTS even though a formal four- only to smoke management programs with the six factor analysis has not been completed. A state to consider smoke management listed features listed in the proposal is no longer might also include in its LTS measures aimed at programs was too prescriptive and states relevant. reducing impacts from a subcategory of prescribed should be allowed to apply the same 119 See 81 FR 26958–59. fire because those measures are already in effect in consideration to prescribed fires as 120 Also, the EPA is not recommending that all the state due to another CAA requirement or due states adopt any particular measures for wildland to state-only considerations. If so, a new formal generally apply for all sources. One fire because situations vary too much from state to four-factor analysis of those measures would not be group of commenters opposed the state and within states for any general useful. restriction to only states with existing recommendation to be appropriate.

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particular, are not a significant 3. Final Rule We are also finalizing the term ‘‘basic contributor to reduced visibility at the We are finalizing the fire-related smoke management practices’’ as an Class I areas in the state (or impacted by definitions as proposed, including the update of the term ‘‘smoke management the state). Therefore, this requirement of revision of the definition of ‘‘fire’’ in 40 techniques’’ in 40 CFR the final rule will not impose a difficult CFR 51.309(b)(4), with one change from 51.308(f)(2)(iv)(D) (renumbered). We are analytical burden on states or require proposal. We are finalizing a different also finalizing the use of ‘‘smoke them to adopt unreasonable measures. definition of ‘‘wildfire’’ than we management programs’’ where the 1999 However, a state cannot unreasonably proposed. The final revised definition of RHR used the term ‘‘plans.’’ The final determine that a requirement for burn a wildfire includes ‘‘a prescribed fire rule differs from the proposal in that it managers to use certain basic smoke that has developed into a wildfire’’ does not include the phrase ‘‘as management practices is not necessary instead of the proposed language ‘‘a currently exist within the State for these to make reasonable progress. If a state prescribed fire that has been declared to purposes.’’ This action also deletes the obsolete determines that a requirement for burn be a wildfire.’’ Two comments in this and duplicative definition of ‘‘base managers to use certain smoke rulemaking objected to or asked for year’’ in 40 CFR 51.309(b)(8) and management practices is necessary to clarification of the meaning of the reserves that section number. The make reasonable progress, the long-term ‘‘declared to be a wildfire’’ portion of definition of ‘‘base year’’ in 40 CFR strategy must include such measure(s) the definition. The definition of wildfire 51.309(b)(7) is the operative definition in enforceable form. The same applies to being finalized for the RHR in this final for this section of the RHR. The consideration of a smoke management action is the same definition as recently definition being deleted refers to 40 CFR program. One possible outcome may be finalized for the revised Exceptional 51.309(f) which is reserved in the that a state reasonably does not make Events Rule, as commenters in both current rule. such a formal determination, but rulemakings raised similar concerns nevertheless decides to revise its current about the proposed definition. H. Clarification of and Changes to the program regarding prescribed fires Consistent with the approach taken in Required Content of Progress Reports without incorporating the program (or the final revised Exceptional Events 1. Summary of Proposal the program enhancements) into the Rule, we concluded that whether a SIP. Such an action could indicate that prescribed fire should be treated as a The proposed rule detailed additional the state has satisfied the requirement to wildfire for regional haze program revisions to 40 CFR 51.308(g) in order consider basic smoke management purposes depends on the facts of the to clarify the substance of the regional practices and smoke management situation. Specifically, the final haze progress reports, given ambiguities programs. definition includes the phrase ‘‘a in the 1999 RHR with respect to, among States also have the flexibility to prescribed fire that has developed into other things, the period to be used for allow reasonable use of prescribed fire. a wildfire,’’ which means a prescribed calculating current visibility conditions, As previously noted, one approach to fire that has ‘‘developed in an and whether forward-looking, reducing the occurrence of wildland unplanned way such that its quantitative modeling is required in the wildfires, and the risk of wildfires management challenges are essentially progress reports to assess whether RPGs having catastrophic impacts, is the same as if it had been initiated by will be met. These proposed revisions appropriate use of prescribed fire. The an unplanned ignition.’’ See 81 FR were numerous and often independent EPA and the federal land management 68250. While we proposed, and are of one another, and are summarized agencies will continue to work with the finalizing, a definition of ‘‘wildfire’’ that briefly as follows. states as they consider how use of includes a statement that a wildfire that A proposed revision to the opening prescribed fire may reduce the predominantly occurs on wildland is a portion of 40 CFR 51.308(g) would have frequency, geographic scale and natural event, we do not intend to required that a state provide the public intensity of natural wildfires, such that restrict a wildfire on other types of land with a 60-day comment period on a vistas in Class I areas will be clearer on from also being treated as a natural draft progress report that is not a SIP more days of the year, to the enjoyment event or source, based on specific facts revision, before submitting it to the of visitors. States may also consider how about the wildfire. EPA. The 1999 RHR did not explicitly the use of prescribed fire on wildland We are also finalizing 40 CFR say that a public comment period was can benefit ecosystem health, protect 51.308(f)(3)(ii) as proposed to provide required for progress reports, because public health from the air quality an adjustment to the URP framework for other EPA rules require public notice for impacts of catastrophic wildfires and the 20 percent most impaired days due all SIP revisions and under the 1999 protect against other risks from to the impacts of wildland fire RHR progress reports have been SIP catastrophic wildfires. These final rule conducted with the objective to revisions. revisions give states that have establish, restore and/or maintain Proposed revisions to 40 CFR considered these factors, and other sustainable and resilient wildland 51.308(g)(3)(ii) added a number of relevant factors, the flexibility to ecosystems, to reduce the risk of explanatory sentences to better indicate provide and plan for the use of catastrophic wildfires, and/or to what ‘‘current visibility conditions’’ are prescribed fire, with basic smoke preserve endangered or threatened and how to calculate them, given that it management practices applied, to an species for purposes of ecosystem health is not clear what ‘‘current visibility extent and in a manner that states and and public safety during which conditions’’ are in the 1999 RHR. the EPA believe appropriate. The EPA is appropriate basic smoke management Practicality requires that ‘‘current committed to working with states, practices were applied. Such an conditions’’ should mean ‘‘conditions tribes, federal land managers, other adjustment is not available for fires of for the most recent period of available stakeholders and other federal agencies any type on lands other than wildland data.’’ 121 The proposed text also made on matters concerning the use of or to burning on wildland that is for 121 purposes of commercial logging slash In our guidance on the preparation of progress prescribed fire, as appropriate, to reduce reports, the EPA indicated that for ‘‘current the impact of wildland fire emissions on disposal rather than wildland ecosystem visibility conditions,’’ the reports should include visibility. health and public safety. Continued

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clear that the period for calculating Requirements). For a variety of reasons the most recent periodic assessment of current visibility conditions is the most more fully explained in the preamble to the smoke management program, recent rolling 5-year period for which our proposal, we proposed text changes including conclusions that were reached IMPROVE data are available as of a date that explain clearly that states must in the assessment as to whether the 6 months preceding the required date of include in their progress reports the program is meeting its goals regarding the progress report, given our belief that emissions, by sector, from all sources improving ecosystem health and (since we also proposed that progress and activities up to the triennial year for reducing the damaging effects of reports no longer be submitted as SIP which information has already been catastrophic wildfires. revisions) this period would be submitted to the NEI. With regard to A final proposed change to 40 CFR sufficient for states to incorporate the emissions data for EGUs, states would 51.308(g) removed the provisions of 40 most recent available data into their need to include data up to the most CFR 51.308(g)(7) of the 1999 RHR progress reports.122 We also invited recent year for which the EPA has entirely, relieving the state of the need comment on other specific appropriate provided a state-level summary of such to review its visibility monitoring timeframes, including 3 months, 9 EGU-reported data. Finally, the last strategy within the context of the months and 12 months. sentence of the proposed text for 40 CFR progress report, a change that had been Proposed revisions to 40 CFR 51.308(g)(4) made clear that if emission requested by many states during our 51.308(g)(3)(iii) were designed to estimation methods have changed from pre-proposal consultations. Such a remedy a gap in the 1999 RHR, which one reporting year to the next, states change was appropriate since all states failed to make clear what the ‘‘past 5 need not backcast (i.e., use the newest currently rely on their participation in years’’ are for assessing the change in methods to repeat the estimation of the IMPROVE monitoring program (and visibility impairment. We proposed to emissions in earlier years) in order to expect to continue to do so), so delete the ‘‘past 5 years’’ text and create a consistent trend line over the continuing the requirement for every replace it with text indicating the whole period, since although some state to submit a distinct monitoring change in visibility impairment is to be states expressed concern that other strategy element in each progress report assessed over the span of time since the parties may interpret the 1999 RHR as would consume state and EPA resources period addressed in the most recent requiring it, the EPA has never expected with little or no practical value for periodic comprehensive SIP revision. states to backcast in this context. visibility protection. The EPA believed this would remedy We also proposed changes to 40 CFR Finally, we proposed minor changes the issue that, because of data reporting 51.308(g)(5), which requires to 40 CFR 51.308(h) and 40 CFR delays, the period covered by available assessments of any significant changes 51.308(i). Proposed changes to 40 CFR monitoring data will not line up with in anthropogenic emissions that have 51.308(h) regarding actions the state is the periods defined by the submission occurred, consistent with our proposed required to take based on the progress dates for progress reports, and would changes to other sections. Specifically, report merely removed the implication ensure that each year of visibility we proposed to delete the reference to that all progress reports are to be information is included either in a the ‘‘past 5 years’’ and instead direct submitted at 5-year intervals, and aimed periodic comprehensive SIP revision or states that the period to be assessed to improve public understanding of the the progress report that follows it. We involves that since the last periodic declaration that a state must make when proposed to make the same change to comprehensive SIP revision. We also it determines that no SIP revisions are the 1999 RHR’s ‘‘past 5 years’’ text in proposed text that would require states required. The proposed changes to 40 the first sentence of 40 CFR 51.308(g)(4) to report whether these changes were CFR 51.308(i) created a stand-alone for the purposes of reporting changes in anticipated in the most recent SIP, given requirement that states must consult emissions of pollutants contributing to that this would assist the FLMs, the with FLMs regarding progress reports visibility impairment, for similar public and the EPA in understanding because the 1999 RHR only applies FLM reasons. the significance of any change in consultation requirements to SIP We proposed several other revisions, emissions for the adequacy of the SIP to revisions (and the proposal would particularly to 40 CFR 51.308(g)(4), to achieve established visibility remove the formal SIP revision revise and clarify the states’ obligations improvement goals. requirement from progress reports). The EPA further proposed to regarding emissions inventories. One 2. Comments and Responses renumber the 40 CFR 51.308(g)(6) of the issue was that the 1999 RHR’s text Several commenters pointed out that seemingly required a state to project 1999 RHR as 40 CFR 51.308(g)(7), and proposed to change that provision to while there is no explicit provision in emissions inventories to the end of the the 1999 RHR for the public to comment ‘‘applicable 5-year period’’ whenever clarify that the RPGs to be assessed are those established for the period covered prior to the submission of progress that endpoint is not the year of a reports for the first implementation triennial inventory (2011, 2014, etc.) by the most recent periodic comprehensive SIP revision. The period, which are required to be SIP required by 40 CFR part 51 subpart A revisions, other provisions in EPA rules (Air Emissions Reporting proposed change did not alter the intended meaning of this section, and require states to provide at least a 30- simply clarified that in a progress day notice to the public on any type of the 5-year average that includes the most recent quality assured public data available at the time the report, a state is not required to look SIP revision, in contrast to the 60-day state submits its 5-year progress report for public forward to visibility conditions beyond period we proposed to require for review. See section II.C of General Principles for the the end of the current implementation progress reports that are not SIP 5-Year Regional Haze Progress Reports for the period. revisions. The commenters generally Initial Regional Haze State Implementation Plans, April 2013. The proposed, new 40 CFR opposed the longer period and noted 122 Note that we are not proposing this 51.308(g)(6) included a provision that it, in combination with the specification of 6 months for the progress report requiring a state with a long-term requirement to consult with FLMs well aspects of a periodic comprehensive SIP revision strategy that includes a smoke ahead of the start of public comment, (see Section IV.E of this document), in light of the longer time needed for administrative steps management program for prescribed would make it more difficult to meet the between completion of technical work and fires on wildland to include in each requirement that progress reports submission to the EPA. required progress report a summary of contain emissions and air quality

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information no older than 6 months. We varied, with many commenters report including a summary of the most agree that retaining the current expressing reservations about the recent periodic assessment of any requirement for a 30-day public proposed text. In general, these existing smoke management program comment period is appropriate and are commenters asked that the EPA either that is part of the long-term strategy finalizing that period. States may not require states to use NEI data unless were numerous, with some commenters provide a longer comment period, either such data are available in final form a generally favoring and all but one state initially or upon request, and we minimum of 12 months prior to the due opposing this additional rule provision. recommend that states do so when it date of the progress report, or that states The comments in opposition to the new would not prevent timely submission to should use the most recent final NEI provision appear to interpret it as the EPA. data available at the time the progress creating a requirement that states Some commenters opposed the report is prepared. In response, we want periodically assess their smoke proposed provision in 40 CFR to reiterate that our proposal addressed management programs and whether 51.308(g)(3)(ii) making clear that the only the requirement for the time period these programs are meeting their goals. period for calculating current visibility for the emissions information to be However, the proposed provision was conditions is the most recent rolling 5- included in a progress report. We did not intended to create any such year period for which IMPROVE data not propose to require that the requirement. It merely intended that if are available as of a date 6 months emissions data actually submitted to or there is a smoke management program preceding the required date of the contained in any version of the NEI be in the long-term strategy that already progress report. As discussed used in a progress report. Our intention has a periodic program assessment previously, we also invited comment on is that a state have the flexibility to element, the findings and other specific timeframes, and most of update and revise such data prior to recommendation of the most recent these commenters felt 12 months to be presenting it in a progress report, but assessment must be summarized in the a more appropriate timeframe. However, not the flexibility to limit its regional haze progress report. We are in general these comments pointed presentation to only emissions finalizing small changes from the specifically to the proposed provision information for earlier years.123 Second, proposed provision to make this requiring consultation with FLMs 60 to we acknowledge that, as proposed, this intention clear. We reiterate that we 120 days prior to a public hearing or subsection could be interpreted to interpret this provision to only apply to other public comment opportunity on trigger a requirement to present smoke management programs that have progress reports, and/or pointed to the emissions data for a certain year should been made part of the long-term strategy proposed requirement for a 60-day data for that year be made available for in the regional haze SIP, and only to public comment opportunity, as the the first time the day before the planned programs that have a program reason for a 12-month period for submission of a progress report. We are evaluation element. A state that has IMPROVE data availability. However, as therefore finalizing additional text in 40 such a smoke management program and noted elsewhere in this document these CFR 51.308(g)(4) (similar to text has included its program in its regional two review/comment periods are not proposed and being finalized in 40 CFR haze SIP has acknowledged that being finalized as proposed. In addition, 51.308(g)(3)) making clear that only NEI management of smoke is a significant the argument of several commenters that emissions data submitted by the state to concern with respect to visibility. 6 months is an insufficient period to the Administrator (or, in the case of data Providing the public with easy access to incorporate IMPROVE data even submitted directly by sources to a a summary of the most recent program without the extended FLM consultation centralized emissions data system, made assessment via the regional haze period was not well supported. available in a state-level summary by progress report will facilitate public Therefore, the EPA does not find these the Administrator) at least 6 months participation in the state’s development comments persuasive given the other prior to the due date for the progress of its next SIP revision. The benefit of content of the final rule. report triggers the requirement that the One commenter on the proposed 40 including a summary of the program progress report include emissions assessment for a smoke management CFR 51.308(g)(3)(ii) noted that given the information for that year. fact that progress reports for the first program that is not part of the SIP in the Proposed changes to 40 CFR progress report, if there has been a implementation period have often not 51.308(g)(5) involving assessments of been submitted on time, the EPA should program assessment, may be less, and any significant changes in we believe a state should have adjust the language of the rule text such anthropogenic emissions that have that the period for calculating current flexibility to include or not include such occurred since the period addressed in a summary in its progress report. visibility conditions should be based on the last SIP revision were generally well Regarding the proposed 40 CFR the later of the required date or received, however, one commenter 51.308(g)(7) (which as proposed was submittal date of the progress report. asked that the EPA require additional simply a modified version of the 1999 The EPA disagrees with this assessment specificity in this assessment. The EPA RHR’s 40 CFR 51.308(g)(6) that clarified because this could create a situation did not make any changes in response that a progress report’s required requiring a state to re-analyze data (and to this comment because the rule we are assessment of whether a SIP is sufficient substantially re-draft portions of a finalizing already includes the required to meet established RPGs should progress report) in situations where information. address the RPGs defined for the end of submittal of a progress report is delayed Comments on the proposed, new 40 the particular implementation period), for valid or unforeseeable reasons. We CFR 51.308(g)(6) regarding a progress note that there will be other avenues for the few comments received from states indicated a general opposition to the the public and the EPA to obtain the 123 This point about updating and revising data most recent IMPROVE data if a late for a particular year also applies to emissions requirement to evaluate SIP adequacy to progress report does not have the most information made available by the Administrator in meet RPGs. The EPA did not propose to current information. a state-level summary. It is possible that a state may remove this function of the progress have more recent, more complete or more accurate reports, so comments in favor of Comments on the proposed revisions data for its sources than the Administrator has been to 40 CFR 51.308(g)(4) regarding able to include in his or her state-level summary for removing it are outside the scope of this emissions tracking were numerous and a particular year. rulemaking.

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The proposed removal of the these rule revisions are finalized must each of the proposed changes as well as provisions of the 1999 RHR’s 40 CFR address the monitoring strategy, as has suggestions for alternative approaches. 51.308(g)(7), designed to relieve the been the requirement of the 1999 RHR Specific proposed provisions state of the need to review its visibility for progress reports already submitted. included: monitoring strategy within the context A progress report for the second or a • Revisions to 40 CFR 51.300, of the progress report, received few subsequent implementation period will Purpose and applicability, to expand the comments, but was generally opposed not have to address the monitoring reasonably attributable visibility by conservation organization strategy. impairment requirements to all states in commenters and favored by state light of the evolved understanding that commenters. With respect to the I. Changes to Reasonably Attributable pollutants emitted from one or a small progress reports that will be due in the Visibility Impairment Provisions number of sources can affect Class I second and subsequent implementation 1. Summary of Proposal areas many miles away. period, the reasoning for eliminating • Revisions to 40 CFR 51.301, The EPA proposed extensive changes Definitions, to change the definition of these provisions as explained in the to 40 CFR 51.300 through 51.308 with proposal remains valid even in light of reasonably attributable in order to make regard to reasonably attributable clear that a state does not have complete the comments received. However, upon visibility impairment. The motivation further consideration it is appropriate to discretion to determine what techniques for these changes was discussed in are appropriate for attributing visibility leave in place the requirement for a detail in the proposal. In summary, in monitoring strategy element for the impairment to specific sources. the time since the reasonably • remaining progress reports due in the Deletion of the entire text of 40 CFR attributable visibility impairment first implementation period, as many 51.302 and replacement with new provisions were originally promulgated progress reports have already been language clearly describing a state’s in 1980, advances in ambient submitted and many others are well responsibilities upon receiving a FLM monitoring, emissions quantification, under development. Being consistent certification of reasonably attributable emission control technology and with respect to this requirement for all visibility impairment. The following meteorological and air quality modeling progress reports during the first aspects of the proposed 40 CFR 51.302 have been built into the regional haze implementation period will not be a are of particular relevance in program, such that state compliance significant burden on the states. We summarizing comments and explaining with the RHR’s requirements will our final action. have not disapproved the monitoring Æ strategy element of any progress report largely ensure that progress is made The proposed 40 CFR 51.302(b) to date. towards the goal of natural visibility described the required state action in The RTC responds to these comments conditions. Therefore, some aspects of response to any FLM certification of in more detail. the reasonably attributable visibility reasonably attributable visibility Public comments on 40 CFR 51.308(i) impairment provisions of the visibility impairment, namely that a state shall regarding the requirement for regulations have less potential benefit revise its regional haze implementation consultation with FLMs on progress than they did when they originally took plan to include a determination, based reports are discussed elsewhere in this effect. These provisions have received on the four reasonable progress factors document. few revisions over the years resulting in set forth in 40 CFR 51.308(d)(1)(i)(A), of a substantial amount of confusing and any controls necessary on the certified 3. Final Rule outdated language within the current source(s) to make reasonable progress The EPA is finalizing all of the rule visibility regulations including toward natural visibility conditions in text detailed in the preceding discussion seemingly overlapping and redundant the affected Class I area. This would as proposed with changes. Instead of requirements. While there have preserve the existing state obligation, removing the 1999 RHR’s 40 CFR historically been very few certifications including the fact that a certification by 51.308(g)(7) regarding monitoring of existing reasonably attributable an FLM would not create a definite state strategies entirely, we are retaining it visibility impairment by an FLM, in obligation to adopt a new control but making it applicable only to several situations a certification by an requirement, but rather only to submit progress reports for the first FLM has ultimately resulted in new a SIP revision that provides for any implementation period. With the controls or changes in source operation. controls necessary for reasonable retention of 40 CFR 51.308(g)(7), the The EPA therefore proposed to (1) progress. It would be the EPA, not the numbering of other sections in the final eliminate recurring requirements on certifying FLM, that would determine rule is different than proposed and is states that we believe have no whether the responding SIP is adequate consistent with the numbering in the significant benefit for visibility and the response reasonable. 1999 RHR. We are revising the opening protection; (2) clarify and strengthen the Æ The proposed 40 CFR 51.302(c) text of 40 CFR 51.308(g) to make the 1999 RHR’s provisions under which addressed those situations where an required public comment period be 30 states must address reasonably FLM certifies as a reasonably days rather than 60 days. We are attributable visibility impairment when attributable visibility impairment source revising 40 CFR 51.308(g)(4) to provide an FLM certifies that such impairment a BART-eligible source where there is at a 6-month grace period for the trigger of is occurring in a particular Class I area that time no SIP or FIP in place setting the requirement to include emissions due to a single source or a small number BART emission limits for that source or information for a recent year. The final of sources; (3) remove FIP provisions addressing BART requirements via a version of new 40 CFR 51.308(g)(8) that require the EPA to periodically better-than-BART alternative (numbered as (g)(6) in the proposal) has assess whether reasonably attributable program.124 In such an instance, the been revised from the proposal to clarify visibility impairment is occurring and to its applicability. respond to FLM certifications; and (4) 124 Although most of the BART requirements have We are finalizing rule text in 40 CFR edit various portions of 40 CFR 51.300 been addressed in most states, there remain a through 40 CFR 51.308 to make them handful of states with BART obligations. In 51.308(g)(7) that makes it clear that all addition, there is litigation over the BART element remaining progress reports for the first clearer and more compatible with each in some approved SIPs and promulgated FIPs. We implementation period submitted after other. The EPA solicited comment on expect that this situation may exist in one or more

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proposed rule would require the state to Administrator, Regional Administrator relationship in the visibility program revise its regional haze SIP to meet the or FLM has advised the state of a need and give FLMs authority beyond that requirements of 40 CFR 51.308(e), BART for it. afforded in sections 169A and 169B of requirements for regional haze visibility • Complete removal of 40 CFR the CAA. In response, the EPA is impairment, and notes that this 51.306. clarifying that the text edit to remove requirement exists in addition to the • Revisions to 40 CFR 51.308 (in the phrase ‘‘the state deems’’ from the requirements of 40 CFR 51.302(b) addition to those discussed elsewhere in definition of ‘‘reasonably attributable’’ regarding imposition of controls for this document and in the proposal) was not intended to give the FLMs sole reasonable progress. The proposed related to reasonably attributable power to determine what technique is version of 40 CFR 51.302(c) also visibility impairment. appropriate for attributing visibility clarified two aspects of the 1999 RHR to • Revisions to 40 CFR 51.308(e), impairment to a source or small number match the EPA’s past and current BART, relating to a state’s option to of sources. If and when an FLM makes interpretations. First, while a enact an emissions trading program or a certification, it can base the certification of reasonably attributable other alternative measure in lieu of certification on a technique that it visibility impairment for a BART- source-specific BART. thinks appropriate. Whether that eligible source prior to the EPA’s Finally, consistent with our proposal technique is appropriate is an issue that approval of a state’s BART SIP for that to remove the requirement for states to the affected state may opine on during source does not impose any substantive periodically assess reasonably the consultation opportunity the FLM is obligation on a state that is over and attributable visibility impairment, the required to offer (details of this above the BART obligation imposed by EPA proposed to revise many sections consultation opportunity are discussed 40 CFR 51.308, the state’s response to of 40 CFR part 52 to remove provisions later) and as part of its responsive SIP the certification of reasonably that establish FIPs that require the EPA revision. If the state believes that the attributable visibility impairment for a to periodically assess whether technique is not appropriate and that no BART-eligible source must take into reasonably attributable visibility appropriate technique would verify the account current information. Second, a impairment exists at Class I areas in attribution alleged by the FLM, the state certification of reasonably attributable certain states and to address it if it does, may submit a narrative-only SIP visibility impairment for a BART- and to respond to any certification of revision that disagrees with the eligible source after the state’s BART reasonably attributable visibility certification and explains the reason for SIP for that source has been approved impairment that may be directed to a the disagreement, and accordingly by the EPA does not trigger a state that does not have an approved contains no additional measures for the requirement for a new BART reasonably attributable visibility identified source or sources. However, it determination based on the five impairment SIP. will be the EPA that ultimately statutory factors for BART, but rather, 2. Comments and Responses determines whether the technique was the state’s obligation with respect to that appropriate, when we approve or Comments on the proposed revisions source is the same as for a non-BART disapprove the responsive SIP revision to 40 CFR 51.300 regarding the eligible source. after considering the information that Æ Three alternatives were proposed expansion of reasonably attributable supports the certification, the for 40 CFR 51.302(d) regarding the time visibility impairment to states that do information in the SIP revision, and schedule for state response to an FLM not have Class I areas were mixed across public comments. This change in the certification of reasonably attributable stakeholder groups. While few rule text does not alter the federal-state visibility impairment. commenters expressed disagreement relationship, because even under the • Revisions to 40 CFR 51.303, with the EPA’s statements surrounding wording of the 1999 RHR, the EPA Exemptions from control, to correctly the improved scientific understanding would review the reasonableness of a refer to the new 40 CFR 51.302(c) as of long-range pollutant transport state’s determination as to what well as to the BART provisions in 40 showing that reasonably attributable technique is appropriate for attributing CFR 51.308(e). Note that these revisions visibility impairment can be an visibility impairment. were described in the preamble of the interstate issue, commenters opposing Several of these comments also ask proposal, but were inadvertently not the reasonably attributable visibility that, if the EPA finalizes this change in included in the proposed rule text. impairment expansion generally definition, that the scope of attribution • Revisions to 40 CFR 51.304, pointed to the alleged redundant nature techniques which would qualify as Identification of integral vistas, to of the reasonably attributable visibility ‘‘appropriate’’ be better stated. On this remove antiquated language in light of impairment and regional haze point, the EPA does not believe the fact that FLMs were required to requirements, as well as asserting that imposing such limits on the scope of identify any such integral vistas on or any and all FLM concerns can be raised techniques that qualify as ‘‘appropriate’’ before December 31, 1985, and to list during the SIP development process. is justified, particularly given that those few integral vistas that were Using similar arguments, a number of continually improving scientific properly identified. commenters urged the EPA to remove understanding of pollutant transport • Revisions to 40 CFR 51.305, the reasonably attributable visibility and the continually evolving scope of Monitoring for reasonably attributable impairment requirements entirely, modeling will no doubt result in even visibility impairment, to state that the although this was not an option better attribution techniques in the requirement to include in a periodic outlined in the proposal. future. comprehensive SIP revision a A number of comments on the Other comments on 40 CFR 51.301 monitoring strategy specifically for proposed revisions to 40 CFR 51.301 asked for a more descriptive and reasonably attributable visibility regarding definitions opined that thorough definition of ‘‘reasonably impairment in Class I area(s) only changing the definition of ‘‘reasonably attributable visibility impairment’’ and applies in situations where the attributable’’ (to remove implied state its related terms. Comments on 40 CFR discretion in determining whether the 51.302 regarding FLM certification of states at some time after the effective date of the technique used was appropriate) would reasonably attributable visibility final rule. significantly alter the federal-state impairment contained similar requests,

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with most states and industry including reasonably attributable ‘‘existing stationary facility’’, the expressing concern that the proposed visibility impairment. While the final existence of these requirements does not rule did not define sufficiently limiting rule requires the FLM to offer a state an mean that an FLM may not make a principles for FLMs, failed to identify in-person consultation meeting at least certification for another type of source information about the scientific basis for 60 days prior to making a certification or that a state has no obligation to any certification of reasonably of reasonably attributable visibility submit a SIP revision to respond to the attributable visibility impairment, and impairment, we encourage FLMs and certification. Furthermore, as explained did not provide any basis by which a state to have conversations and in more detail in the RTC, we believe state or source could review or object to exchange technical information even that the CAA provides broad enough any certification of reasonably earlier. The FLMs have conveyed to the authority for the EPA to promulgate the attributable visibility impairment before EPA their expectation that a reasonably provisions in the final rule regarding the it triggered a mandatory obligation to attributable visibility impairment certification of reasonably attributable respond. Several commenters asked for certification will be an unusual visibility impairment by sources that are guidance or criteria in the final rule for ‘‘backstop’’ for a situation that is not not BART-eligible, regardless of how the certification process and techniques otherwise addressed under the regional these sources were addressed in the for attribution, with some providing a haze program despite good 1980 rule. If a certification is made for suggested list of elements to include in communication between the FLM and a source (or a small number of sources) a certification of reasonably attributable the state. In addition, in each instance that is not BART-eligible (or for a BART- visibility impairment. since the original regulations were eligible source for which the EPA has The comments in favor of a more promulgated since 1980, FLMs have already approved or promulgated a plan specific provision in the final rule for consulted with states and EPA and only addressing the BART requirement), the what type of source impact, assessed by made the decision to certify reasonably responsive SIP revision must provide what method, constitutes reasonable attributable visibility impairment when for whatever measures for that source attributable visibility impairment did these conversations did not lead to a are necessary to make reasonable not offer any particular more specific resolution of the issue. progress considering the four statutory definition of reasonably attributable factors, unless the SIP revision One commenter said that there is no visibility impairment, and we had not establishes that there is no reasonably provision in the 1980 rule on reasonably proposed any more specific definition. attributable visibility impairment due to attributable visibility impairment that While the EPA acknowledges the the identified source. comments, we do not think it is allows an FLM to make a certification There were a number of comments on necessary to finalize a more specific for a source that is not BART-eligible. 40 CFR 51.302(d) regarding the definition in the rule text. The EPA This commenter objected to the explicit proposed three options for a schedule agrees with the portion of one comment provisions in our proposed rule for state response to a certification of letter suggesting that a thorough revisions that provide for such a reasonably attributable visibility certification of reasonably attributable certification. We disagree with the impairment. Some commenters visibility impairment should describe commenter’s description of the 1980 recommended the first proposed the location(s) within the Class I area rule. We recognize that the term approach of keeping the 1999 RHR’s where the impairment occurs, when ‘‘existing stationary facility’’ was schedule under which a state response (e.g., year-round or only during certain defined in the 1980 rule as including is due within 3 years of a certification times of the year) the impairment only BART-eligible sources, and that of reasonably attributable visibility occurs, what attribution methods were many of the provisions of the 1980 rule impairment. Most commenters found used to determine impairment (such as were specific to these sources. However, the third proposed approach to be photographs or videos, monitoring, and/ the 1980 rule’s definition of reasonably unnecessarily complicated, while some or modeling), a description of how the attributable visibility impairment refers objected to how much time could elapse impairment adversely impacts visibility, to ‘‘air pollutants from one, or a small between a certification and the state’s an identification of the source or number of sources,’’ not more narrowly responsive SIP revision; we are not sources believed by the FLM to be to ‘‘existing stationary facilities.’’ Also, finalizing the third approach and will causing the impairment and the 40 CFR 51.302(c)(2)(i) as promulgated in not discuss it further. Some commenters methods used to make this 1980 says that a state plan to address favored a modified version of the determination. Past reasonably reasonably attributable visibility second proposed option (in which the attributable visibility impairment impairment must include a strategy ‘‘as deadline would be the earlier of the due certifications have generally included may be necessary to make reasonable date for the next progress report or these elements or the certifying FLM progress towards the national goal’’ and periodic comprehensive SIP revision, so otherwise shared such information with 40 CFR 51.302(c)(2)(ii) requires an long as that submission is due at least the state. assessment of how each element of the 2 years after the certification), but with Additional comments on 40 CFR plan relates to preventing visibility more time to respond. These 51.302 asked for some degree of state impairment. Neither of these sections is commenters generally stated that the participation in certification limited to only ‘‘existing stationary minimum workable time was either 3 or development, such as a pre-certification facilities.’’ In addition, 40 CFR 4 years. It is noteworthy, however, that consultation requirement whereby 51.302(c)(3) as promulgated in 1980 other commenters opposed this second FLMs must consult with states (and required plans to require ‘‘each source’’ option, largely due to the fact that in possibly EPA) before certifying, as well to maintain control equipment and to some situations a state response would as an option for the state to appeal a establish procedures to ensure the not be due for some time after an FLM certification once received. In response equipment is properly operated and certification (up to 7 years). to these comments, we are including a maintained. While the remaining parts We noted that if the second approach consultation obligation on the FLMs in of 40 CFR 51.302(c) contain more were finalized but with the minimum the final rule text. We would like to specific requirements that apply when a time to respond to a certification reiterate the importance of state-FLM certification of reasonably attributable increased to 3 or 4 years (as consultation for all aspects of the RHR, visibility impairment has identified an recommended by some states),

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responses to FLM certifications may not For a discussion of the comments on that a geographic enhancement is an be due until 8 or 9 years after other areas proposed and being finalized option for them, as it has been under the certification, which is an excessive related to reasonably attributable 1999 RHR. amount of time. The EPA believes that visibility impairment, please see the Third, also mentioned in the retaining the fixed 3-year deadline of RTC document available in the docket preceding section, we are finalizing a the existing rule is workable for all for this rulemaking. requirement in 40 CFR 51.302(a) that parties and is most appropriate and 3. Final Rule the FLM making a certification of hence is finalizing the first option in reasonably attributable visibility this rulemaking, with an added We are finalizing the proposed impairment must offer an opportunity to provision that no response will be due revisions to the reasonably attributable the state(s) containing the identified before the July 31, 2021, due date of the visibility impairment and related sources to consult regarding the basis next SIP revision.125 While not provisions, with four changes. for the certification, in person and at specifically proposed, this provision is First, as mentioned in the Section least 60 days before the FLM makes the being finalized in response to the IV.I.2 of this document, we are certification. This change was added in general concern of some commenters finalizing a modified version of one of response to comments received that with a state having to respond to a the proposed alternatives regarding the specifically asked for such consultation. reasonably attributable visibility deadline for state response to a Fourth, we are not finalizing the impairment certification before it has certification of reasonably attributable proposed changes to 40 CFR 51.308(c), had an opportunity to systematically visibility impairment certification, for the following reasons. Because we consider what additional emission namely that the response would always are finalizing a 3-year, fixed deadline for reductions measures are necessary for be due within 3 years (as required by state response to a certification of the existing rule). The final rule retains reasonable progress for the second reasonably attributable visibility this option’s 3-year, fixed deadline implementation period taking into impairment, the first part of the rather than one of the alternative account all the requirements of this final proposed provision (regarding the need schemes proposed that would have rule. to respond as part of an upcoming, always aligned the deadline with the While we did not publish specific otherwise due SIP revision) no longer next SIP revision or progress report, but proposed rule changes for removing all applies. As to the second part of the adds an additional one-time provision mention of integral vistas from the proposed provision (regarding such that a state response to a visibility protection rules, we invited monitoring to assess reasonably certification of reasonably attributable comment on such a step. We did so attributable visibility impairment), we visibility impairment will in no case be now realize this aspect is adequately because it appeared that if we finalized due earlier than July 31, 2021. The final our other proposals, there would be no rule retains the language indicating that covered by 40 CFR 51.308(f)(4) and that requirement in our rules that actually the state is not required at the time of duplication of requirements in different depends on whether an integral vista response to also revise its RPGs to subsections would only cause associated with a Class I area had been reflect the additional emission confusion. Therefore, 40 CFR 51.308(c) identified. Thus, removing mention of reductions required from the source or will remain unchanged from the 1999 integral vistas would simplify the rule sources. RHR. text without changing any party’s Second, we are adding to 40 CFR J. Consistency Revisions Related To obligations under our visibility 51.308(e)(2)(v) and 40 CFR 51.308(e)(4) Permitting of New and Modified Major protection rules. A number of references to the reasonably attributable Sources commenters agreed with our assessment visibility impairment provisions in 40 and supported the removal of all CFR 51.302(b) and 40 CFR 51.302(c). We 1. Summary of Proposal mention of integral vistas, and no proposed to add to each of these parts Proposed changes to 40 CFR 51.307, commenter opposed this change. of the rule only a reference to 40 CFR New source review, were limited to a However, we now realize that because 51.302(b) but have realized that a few proposed changes to maintain the definition in 40 CFR 51.301 that reference in each to 40 CFR 51.302(c) is consistency with other sections of the ‘‘visibility in any mandatory Class I also needed. With these revisions, it is RHR and with the CAA. These changes Federal area includes any integral vista clear that for a BART-eligible source were minor and therefore will not be associated with that area’’ and because participating in a trading program that repeated here. there are several provisions that after has been determined to be better-than- our final action continue to use the term BART, if an FLM certifies that there is 2. Comments and Responses ‘‘visibility in any mandatory Class I reasonably attributable visibility There were no significant comments Federal area,’’ there are some provisions impairment due to that source a state received on the proposed changes to where the existence of a single may include a geographic enhancement this subsection. identified integral vista could of the trading program to satisfy both conceivably make a difference to the the reasonable progress obligation under 3. Final Rule obligation of some party or to an EPA 40 CFR 51.302(b) and any outstanding Changes to 40 CFR 51.307 are being action. For this reason, we are finalizing BART obligation under 40 CFR finalized as proposed. The EPA does only what we proposed, which is 51.302(c). While most BART-eligible wish to emphasize the requirement for removal of antiquated language in sources cannot become subject to 40 FLM consultation during the new section 40 CFR 51.304, but not removal CFR 51.302(c) because an approved source review permitting process. As of all references to integral vistas in BART SIP (or a SIP under 40 CFR discussed in the preamble for the subpart P. 51.309) or a FIP is in place as a result proposal, 40 CFR 51.307(a) requires of planning efforts in the first FLM consultation for any new major 125 The added provision that refers to July 31, implementation period, there are a source or major modification that would 2021, will have the effect of providing additional be constructed in an area designated time for the state’s response only for a reasonably small number of BART-eligible sources attributable visibility impairment certification made that might become subject to 40 CFR attainment or unclassifiable that may prior to July 31, 2018. 51.302(c) and it is important to be clear affect visibility in any Federal Class I

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area. FLM consultation is also required supporting or opposing the inclusion of For a more thorough discussion of the under 40 CFR 51.307(b)(2) for any major a reference using the phrase ‘‘early comments on FLM consultation source or major modification that enough.’’ Some commenters said the requirements, please see the RTC proposes to locate in a nonattainment criteria were not clear and asked for document available in the docket for area that may affect visibility in any clarity on what would be needed to this rulemaking. mandatory Federal Class I area. Two satisfy the requirement. In addition, 3. Final Rule EPA guidance documents interpret this many states and industry said the consultation requirement, particularly current 60-day period is long enough for After consideration of public with regard to evaluating whether a SIPs, and that a longer period could comments, we are finalizing the proposed new major source or major delay their submission. revisions to 40 CFR 51.308(i)(2) with modification may affect visibility in a For progress reports, several state and changes from proposal. The proposed Federal Class I area.126 The EPA industry commenters indicated that the requirement for consultation no fewer regional offices can provide additional 60-day period described in the 1999 than 60 days prior to a public hearing assistance to states in ensuring that their RHR is sufficient, or that FLMs should or other public comment opportunity permitting programs meet the not be consulted on progress reports at (with a consultation opportunity that regulations and that the appropriate all if they are no longer required to be takes place no less than 120 days prior consultation is being conducted for SIP revisions. A main concern was that to a public hearing or other public affected permits. anything more than a 60-day period comment opportunity being deemed K. Changes to FLM Consultation would conflict with the proposed ‘‘early enough’’) is being finalized for Requirements requirement in 40 CFR 51.308(g)(3) to SIP revisions. For progress reports assess current conditions based on the (which, as discussed elsewhere in this 1. Summary of Proposal IMPROVE data available 6 months document, will no longer be subject to As discussed in the proposed rule, before the progress report due date. As the formalities of a SIP revision), the state consultation with FLMs is a discussed earlier in this document, this EPA is finalizing a requirement for critical part of the development of requirement under 40 CFR 51.308(g)(3) consultation no fewer than 60 days prior quality SIPs. We proposed not only to is being finalized as proposed. The EPA to a public hearing or other public apply the FLM consultation agrees that a requirement to consult comment opportunity, with no reference requirements of 40 CFR 51.308(i)(2) to with FLMs on progress reports more to the consultation opportunity being progress reports that are not SIP than 60 days prior to opening a public ‘‘early enough.’’ We are also finalizing revisions, but to make further edits to comment period may interfere with the somewhat different wording regarding this subsection to support such revised provisions in 40 CFR the purpose of the consultation on SIP consultations. The proposed changes 51.308(g)(3) and is therefore finalizing revisions, to convey the idea that were motivated by a concern that the the 60-day requirement without consultation that takes place via an in- 1999 RHR’s requirement for referring to consultation being ‘‘early person meeting 60 to 120 days prior to consultation at least 60 days prior to a enough’’ and without referring to the a public hearing or comment public hearing may not result in a state 120-day point in the process. opportunity will be about decisions that offering an in-person consultation Finally, some multi-state organization are about to be made by the state on its meeting sufficiently early in the state’s commenters asked for confirmation that long-term strategy rather than about the planning process to meaningfully state and FLM participation in the RPO plan for the technical analysis that inform the state’s development of the process would continue to meet the informs these decisions, because by that long-term strategy. We proposed to add consultation requirement. The EPA does time the technical analysis will have 127 a requirement that such consultation on not agree that such participation would already been largely completed. The SIPs and progress reports occur early suffice for consultation because being final wording on the purpose of the enough to allow the state time for full informed of the technical work consultation also emphasizes the consideration of FLM input, but no performed by the multi-state content of the long-term strategy rather fewer than 60 days prior to a public organizations is not the same as the than the setting of the RPGs, consistent hearing or other public comment FLMs being substantively involved in with the concept that the RPGs are a opportunity. A consultation opportunity regulatory decisions a state makes on reflection of the requirements of the that takes place no less than 120 days what controls to require based on that long-term strategy. prior to a public hearing or other public work (i.e., the decisions on the long- comment opportunity would then be L. Extension of Next Regional Haze SIP term strategy on which public comment Deadline From 2018 to 2021 deemed to have been ‘‘early enough.’’ will be sought prior to submission to the 2. Comments and Responses EPA in the form of a SIP revision). 1. Summary of Proposal Overall, the comments were split with Furthermore, the objective of these The EPA proposed to revise 40 CFR many favoring any enhanced FLM provisions is not to achieve FLM 51.308(f) to move the deadline for the participation in regional haze planning, consultation with states on setting submission of the next periodic while most states generally disfavored RPGs, since that process is largely comprehensive SIP revisions from July enhanced participation. mechanical in nature because RPGs are 31, 2018, to July 31, 2021, with states Regarding comments specific to the to be based on the long-term strategy retaining the option of submitting their proposed changes to 40 CFR and do not involve any additional SIP revisions before July 31, 2021. We 51.308(i)(2), states were split in policy decisions. We note that a proposed to leave the end date for the standing invitation for FLM second implementation period at 2028, 126 Notification to Federal Land Manager Under participation in the work performed by Section 165(d) of the Clean Air Act, memo from multi-state organizations may be part of 127 We expect that the FLM would have already David G. Hawkins, EPA Assistant Administrator for the procedures that a SIP provides for provided input into the planning of the technical Air, Noise, and Radiation to EPA’s Regional analysis including steps to gather information to be Administrators, March 19, 1979; 1990 New Source continuing consultation between the analyzed, as part of the ongoing consultation Review Workshop Manual, Chapter E, Section III A. state and the FLM, as required by 40 required under 40 CFR 51.308(h)(4) and as part of Source Applicability. CFR 51.308(i)(4). FLM participation in multi-state planning groups.

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regardless of when SIP revisions are SIP submission and review moving with their business, regulatory and other submitted. The proposed change was to forward. Furthermore, the EPA has priorities. Additionally, with the be a one-time schedule adjustment such clarified in the final rule that whether extension of the due date for the second that the due dates for periodic or not a control measure can be installed implementation period SIPs, we are comprehensive SIP revisions for the and become operational before the end maintaining 2028 as the end date of the third and subsequent planning periods of the planning period is not a factor in implementation period. We thus would still be due on July 31, 2028, and determining whether that measure is disagree that providing states 3 every 10 years thereafter. The EPA necessary to achieve reasonable additional years to coordinate planning proposed this extension to allow states progress. Thus, the length of the is inconsistent with continuing to make to coordinate regional haze planning implementation period should not be a reasonable progress towards the with other regulatory programs, barrier to achieving the emission ultimate goal of natural visibility including but not limited to the Mercury reductions identified by the reasonable conditions. We also disagree that and Air Toxics Standards,128 the 2010 1- progress analysis. Finally, this rule providing 3 additional years will 129 hour SO2 NAAQS, the 2012 annual change grants states additional time up seriously undermine the goal of 130 PM2.5 NAAQS and the Clean Power front (before 2021) for regional haze coordinated, regional planning among Plan,131 with the further expectation planning and analysis and thus makes it states. While we are aware that some that this cross-program coordination more likely they will submit their SIP states in the eastern U.S. are considering would lead to better overall policies and revisions for the second implementation submitting SIPs before July 31, 2021, enhanced environmental protection. period either on or ahead of schedule. these states are coordinating among Some commenters contended that the themselves on their technical analyses 2. Comments and Reponses EPA’s rationales do not justify the and they have not indicated that the Many commenters, especially state air proposed extension, and that giving extension will obstruct their agencies, expressed support for this states an additional 3 years to coordination with other states. extension, while other commenters coordinate their planning would Although Congress did not establish opposed it. A primary concern from the frustrate Congress’s policy goals and an explicit role for health considerations latter group of commenters was that, impair human health. One commenter in the regional haze program, reductions given the fact that many initial regional said that the EPA should evaluate the of visibility-impairing pollutants also haze SIPs were submitted late (in some public health impacts of its proposal to have important health related co- cases, well into the first implementation delay the SIP deadline to 2021. We benefits. However, because the purpose period), this pattern was likely to disagree with these comments. As we of the regional haze program is continue and many periodic explained at proposal, the RHR requires improving visibility in Class I areas, we comprehensive SIP revisions would not states to include the impacts of other disagree that the EPA should evaluate be submitted by July 31, 2021, which regulatory programs when developing the human health impacts of moving the would leave even less time during the their regional haze SIPs. Many deadline for regional haze SIP second implementation period for any industries, including the utility sector, submissions from 2018 to 2021. emission reductions necessary for are currently in the midst of developing Importantly, the emission reductions reasonable progress to occur. One mid- to long-term plans that will govern achieved in the first implementation commenter stated that the 2021 date how they navigate the numerous recent period will continue to be in effect, and would be workable provided EPA acts additions to the regulatory landscape emissions will continue to be addressed promptly on each state’s periodic that include, but are not limited to, the during this period under the existing comprehensive SIP revision, and that programs discussed in the proposal and structure of federal, state and local clean EPA should indicate now that it will mentioned previously (i.e., the Mercury air programs. Insofar as states and make prompt findings of nonsubmittal and Air Toxics Standards,132 the 2010 1- sources were already planning to 133 or substantial inadequacy when the time hour SO2 NAAQS, the 2012 annual undertake emission control projects in 134 comes. PM2.5 NAAQS and the Clean Power response to other regulatory As a general matter, making findings Plan). requirements, the timing of these of nonsubmittal or substantial Decisions that states and regulated projects will be unaffected by the inadequacy are well within the EPA’s entities make in response to one change in the SIP due date in the authority. While we recognize the program may affect the options available regional haze program. Furthermore, commenter’s concern regarding the for addressing their regional haze states are not required to wait until 2021 timing of SIP submissions, we expect obligations, and vice versa. Providing to submit their regional haze SIP that the length of the second time for regulated entities to coordinate revisions for the second implementation implementation period will be sufficient their planning will allow them to design period, although they may choose to do to secure the emission reductions pollution control strategies that make so. necessary for reasonable progress. The efficient and effective use of their One commenter asserted that EPA’s EPA anticipates that the experience resources over the long term. Congress’s proposal to extend the deadline for states and the EPA have gained from the goal of attaining natural visibility submission of regional haze SIPs for the second implementation period violates first round of regional haze planning conditions will not be achieved in the the plain language of the section will result in a more efficient process of next implementation period—it is necessarily a longer-term effort that will 169B(e)(2) of the CAA. The commenter argues that this statutory provision 128 77 FR 9304, February 16, 2012. require states and regulated entities to 129 75 FR 35520, June 22, 2010. make careful, considered decisions requires EPA to mandate that states 130 78 FR 3086, January 15, 2013. about how to balance the requirement to submit regional haze SIP revisions 131 80 FR 64662, October 23, 2015. The Clean achieve sustained and sustainable within 12 months of promulgating RHR Power Plan was stayed by the Supreme Court for visibility improvement moving forward revisions under section 169A. We the duration of litigation. Order in Pending Case, disagree. Section 169B(e)(2) states that West Virginia v. EPA, No. 15A773 (February 9, 2016). As a result, states have no compliance 132 77 FR 9304, February 16, 2012. ‘‘[a]ny regulations promulgated under obligations with respect to the Clean Power Plan at 133 75 FR 35520, June 22, 2010. section [169A] of this title pursuant to this time. 134 78 FR 3086, January 15, 2013. this subsection shall require affected

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States to revise within 12 months their M. Changes to Scheduling of Regional progress reports more useful to the implementation plans under section Haze Progress Reports public with no attendant reduction in environmental protection, we proposed [110].’’ (emphasis added). The 1. Summary of Proposal subsection at issue, 169B(e)(1), requires to limit the requirement for separate EPA to promulgate regional haze The EPA proposed to revise the progress reports to the one due mid-way regulations within 18 months of requirements in 40 CFR 51.308(g) and between periodic comprehensive SIP receiving the report required of (h) regarding the timing of submission revisions and to add to the requirement of reports evaluating progress towards Visibility Transport Commissions under for periodic comprehensive SIP the natural visibility goal. The 1999 revisions a requirement to include the 169B(d)(2). This report was a one-time RHR required states to submit regional requirement intended to inform EPA’s visibility trend information that the haze progress reports every 5 years, with 1999 RHR previously required yet-to-be-promulgated regulations. the first progress report due 5 years after exclusively in progress reports. Thus, section 169B(e)(1) clearly submission of the first periodic expresses Congress’s intent to establish comprehensive SIP revisions. Because 2. Comments and Responses a timetable for the EPA’s initial regional states submitted these first SIP revisions Commenters generally supported the haze rulemaking in order to ensure that on dates spread across several years, change to progress report scheduling the regulations would be promulgated many of the due dates for progress such that due dates would fall mid-way in a timely fashion and would be reports currently do not fall mid-way between those of periodic informed by the studies and report between the due dates for periodic comprehensive SIP revisions, though required under 169B(a)(1) and (d)(2), comprehensive SIP revisions, as the some comments recommended that a respectively. Section 169B(e)(2) states EPA initially envisioned. Looking periodic SIP revision be explicitly that regulations promulgated pursuant forward, continued operation of the required to include all the required to (e)(1)—which addresses only EPA’s 1999 RHR would in many cases require progress report elements listed in 40 obligation to undertake that initial a progress report shortly before or CFR 51.308(g) of the 1999 RHR and in regional haze rulemaking—must require shortly after a periodic comprehensive particular element (g)(6), which requires states to submit SIP revisions within 12 SIP revision, at which time it could not an assessment of whether the current months. We disagree with the be expected to have much utility as a SIP is sufficient to meet all established mid-course review of environmental RPGs. There are seven listed progress commenter’s assertion that Congress progress or much incremental report elements in the 1999 RHR and intended this 12-month deadline to informational value for the public eight listed elements in the revised final apply in the case of subsequent rule compared to the data contained in that rule. The subjects of the first five of the revisions, as subsection (e) describes a SIP revision. elements are the same in the two one-time process of research, reports Complementing the revisions to 40 versions of the rule, and we proposed and rulemaking to get the regional haze CFR 51.308(f) regarding the deadlines and are finalizing a requirement that program off the ground. Neither for submittal of periodic comprehensive each periodic SIP revision address these 169(e)(1) nor (e)(2) contains any revisions, we proposed to revise 40 CFR five elements. We are not requiring indication that Congress intended this 51.308(g) and (h) such that the second periodic SIP revisions to assess whether specific timeline to apply for additional, and subsequent progress reports would the SIP is sufficient to meet all future rulemakings. be due by January 31, 2025, July 31, established RPGs (element (g)(6) in the Another commenter said that in lieu 2033, and every 10 years thereafter, 1999 RHR and the revised final rule). of formally extending the deadline, the placing one progress report mid-way Given that the SIP is being revised, there between the due dates for periodic Agency should consider granting an would be no utility in assessing whether comprehensive SIP revisions. As we the previous terms of the SIP for the administrative waiver to a state that explained, this timing provides a previous implementation period were affirmatively shows that a delay in balance between allowing the sufficient to meet the progress goals for submitting its periodic comprehensive implementation of the most recent SIP the previous period. Also, since the new SIP revisions is warranted. The EPA revision to proceed long enough for a SIP revision will contain new progress does not believe the additional effort review to be possible and worthwhile, goals for the end of the currently required on the part of a state and the and having enough time remaining applicable implementation period and EPA would be worthwhile for such an before the next comprehensive SIP these goals will be calculated to reflect undertaking because many states have revision for state action to make changes the new measures in that SIP revision good reason to coordinate their planning in its rules or implementation efforts, if and previously adopted measures, it for their periodic comprehensive SIP necessary, separately from the actions in necessarily will be that this revised SIP revisions with that for other regulatory that next SIP. is sufficient to meet the new goals. The requirements and programs. A waiver As explained in the proposal, the EPA seventh element of a progress report as process would thus add considerable no longer believes a progress report is listed in the 1999 RHR (which EPA is administrative burden with minimal useful at or near the time of submission eliminating in the revised rule for benefit, as the EPA would be likely to of a periodic comprehensive SIP progress reports for the second and grant most or all of the waiver requests revision, since in practical terms a subsequent implementation periods for based on this need to coordinate progress report provides little additional reasons described elsewhere in this planning. information beyond that required in a document) is a review of the monitoring periodic comprehensive SIP revision strategy. However, periodic SIP 3. Final Rule (with the exception of the 1999 RHR’s revisions are required to address the requirement that a progress report monitoring strategy under 40 CFR The EPA is finalizing this one-time include information on the trend in 308(f)(6) of the final rule text, so no deadline extension with no changes visibility over the whole period since further mention of monitoring strategies from proposal. the baseline period of 2000–2004). In is needed. The newly added element of order to substantially reduce a progress report in the revised final administrative burdens and make rule (now numbered as element (g)(8)) is

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the summary of the most recent periodic comprehensive SIP revisions. previously in this document). Other assessment of a smoke management In the 1999 RHR, we required progress commenters opposed eliminating the program if any. Our reasons for not reports to be in the form of SIP revisions requirement that progress reports take requiring periodic SIP revisions to that meet the procedural requirements the form of SIP revisions, and expressed include such a summary are given of 40 CFR 51.102 and 51.103 (which in that review by EPA should at least elsewhere in this document. turn refer to the requirements of involve a finding of adequacy or Some commenters requested that the Appendix V of 40 CFR part 51). Given inadequacy. progress report due January 1, 2025, be the requirements for what a state should In response to comments opposing removed from the rule, given the fact include in its progress report, we eliminating the requirement that that it would be due only 3.5 years after anticipated that these submittals would progress reports be SIP revisions, the the July 31, 2021, due date of the next typically contain narrative descriptions EPA would like to reiterate that as part periodic comprehensive SIP revision. of such things as current visibility of our review of a progress report, we These commenters felt this time period conditions and emissions inventories. will follow up with the state on any prohibitively short and that this We did not anticipate that progress appropriate next steps, and we note information could be better be included reports would typically include new or again that there are additional remedies in the next periodic comprehensive SIP revised emission limits.136 Although the (such as undertaking a less formal revision due July 31, 2028. A few EPA specifically intended for progress assessment of the results of the commenters asked that EPA entirely reports to involve significantly less implementation of the previously remove the requirement for progress effort than a periodic comprehensive submitted SIP) available to the EPA in reports from the regional haze program. SIP revision, a state must provide public the event a state fails to properly submit As noted previously, progress reports notice and an opportunity for a public a progress report. are an important tool for states to review hearing for SIP revisions. In addition, Some comments expressed concern and potentially make changes in their they must conform to certain that the EPA would use progress reports rules or implementation efforts, if administrative procedural requirements, as a basis for a ‘‘SIP call’’ and opined necessary. Although the progress report provide various administrative material, that progress reports should only for the second implementation period and must be submitted by an official provide information for subsequent SIP will be due only 3.5 years after the due who is authorized by state law to submit submittals. It should be noted, however, date of the preceding periodic a SIP revision. that 40 CFR 51.308(h), which we are not comprehensive SIP revisions, we still We proposed to revise our regulations revising in any material way, already believe in the usefulness of such a mid- so that progress reports need not be in requires that if a state has determined in course review. In addition, some states the form of SIP revisions, but to require its progress report that its implementation plan is or may be have indicated that they intend to states to consult with FLMs and obtain inadequate to ensure reasonable submit periodic comprehensive SIP public comment on their progress progress due to emissions within that revisions closer to the 1999 RHR’s July reports before submission to the EPA. state, it must revise its current SIP to 31, 2018 deadline, so for those states We also proposed that the SIP revision address its deficiencies. Thus, there is substantially more than 3.5 years will due in 2021 must include a commitment already a mechanism under which have elapsed before the progress report to prepare and submit these progress states must use the information in their becomes due. reports to the EPA according to the progress reports to assess the adequacy revised schedule being finalized in this 3. Final Rule of their existing SIPs. Additionally, rule (see previous section). While these under CAA section 110(k)(5), the EPA The EPA is finalizing these provisions progress reports would be has the authority to review a SIP and regarding scheduling of progress acknowledged and assessed by the EPA, assess the adequacy of that SIP. While reports, and the aforementioned our review of these reports would not this authority is discretionary, when additional requirement that periodic result in a formal approval or and if the EPA does make a comprehensive SIP revisions include disapproval of them. In addition, determination about the adequacy of a gap-filling visibility trend information, relieving states of the obligation to regional haze SIP it must do so with no change from proposal. follow the procedural requirements of reasonably, and this may require 40 CFR 51.102 and 51.103 would free N. Changes to the Requirement That consideration of the information in a up state resources for other important Regional Haze Progress Reports Be SIP progress report. Therefore, we are not environmental planning, given the fact Revisions including in the final rule any provision that they are resource-intensive. Other 1. Summary of Proposal saying that the content of a progress advantages to the proposed approach report may not be used as part of the We proposed to revise 40 CFR were discussed in detail at proposal. 51.308(g) regarding the requirements for basis for a SIP call action. We will further consider a suggestion the form of progress reports, which 2. Comments and Responses from one commenter that we provide a under the 1999 RHR were required to Many commenters expressed support, centralized Web site that would inform take the form of SIP revisions that with some suggesting that EPA do away the public of which progress reports are comply with certain procedural with progress reports entirely (similar currently available for public comment requirements.135 As explained in the sentiments were expressed in comments at the state level and the planned end proposed rule and elsewhere in this on progress report timing; see of each comment period. document, the EPA originally included the requirement for progress reports in 136 Under our regulations, if a state were to 3. Final Rule the 1999 RHR primarily to ensure that determine at the time of submitting its progress report that its SIP is or may be inadequate to ensure The EPA is finalizing the proposal to the states remain on track between reasonable progress due to emissions from sources eliminate the requirement that progress within the state, the state has 1 year in which to reports take the form of SIP revisions. 135 These procedural requirements are detailed in submit a SIP revision addressing the inadequacy of 40 CFR 51.102, 40 CFR 51.103 and Appendix V to its plan. 40 CFR 51.308(h)(4). This SIP revision The EPA would like to emphasize (as Part 51—Criteria for Determining the Completeness would contain any required new or revised explained at proposal) that although of Plan Submissions. emission limits. progress reports will no longer be

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required to take the form of SIP • Revising 40 CFR 51.309(c)(10)(iv) to likely to disproportionately impact revisions, states will still be required to indicate that subsequent progress children, communities of color and the include the required progress report reports are subject to the requirements economically disadvantaged. However, elements listed in 40 CFR 51.308(g)(1) of 40 CFR 51.308(h) regarding because neither the CAA nor the 1999 through 40 CFR 51.308(g)(8), in determinations of adequacy of existing RHR set specific deadlines for when particular the assessment of whether the SIPs. sources must comply with any new existing SIP elements are sufficient to • Revising 40 CFR 51.309(g)(2)(iii) to requirements in a state’s next periodic enable a state to meet all established correct a typographical error. comprehensive SIP revision, states have RPGs for the period covered by the most 2. Comments and Responses substantial discretion in establishing recent periodic SIP revision. We are also reasonable compliance deadlines for retaining the requirement that states Few comments were received on the measures in their SIPs. Given this, we consult with FLMs and obtain public proposed revisions to 40 CFR 51.309. Of expect to see a range of compliance comment on their progress reports those, most concerned fire issues, and deadlines in the next round of regional before submission to the EPA.137 Also, this subject matter is treated elsewhere haze SIPs from early in the second 40 CFR 51.308(h) will continue to in this document. One commenter implementation period to 2028, require that at the same time the state requested clarification on what happens depending on the types of measures is required to submit a progress report, to states participating in the GCVTC adopted, and this would have occurred it must also take one of four listed after 2018, and in response the EPA regardless of whether these changes had actions concerning whether the SIP is would like to clarify that all measures been finalized. Thus, the EPA believes adequate to achieve established goals for and obligations contained in a SIP the delay in the periodic comprehensive visibility improvement, and the state approved pursuant to 40 CFR 51.309 SIP revision submission deadline from will continue to have an obligation to must continue to be implemented 2018 to 2021 will not meaningfully revise its SIP to address any plan unless the SIP itself provides for that reduce the overall progress towards deficiencies within 1 year of submission measure or obligation to sunset, that the better visibility made by the end of 2028 of a determination that the SIP is or may revised provisions of 40 CFR 51.309 will and will not meaningfully adversely be inadequate. apply to any SIP revision that would affect environmental protection for any revise a SIP provision that was part of segments of the population. O. Changes to Requirements Related to the basis of EPA initially approving the Furthermore, by reducing uncertainty the Grand Canyon Visibility Transport SIP as meeting the requirements of the about the requirements of the RHR and Commission 1999 RHR’s 40 CFR 51.309 and that in some regards making those 1. Summary of Proposal future periodic comprehensive SIP requirements more protective, we revisions and progress reports from As noted in the proposal, 40 CFR believe this action is likely to improve these states will be subject to the public health protection. 51.309 has limited applicability going requirements of 40 CFR 51.308(f) and forward because its provisions apply (g), respectively. VI. Statutory and Executive Order only to 16 Class I areas covered by the Reviews Grand Canyon Visibility Transport 3. Final Rule A. Executive Order 12866: Regulatory Commission Report, only to three states All revisions to 40 CFR 51.309 are Planning and Review and Executive that chose to rely on the special being finalized without change from Order 13563: Improving Regulation and provisions in this section and only to proposal. SIPs for the first regional haze Regulatory Review implementation period (i.e., through V. Environmental Justice This action is a significant regulatory 2018). However, we proposed certain Considerations action that was submitted to the Office conforming revisions to avoid confusion The EPA believes this action will not of Management and Budget (OMB) for going forward, including the following: have disproportionately high and review. Any changes made in response • Revising 40 CFR 51.309(d)(4)(v) to adverse human health, well-being or to OMB recommendations have been correctly refer to the new 40 CFR environmental effects on minority, low- documented in the docket. income or indigenous populations 51.302(b) (in lieu of (e), which no longer B. Paperwork Reduction Act (PRA) exists in the proposed 40 CFR 51.302) because it will not negatively affect the and to delete the reference to BART level of protection provided to human The information collection activities since it does not appear in 40 CFR health, well-being or the environment in this final rule have been submitted 51.302(b). under the CAA’s visibility protection for approval to the OMB under the PRA. • Changing the title of 40 CFR program. These revisions to the RHR The ICR document that the EPA 51.309(c)(10), Periodic implementation alter procedural and timing aspects of prepared has been assigned the EPA ICR plan revisions, to include ‘‘and progress the SIP requirements for visibility number 2540.02. A copy of the ICR reports’’ at the end, to complement the protection but do not substantively supporting statement is available in the revisions that will no longer require change the requirement that SIPs docket for this rule, and it is briefly progress reports be considered SIP provide for reasonable progress towards summarized here. revisions. the goal of natural visibility conditions. The EPA is finalizing revisions to • Revising 40 CFR 51.309(c)(10) to These SIP requirements are designed to requirements for state regional haze preserve the 1999 RHR’s requirement protect all segments of the general planning to change the requirements that the progress reports due in 2013 population. that must be met by states in developing take the form of SIP revisions, but direct The EPA acknowledges that the delay regional haze SIPs, periodic the reader to the provisions of 40 CFR in submitting SIP revisions from 2018 to comprehensive SIP revisions, and 51.308(g) for subsequent progress 2021 might, but will not necessarily, progress reports for regional haze. The reports. affect the schedule on which sources main intended effects of this rulemaking must comply with any new are to provide states with additional 137 We discuss the timing for consultation requirements. One commenter said that time to submit regional haze plans for elsewhere in this preamble. any such delay in reducing emissions is the second implementation period and

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to provide states with an improved average while other states may be below directly subject to the requirements of schedule and process for progress report the average. The ‘‘per-year’’ numbers this rule. provided here are the 3-year averages, submission. Further reductions in D. Unfunded Mandates Reform Act and these 3-year averages will also vary. burden on states for the second (UMRA) planning period include removal of the For example, the prior 3-year period requirement for progress reports to be (associated with the prior ICR) was not This action does not contain any SIP revisions, clarifying that states are an active SIP development period, and unfunded mandate as described in not required to project emissions therefore burden on states was relatively UMRA, 2 U.S.C. 1531–1538, and does inventories as part of preparing a low in comparison to the 3-year period not significantly or uniquely affect small progress report, and relieving the state associated with this ICR. During this 3- governments. This action imposes no of the need to review its visibility year period states will be taking steps to enforceable duty on any state, local or monitoring strategy within the context prepare their next SIPs. SIP tribal governments or the private sector. of the progress report. With all of these development and adoption will E. Executive Order 13132: Federalism changes considered, the overall burden continue into the following 3-year period (approximately 2019–2022), and This action does not have federalism on states would represent a reduction implications. It will not have substantial then subside until the next SIP is due compared to what would otherwise direct effects on the states, on the in 2028, resulting in a reduced burden occur if the provisions of the 1999 RHR relationship between the national compared to the estimates reflected were to stay in place. However, we agree government and the states, or on the here. For more information and a with public comments received on the distribution of power and summary and response to comments ICR for the proposed rule indicating that responsibilities among the various received on the proposed rule ICR, the EPA’s previous estimates of burden levels of government. for the 1999 RHR, as well as estimates please see the Information Collection of burden for the proposed rule, did not Request Supporting Statement for EPA F. Executive Order 13175: Consultation accurately reflect the level of effort ICR Number 2540.02. ICR for Final and Coordination With Indian Tribal required to draft SIPs and progress Revisions to the Regional Haze Governments reports. Although at proposal, the total Regulations, in the docket for this rule. This action does not have tribal estimated burden for the applicable All states are required to submit implications as specified in Executive period of this ICR (i.e., 2016–2019) was regional haze SIPs and progress reports Order 13175. It does not have a estimated to be reduced from 10,307 under this rule. substantial direct effect on one or more hours (per year) to 5,974 hours (per Respondents/affected entities: All Indian tribes. Furthermore, these year), and total estimated cost was state air agencies. regulation revisions do not affect the Respondent’s obligation to respond: expected to be reduced from $510,498 relationship or distribution of power Mandatory, in accordance with the (per year) to $295,876 (per year), taking and responsibilities between the federal into account the information submitted provisions of the 1999 RHR. Estimated number of respondents: 52: government and Indian tribes. The CAA by the commenters, the EPA now 50 states, District of Columbia and U.S. and the TAR establish the relationship estimates burden under the final rule for Virgin Islands. of the federal government and tribes in the applicable period of 2016–2019 to Frequency of response: characterizing air quality and be 13,310 hours (per year) and total Approximately every 10 years (SIP) and developing plans to protect visibility in estimated cost to be $659,245 (per year). approximately every 10 years (progress Class I areas, and these revisions to the Please note that the EPA believes the report). regulations do nothing to modify that final rule will allow for a reduction in Total estimated burden: 13,310 hours relationship. Thus, Executive Order effort compared to the 1999 RHR. Thus, (per year). Burden is defined at 5 CFR 13175 does not apply to this action. if the SIP development and other were 1320.3(b). Although Executive Order 13175 does undertaken under the 1999 RHR, the Total estimated cost: $659,245 (per not apply to this action, the EPA held costs would be higher than with this year), includes $0 annualized capital or public hearings attended by members of final rule. The apparent increase in operation & maintenance costs. tribes and separate meetings with tribal estimated hours and cost is related to An agency may not conduct or representatives to discuss the revisions updates of prior estimates in light of sponsor, and a person is not required to proposed in this action. The EPA also more accurate information. Despite this, respond to, a collection of information provided an opportunity for all the EPA projects that the total estimated unless it displays a currently valid OMB interested parties to provide oral or burden and cost associated with the control number. The OMB control written comments on potential concepts final rule are less than would be numbers for the EPA’s regulations in 40 for the EPA to address during the rule required if the rule revisions were not CFR are listed in 40 CFR part 9. revision process. Summaries of these made. The revisions, for example, meetings are included in the docket for extend planning deadlines, reduce the C. Regulatory Flexibility Act (RFA) this rule. The EPA also offered to number of SIP submissions to the EPA, I certify that this action will not have consult with any tribal government to relieve states of the need to supply a significant economic impact on a discuss this proposal. A copy of this progress reports in the form of formal substantial number of small entities offer for consultation can be found in SIP revisions, and relieve the state of the under the RFA. This action will not the docket for this rulemaking. No tribes need to review its visibility monitoring impose any requirements on small requested consultation. One tribal strategy within the context of the entities. Entities potentially affected organization submitted comments, progress report. In addition, in directly by these rule revisions include which generally endorsed the proposed accordance with OMB guidance, these state governments, and for the purposes revisions. However, this commenter numbers reflect the average burden on of the RFA, state governments are not said that this action does have states per year over the next 3 years considered small governments. Tribes implications to tribes and that the EPA only. This burden will vary from year to may choose to follow the provisions of must develop an accountability process year, and due to the nature of an the RHR but are not required to do so. to ensure meaningful and timely input average, some states may be above the Other types of small entities are not to states as they implement the revised

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requirements of the RHR. We List of Subjects ■ f. Revising the definitions of acknowledge this comment but we do ‘‘Reasonably attributable’’ and 40 CFR Part 51 not find it to contain a basis for ‘‘Regional haze’’; changing our finding that Executive Environmental protection, ■ g. Adding the definition in Order 13175 does not apply to this Administrative practice and procedure, alphabetical order for ‘‘Visibility’’; action. See also Section III.B.5 of this Air pollution control, Nitrogen dioxide, ■ h. Removing the definition of document for further discussion Particulate matter, Sulfur oxides, ‘‘Visibility impairment’’; regarding the role of tribes in visibility Transportation, Volatile organic ■ i. Adding the definition of ‘‘Visibility protection. compounds. impairment or anthropogenic visibility impairment’’; and, G. Executive Order 13045: Protection of 40 CFR Part 52 ■ j. Adding the definitions in Children From Environmental Health Environmental protection, alphabetical order for ‘‘Wildfire’’ and and Safety Risks Administrative practice and procedure, ‘‘Wildland’’. The EPA interprets Executive Order Air pollution control, Incorporation by The revisions and additions read as 13045 as applying only to those reference, Nitrogen dioxide, Particulate follows: matter, Sulfur oxides, Transportation, regulatory actions that concern § 51.301 Definitions. environmental health or safety risks that Volatile organic compounds. * * * * * the EPA has reason to believe may Dated: December 14, 2016. disproportionately affect children, per Baseline visibility condition means Gina McCarthy, the average of the five annual averages the definition of ‘‘covered regulatory Administrator. action’’ in section 2–202 of the of the individual values of daily Executive Order. This action is not For the reasons stated in the visibility for the period 2000–2004 subject to Executive Order 13045 preamble, part 51 and part 52 of chapter unique to each Class I area for either the because it does not concern an I of title 40 of the Code of Federal most impaired days or the clearest days. environmental health risk or safety risk. Regulations are amended as follows: * * * * * Clearest days means the twenty H. Executive Order 13211: Actions PART 51—REQUIREMENTS FOR percent of monitored days in a calendar Concerning Regulations That PREPARATION, ADOPTION, AND year with the lowest values of the Significantly Affect Energy Supply, SUBMITTAL OF IMPLEMENTATION deciview index. Distribution or Use PLANS Current visibility condition means the average of the five annual averages of This action is not a ‘‘significant ■ 1. The authority citation for part 51 individual values of daily visibility for energy action’’ because it is not likely to continues to read as follows: have a significant adverse effect on the the most recent period for which data Authority: 23 U.S.C. 101; 42 U.S.C. 7401– supply, distribution or use of energy. are available unique to each Class I area 7671q. for either the most impaired days or the I. National Technology Transfer and clearest days. Advancement Act Subpart P—Protection of Visibility Deciview is the unit of measurement on the deciview index scale for ■ 2. Section 51.300 is amended by This rulemaking does not involve quantifying in a standard manner revising paragraph (b) to read as follows: technical standards. human perceptions of visibility. J. Executive Order 12898: Federal § 51.300 Purpose and applicability. Deciview index means a value for a Actions To Address Environmental * * * * * day that is derived from calculated or Justice in Minority Populations and (b) Applicability The provisions of measured light extinction, such that Low-Income Populations this subpart are applicable to all States uniform increments of the index correspond to uniform incremental The EPA believes that this action may as defined in section 302(d) of the Clean Air Act (CAA) except Guam, Puerto changes in perception across the entire not have disproportionately high and range of conditions, from pristine to adverse effects on minority populations, Rico, American Samoa, and the Northern Mariana Islands. very obscured. The deciview index is low-income populations and/or calculated based on the following indigenous peoples, as specified in ■ 3. Section 51.301 is amended by: equation (for the purposes of calculating Executive Order 12898.138 The results of ■ a. Adding the definitions in deciview using IMPROVE data, the our evaluation are contained in Section alphabetical order for ‘‘Baseline atmospheric light extinction coefficient V of this document. visibility condition’’, ‘‘Clearest days’’, must be calculated from aerosol K. Congressional Review Act (CRA) and ‘‘Current visibility condition’’; measurements and an estimate of ■ b. Revising the definition of Rayleigh scattering): This action is subject to the CRA, and ‘‘Deciview’’; Deciview index = 10 ln (bext/10 the EPA will submit a rule report to ■ c. Adding the definitions in Mm¥1). each House of the Congress and to the alphabetical order for ‘‘Deciview index’’ bext = the atmospheric light extinction Comptroller General of the U.S. This and ‘‘End of the applicable coefficient, expressed in inverse action is not a ‘‘major rule’’ as defined implementation period’’; megameters (Mm¥1). by 5 U.S.C. 804(2). ■ d. Revising the definition of ‘‘Least End of the applicable implementation VII. Statutory Authority impaired days’’, ‘‘Mandatory Class I period means December 31 of the year Federal Area’’, ‘‘Most impaired days’’, in which the next periodic The statutory authority for this action and ‘‘Natural conditions’’; comprehensive implementation plan is provided by 42 U.S.C. 7403, 7407, ■ e. Adding the definitions in revision is due under § 51.308(f). 7410 and 7601. alphabetical order for ‘‘Natural * * * * * visibility’’, ‘‘Natural visibility Least impaired days means the twenty 138 59 FR 7629 (February 16, 1994). condition’’, and ‘‘Prescribed fire’’; percent of monitored days in a calendar

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year with the lowest amounts of difference due to air pollution from (3) Monitoring, recordkeeping, and visibility impairment. anthropogenic sources between actual reporting requirements sufficient to * * * * * visibility and natural visibility on one or ensure the enforceability of the emission Mandatory Class I Federal Area or more days. Because natural visibility limitations. Mandatory Federal Class I Area means can only be estimated or inferred, (c) If a source that the Federal Land any area identified in part 81, subpart D visibility impairment also is estimated Manager has identified as responsible in of this title. or inferred rather than directly whole or in part for reasonably Most impaired days means the twenty measured. attributable visibility impairment as part percent of monitored days in a calendar * * * * * of a certification under paragraph (a) of year with the highest amounts of Wildfire means any fire started by an this section is a BART-eligible source, anthropogenic visibility impairment. unplanned ignition caused by lightning; and if there is not in effect as of the date Natural conditions reflect naturally volcanoes; other acts of nature; of the certification a fully or occurring phenomena that reduce unauthorized activity; or accidental, conditionally approved implementation visibility as measured in terms of light human-caused actions, or a prescribed plan addressing the BART requirement extinction, visual range, contrast, or fire that has developed into a wildfire. for that source (which existing plan may coloration, and may refer to the A wildfire that predominantly occurs on incorporate either source-specific conditions on a single day or a set of wildland is a natural event. emission limitations reflecting the days. These phenomena include, but are Wildland means an area in which emission control performance of BART, not limited to, humidity, fire events, human activity and development is an alternative program to address the dust storms, volcanic activity, and essentially non-existent, except for BART requirement under § 51.308(e)(2) biogenic emissions from soils and trees. roads, railroads, power lines, and through (4), or for sources of SO2, a These phenomena may be near or far similar transportation facilities. program approved under paragraph from a Class I area and may be outside Structures, if any, are widely scattered. § 51.309(d)(4)), then the State shall the United States. ■ 4. Revise § 51.302 to read as follows: revise its regional haze implementation Natural visibility means visibility plan to meet the requirements of (contrast, coloration, and texture) on a § 51.302 Reasonably attributable visibility impairment. § 51.308(e) with respect to that source, day or days that would have existed taking into account current conditions (a) The affected Federal Land Manager under natural conditions. Natural related to the factors listed in may certify, at any time, that there exists visibility varies with time and location, § 51.308(e)(1)(ii)(A). This requirement is reasonably attributable visibility is estimated or inferred rather than in addition to the requirement of impairment in any mandatory Class I directly measured, and may have long- paragraph (b) of this section. Federal area and identify which single term trends due to long-term trends in (d) For any existing reasonably source or small number of sources is natural conditions. attributable visibility impairment the responsible for such impairment. The Natural visibility condition means the Federal Land Manager certifies to the affected Federal Land Manager will average of individual values of daily State(s) under paragraph (a) of this provide the certification to the State in natural visibility unique to each Class I section, the State(s) shall submit a area for either the most impaired days which the impairment occurs and the State(s) in which the source(s) is revision to its regional haze or the clearest days. located. The affected Federal Land implementation plan that includes the * * * * * Manager shall provide the State(s) in elements described in paragraphs (b) Prescribed fire means any fire which the source(s) is located an and (c) of this section no later than 3 intentionally ignited by management opportunity to consult on the basis of years after the date of the certification. actions in accordance with applicable the planned certification, in person and The State(s) is not required at that time laws, policies, and regulations to meet at least 60 days prior to providing the to also revise its reasonable progress specific land or resource management certification to the State(s). goals to reflect any additional emission objectives. (b) The State(s) in which the source(s) reductions required from the source or Reasonably attributable means is located shall revise its regional haze sources. In no case shall such a revision attributable by visual observation or any implementation plan, in accordance in response to a reasonably attributable other appropriate technique. with the schedule set forth in paragraph visibility impairment certification be * * * * * (d) of this section, to include for each due before July 31, 2021. Regional haze means visibility source or small number of sources that ■ 5. Section 51.303 is amended by impairment that is caused by the the Federal Land Manager has identified revising paragraph (a)(1) to read as emission of air pollutants from in whole or in part for reasonably follows: numerous anthropogenic sources attributable visibility impairment as part § 51.303 Exemptions from control. located over a wide geographic area. of a certification under paragraph (a) of Such sources include, but are not this section: (a)(1) Any existing stationary facility limited to, major and minor stationary (1) A determination, based on the subject to the requirement under sources, mobile sources, and area factors set forth in § 51.308(f)(2), of the § 51.302(c) or § 51.308(e) to install, sources. control measures, if any, that are operate, and maintain BART may apply * * * * * necessary with respect to the source or to the Administrator for an exemption Visibility means the degree of sources in order for the plan to make from that requirement. perceived clarity when viewing objects reasonable progress toward natural * * * * * at a distance. Visibility includes visibility conditions in the affected ■ 6. Revise § 51.304 to read as follows: perceived changes in contrast, Class I Federal area; coloration, and texture elements in a (2) Emission limitations that reflect § 51.304 Identification of integral vistas. scene. the degree of emission reduction (a) Federal Land Managers were Visibility impairment or achievable by such control measures required to identify any integral vistas anthropogenic visibility impairment and schedules for compliance as on or before December 31, 1985, means any humanly perceptible expeditiously as practicable; and according to criteria the Federal Land

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Managers developed. These criteria (1) That may have an impact on any other alternative measure may include a must have included, but were not integral vista of a mandatory Class I geographic enhancement to the program limited to, whether the integral vista Federal area listed in § 51.304(b), or to address the requirement under was important to the visitor’s visual (2) That proposes to locate in an area § 51.302(b) or (c) related to reasonably experience of the mandatory Class I classified as nonattainment under attributable impairment from the Federal area. section 107(d)(1) of the Clean Air Act pollutants covered under the emissions (b) The following integral vistas were that may have an impact on visibility in trading program or other alternative identified by Federal Land Managers: At any mandatory Class I Federal area. measure. Roosevelt Campobello International * * * * * * * * * * Park, from the observation point of ■ 10. Section 51.308 is amended by: Roosevelt cottage and beach area, the (4) A State whose sources are subject ■ a. Revising paragraph (b); viewing angle from 244 to 256 degrees; to a trading program established under ■ b. Revising paragraphs (d)(2)(iv), and at Roosevelt Campobello part 97 of this chapter in accordance (d)(3) introductory text, (e)(2)(v), (e)(4) International Park, from the observation with a federal implementation plan set and (5), (f), (g) introductory text, and point of Friar’s Head, the viewing angle forth in § 52.38 or § 52.39 of this chapter (g)(3) through (7); or a trading program established under from 154 to 194 degrees. ■ (c) The State must list in its c. Adding paragraph (g)(8); and a SIP revision approved by the ■ implementation plan any integral vista d. Revising paragraphs (h) Administrator as meeting the listed in paragraph (b) of this section. introductory text, (h)(1), (i)(2) requirements of § 52.38 or § 52.39 of this introductory text, (i)(2)(ii), and (i)(3) and ■ 7. Revise § 51.305 to read as follows: chapter need not require BART-eligible (4). fossil fuel-fired steam electric plants in § 51.305 Monitoring for reasonably The revisions and additions read as the State to install, operate, and attributable visibility impairment. follows: maintain BART for the pollutant For the purposes of addressing § 51.308 Regional haze program covered by such trading program in the reasonably attributable visibility requirements. State. A State may adopt provisions, impairment, if the Administrator, consistent with the requirements * * * * * Regional Administrator, or the affected applicable to the State’s sources for such (b) When are the first implementation Federal Land Manager has advised a trading program, for a geographic plans due under the regional haze State containing a mandatory Class I enhancement to the trading program to program? Except as provided in Federal area of a need for monitoring to address any requirement under § 51.309(c), each State identified in assess reasonably attributable visibility § 51.302(b) or (c) related to reasonably § 51.300(b) must submit, for the entire impairment at the mandatory Class I attributable impairment from the State, an implementation plan for Federal area in addition to the pollutant covered by such trading regional haze meeting the requirements monitoring currently being conducted to program in that State. meet the requirements of § 51.308(d)(4), of paragraphs (d) and (e) of this section no later than December 17, 2007. (5) After a State has met the the State must include in the next requirements for BART or implemented implementation plan revision to meet * * * * * (d) * * * an emissions trading program or other the requirement of § 51.308(f) an alternative measure that achieves more appropriate strategy for evaluating (2) * * * (iv) For the first implementation plan reasonable progress than the installation reasonably attributable visibility and operation of BART, BART-eligible impairment in the mandatory Class I addressing the requirements of paragraphs (d) and (e) of this section, sources will be subject to the Federal area by visual observation or requirements of paragraphs (d) and (f) of other appropriate monitoring the number of deciviews by which baseline conditions exceed natural this section, as applicable, in the same techniques. Such strategy must take into manner as other sources. account current and anticipated visibility conditions for the most visibility monitoring research, the impaired and least impaired days. * * * * * availability of appropriate monitoring (3) Long-term strategy for regional (f) Requirements for periodic techniques, and such guidance as is haze. Each State listed in § 51.300(b) comprehensive revisions of provided by the Agency. must submit a long-term strategy that implementation plans for regional haze. addresses regional haze visibility Each State identified in § 51.300(b) must § 51.306 [Removed and Reserved] impairment for each mandatory Class I revise and submit its regional haze ■ 8. Section 51.306 is removed and Federal area within the State and for implementation plan revision to EPA by reserved. each mandatory Class I Federal area July 31, 2021, July 31, 2028, and every ■ 9. Section 51.307 is amended by located outside the State that may be 10 years thereafter. The plan revision revising paragraphs (a) introductory text affected by emissions from the State. due on or before July 31, 2021, must and (b)(1) and (2) to read as follows: The long-term strategy must include include a commitment by the State to enforceable emissions limitations, meet the requirements of paragraph (g) § 51.307 New source review. compliance schedules, and other of this section. In each plan revision, the (a) For purposes of new source review measures as necessary to achieve the State must address regional haze in each of any new major stationary source or reasonable progress goals established by mandatory Class I Federal area located major modification that would be States having mandatory Class I Federal within the State and in each mandatory constructed in an area that is designated areas. In establishing its long-term Class I Federal area located outside the attainment or unclassified under section strategy for regional haze, the State must State that may be affected by emissions 107(d) of the CAA, the State plan must, meet the following requirements: from within the State. To meet the core in any review under § 51.166 with * * * * * requirements for regional haze for these respect to visibility protection and (e) * * * areas, the State must submit an analyses, provide for: (2) * * * implementation plan containing the * * * * * (v) At the State’s option, a provision following plan elements and supporting (b) * * * that the emissions trading program or documentation for all required analyses:

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(1) Calculations of baseline, current, visibility condition since the baseline I Federal area located outside the State and natural visibility conditions; period, and actual progress made during that may be affected by emissions from progress to date; and the uniform rate of the previous implementation period up the State. The long-term strategy must progress. For each mandatory Class I to and including the period for include the enforceable emissions Federal area located within the State, calculating current visibility conditions, limitations, compliance schedules, and the State must determine the following: for the most impaired and for the other measures that are necessary to (i) Baseline visibility conditions for clearest days. make reasonable progress, as the most impaired and clearest days. (v) Differences between current determined pursuant to (f)(2)(i) through The period for establishing baseline visibility condition and natural visibility (iv). In establishing its long-term visibility conditions is 2000 to 2004. condition. The number of deciviews by strategy for regional haze, the State must The State must calculate the baseline which the current visibility condition meet the following requirements: visibility conditions for the most exceeds the natural visibility condition, (i) The State must evaluate and impaired days and the clearest days for the most impaired and for the determine the emission reduction using available monitoring data. To clearest days. measures that are necessary to make determine the baseline visibility (vi) Uniform rate of progress. (A) The reasonable progress by considering the condition, the State must calculate the uniform rate of progress for each costs of compliance, the time necessary average of the annual deciview index mandatory Class I Federal area in the for compliance, the energy and non-air values for the most impaired days and State. To calculate the uniform rate of quality environmental impacts of for the clearest days for the calendar progress, the State must compare the compliance, and the remaining useful years from 2000 to 2004. The baseline baseline visibility condition for the most life of any potentially affected visibility condition for the most impaired days to the natural visibility anthropogenic source of visibility impaired days or the clearest days is the condition for the most impaired days in impairment. The State should consider average of the respective annual values. the mandatory Class I Federal area and evaluating major and minor stationary For purposes of calculating the uniform determine the uniform rate of visibility sources or groups of sources, mobile rate of progress, the baseline visibility improvement (measured in deciviews of sources, and area sources. The State condition for the most impaired days improvement per year) that would need must include in its implementation plan must be associated with the last day of to be maintained during each a description of the criteria it used to 2004. For mandatory Class I Federal implementation period in order to attain determine which sources or groups of areas without onsite monitoring data for natural visibility conditions by the end sources it evaluated and how the four 2000–2004, the State must establish of 2064. factors were taken into consideration in baseline values using the most (B) As part of its implementation plan selecting the measures for inclusion in representative available monitoring data submission, the State may propose (1) its long-term strategy. In considering the for 2000–2004, in consultation with the an adjustment to the uniform rate of time necessary for compliance, if the Administrator or his or her designee. progress for a mandatory Class I Federal State concludes that a control measure For mandatory Class I Federal areas area to account for impacts from cannot reasonably be installed and with incomplete monitoring data for anthropogenic sources outside the become operational until after the end 2000–2004, the State must establish United States and/or (2) an adjustment of the implementation period, the State baseline values using the 5 complete to the uniform rate of progress for the may not consider this fact in years of monitoring data closest in time mandatory Class I Federal area to determining whether the measure is to 2000–2004. account for impacts from wildland necessary to make reasonable progress. (ii) Natural visibility conditions for prescribed fires that were conducted (ii) The State must consult with those the most impaired and clearest days. A with the objective to establish, restore, States that have emissions that are State must calculate natural visibility and/or maintain sustainable and reasonably anticipated to contribute to condition by estimating the average resilient wildland ecosystems, to reduce visibility impairment in the mandatory deciview index existing under natural the risk of catastrophic wildfires, and/or Class I Federal area to develop conditions for the most impaired days to preserve endangered or threatened coordinated emission management or the clearest days based on available species during which appropriate basic strategies containing the emission monitoring information and appropriate smoke management practices were reductions necessary to make reasonable data analysis techniques; and applied. To calculate the proposed progress. (iii) Current visibility conditions for adjustment(s), the State must add the (A) The State must demonstrate that the most impaired and clearest days. estimated impact(s) to the natural it has included in its implementation The period for calculating current visibility condition and compare the plan all measures agreed to during state- visibility conditions is the most recent baseline visibility condition for the most to-state consultations or a regional 5-year period for which data are impaired days to the resulting sum. If planning process, or measures that will available. The State must calculate the the Administrator determines that the provide equivalent visibility current visibility conditions for the most State has estimated the impact(s) from improvement. impaired days and the clearest days anthropogenic sources outside the (B) The State must consider the using available monitoring data. To United States and/or wildland emission reduction measures identified calculate each current visibility prescribed fires using scientifically by other States for their sources as being condition, the State must calculate the valid data and methods, the necessary to make reasonable progress average of the annual deciview index Administrator may approve the in the mandatory Class I Federal area. values for the years in the most recent proposed adjustment(s) to the uniform (C) In any situation in which a State 5-year period. The current visibility rate of progress. cannot agree with another State on the condition for the most impaired or the (2) Long-term strategy for regional emission reduction measures necessary clearest days is the average of the haze. Each State must submit a long- to make reasonable progress in a respective annual values. term strategy that addresses regional mandatory Class I Federal area, the State (iv) Progress to date for the most haze visibility impairment for each must describe the actions taken to impaired and clearest days. Actual mandatory Class I Federal area within resolve the disagreement. In reviewing progress made towards the natural the State and for each mandatory Class the State’s implementation plan, the

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Administrator will take this information (f)(2) of this section that can be fully enforceable but will be considered by into account in determining whether the implemented by the end of the the Administrator in evaluating the plan provides for reasonable progress at applicable implementation period, as adequacy of the measures in the each mandatory Class I Federal area that well as the implementation of other implementation plan in providing for is located in the State or that may be requirements of the CAA. The long-term reasonable progress towards achieving affected by emissions from the State. All strategy and the reasonable progress natural visibility conditions at that area. substantive interstate consultations goals must provide for an improvement (iv) In determining whether the must be documented. in visibility for the most impaired days State’s goal for visibility improvement (iii) The State must document the since the baseline period and ensure no provides for reasonable progress technical basis, including modeling, degradation in visibility for the clearest towards natural visibility conditions, monitoring, cost, engineering, and days since the baseline period. the Administrator will also evaluate the emissions information, on which the (ii)(A) If a State in which a mandatory demonstrations developed by the State State is relying to determine the Class I Federal area is located pursuant to paragraphs (f)(2) and emission reduction measures that are establishes a reasonable progress goal (f)(3)(ii)(A) of this section and the necessary to make reasonable progress for the most impaired days that provides demonstrations provided by other States in each mandatory Class I Federal area for a slower rate of improvement in pursuant to paragraphs (f)(2) and it affects. The State may meet this visibility than the uniform rate of (f)(3)(ii)(B) of this section. requirement by relying on technical progress calculated under paragraph (4) If the Administrator, Regional analyses developed by a regional (f)(1)(vi) of this section, the State must Administrator, or the affected Federal planning process and approved by all demonstrate, based on the analysis Land Manager has advised a State of a State participants. The emissions required by paragraph (f)(2)(i) of this need for additional monitoring to assess information must include, but need not section, that there are no additional reasonably attributable visibility be limited to, information on emissions emission reduction measures for impairment at the mandatory Class I in a year at least as recent as the most anthropogenic sources or groups of Federal area in addition to the recent year for which the State has sources in the State that may reasonably monitoring currently being conducted, submitted emission inventory be anticipated to contribute to visibility the State must include in the plan information to the Administrator in impairment in the Class I area that revision an appropriate strategy for compliance with the triennial reporting would be reasonable to include in the evaluating reasonably attributable requirements of subpart A of this part. long-term strategy. The State must visibility impairment in the mandatory However, if a State has made a provide a robust demonstration, Class I Federal area by visual submission for a new inventory year to including documenting the criteria used observation or other appropriate meet the requirements of subpart A in to determine which sources or groups or monitoring techniques. the period 12 months prior to sources were evaluated and how the (5) So that the plan revision will serve submission of the SIP, the State may use four factors required by paragraph also as a progress report, the State must the inventory year of its prior (f)(2)(i) were taken into consideration in address in the plan revision the submission. selecting the measures for inclusion in requirements of paragraphs (g)(1) (iv) The State must consider the its long-term strategy. The State must through (5) of this section. However, the following additional factors in provide to the public for review as part period to be addressed for these developing its long-term strategy: of its implementation plan an elements shall be the period since the (A) Emission reductions due to assessment of the number of years it most recent progress report. ongoing air pollution control programs, would take to attain natural visibility (6) Monitoring strategy and other including measures to address conditions if visibility improvement implementation plan requirements. The reasonably attributable visibility were to continue at the rate of progress State must submit with the impairment; selected by the State as reasonable for implementation plan a monitoring (B) Measures to mitigate the impacts the implementation period. strategy for measuring, characterizing, of construction activities; (B) If a State contains sources which and reporting of regional haze visibility (C) Source retirement and are reasonably anticipated to contribute impairment that is representative of all replacement schedules; to visibility impairment in a mandatory mandatory Class I Federal areas within (D) Basic smoke management Class I Federal area in another State for the State. Compliance with this practices for prescribed fire used for which a demonstration by the other requirement may be met through agricultural and wildland vegetation State is required under (f)(3)(ii)(A), the participation in the Interagency management purposes and smoke State must demonstrate that there are no Monitoring of Protected Visual management programs; and additional emission reduction measures Environments network. The (E) The anticipated net effect on for anthropogenic sources or groups of implementation plan must also provide visibility due to projected changes in sources in the State that may reasonably for the following: point, area, and mobile source be anticipated to contribute to visibility (i) The establishment of any emissions over the period addressed by impairment in the Class I area that additional monitoring sites or the long-term strategy. would be reasonable to include in its equipment needed to assess whether (3) Reasonable progress goals. (i) A own long-term strategy. The State must reasonable progress goals to address state in which a mandatory Class I provide a robust demonstration, regional haze for all mandatory Class I Federal area is located must establish including documenting the criteria used Federal areas within the State are being reasonable progress goals (expressed in to determine which sources or groups or achieved. deciviews) that reflect the visibility sources were evaluated and how the (ii) Procedures by which monitoring conditions that are projected to be four factors required by paragraph data and other information are used in achieved by the end of the applicable (f)(2)(i) were taken into consideration in determining the contribution of implementation period as a result of selecting the measures for inclusion in emissions from within the State to those enforceable emissions limitations, its long-term strategy. regional haze visibility impairment at compliance schedules, and other (iii) The reasonable progress goals mandatory Class I Federal areas both measures required under paragraph established by the State are not directly within and outside the State.

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(iii) For a State with no mandatory conditions and changes, with values for tool by which the State may obtain such Class I Federal areas, procedures by most impaired, least impaired and/or a summary as of a date 6 months which monitoring data and other clearest days as applicable expressed in preceding the required date of the information are used in determining the terms of 5-year averages of these annual progress report. The State is not contribution of emissions from within values. The period for calculating required to backcast previously reported the State to regional haze visibility current visibility conditions is the most emissions to be consistent with more impairment at mandatory Class I recent 5-year period preceding the recent emissions estimation procedures, Federal areas in other States. required date of the progress report for and may draw attention to actual or (iv) The implementation plan must which data are available as of a date 6 possible inconsistencies created by provide for the reporting of all visibility months preceding the required date of changes in estimation procedures. monitoring data to the Administrator at the progress report. (5) An assessment of any significant least annually for each mandatory Class (i)(A) Progress reports due before changes in anthropogenic emissions I Federal area in the State. To the extent January 31, 2025. The current visibility within or outside the State that have possible, the State should report conditions for the most impaired and occurred since the period addressed in visibility monitoring data electronically. least impaired days. the most recent plan required under (B) Progress reports due on and after (v) A statewide inventory of emissions paragraph (f) of this section including January 31, 2025. The current visibility of pollutants that are reasonably whether or not these changes in conditions for the most impaired and anticipated to cause or contribute to anthropogenic emissions were clearest days; visibility impairment in any mandatory anticipated in that most recent plan and Class I Federal area. The inventory must (ii)(A) Progress reports due before January 31, 2025. The difference whether they have limited or impeded include emissions for the most recent progress in reducing pollutant year for which data are available, and between current visibility conditions for the most impaired and least impaired emissions and improving visibility. estimates of future projected emissions. (6) An assessment of whether the The State must also include a days and baseline visibility conditions. (B) Progress reports due on and after current implementation plan elements commitment to update the inventory January 31, 2025. The difference and strategies are sufficient to enable periodically. between current visibility conditions for the State, or other States with (vi) Other elements, including the most impaired and clearest days and mandatory Class I Federal areas affected reporting, recordkeeping, and other baseline visibility conditions. by emissions from the State, to meet all measures, necessary to assess and report (iii)(A) Progress reports due before established reasonable progress goals for on visibility. January 31, 2025. The change in the period covered by the most recent (g) Requirements for periodic reports visibility impairment for the most plan required under paragraph (f) of this describing progress towards the impaired and least impaired days over section. reasonable progress goals. Each State the period since the period addressed in (7) For progress reports for the first identified in § 51.300(b) must the most recent plan required under periodically submit a report to the implementation period only, a review of paragraph (f) of this section. the State’s visibility monitoring strategy Administrator evaluating progress (B) Progress reports due on and after towards the reasonable progress goal for and any modifications to the strategy as January 31, 2025. The change in necessary. each mandatory Class I Federal area visibility impairment for the most (8) For a state with a long-term located within the State and in each impaired and clearest days over the strategy that includes a smoke mandatory Class I Federal area located period since the period addressed in the management program for prescribed outside the State that may be affected by most recent plan required under fires on wildland that conducts a emissions from within the State. The paragraph (f) of this section. first progress report is due 5 years from (4) An analysis tracking the change periodic program assessment, a submittal of the initial implementation over the period since the period summary of the most recent periodic plan addressing paragraphs (d) and (e) addressed in the most recent plan assessment of the smoke management of this section. The first progress reports required under paragraph (f) of this program including conclusions if any must be in the form of implementation section in emissions of pollutants that were reached in the assessment as plan revisions that comply with the contributing to visibility impairment to whether the program is meeting its procedural requirements of § 51.102 and from all sources and activities within goals regarding improving ecosystem § 51.103. Subsequent progress reports the State. Emissions changes should be health and reducing the damaging are due by January 31, 2025, July 31, identified by type of source or activity. effects of catastrophic wildfires. 2033, and every 10 years thereafter. With respect to all sources and (h) Determination of the adequacy of Subsequent progress reports must be activities, the analysis must extend at existing implementation plan. At the made available for public inspection least through the most recent year for same time the State is required to and comment for at least 30 days prior which the state has submitted emission submit any progress report to EPA in to submission to EPA and all comments inventory information to the accordance with paragraph (g) of this received from the public must be Administrator in compliance with the section, the State must also take one of submitted to EPA along with the triennial reporting requirements of the following actions based upon the subsequent progress report, along with subpart A of this part as of a date 6 information presented in the progress an explanation of any changes to the months preceding the required date of report: progress report made in response to the progress report. With respect to (1) If the State determines that the these comments. Periodic progress sources that report directly to a existing implementation plan requires reports must contain at a minimum the centralized emissions data system no further substantive revision at this following elements: operated by the Administrator, the time in order to achieve established * * * * * analysis must extend through the most goals for visibility improvement and (3) For each mandatory Class I Federal recent year for which the Administrator emissions reductions, the State must area within the State, the State must has provided a State-level summary of provide to the Administrator a assess the following visibility such reported data or an internet-based declaration that revision of the existing

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implementation plan is not needed at § 51.309 Requirements related to the following actions based upon the this time. Grand Canyon Visibility Transport information presented in the progress Commission. * * * * * report: (i) * * * * * * * * * * * * * (2) The State must provide the Federal (b) * * * (iii) The requirements of § 51.308(g) (4) Fire means wildfire, wildland fire, Land Manager with an opportunity for regarding requirements for periodic prescribed fire, and agricultural burning consultation, in person at a point early reports describing progress towards the conducted and occurring on Federal, enough in the State’s policy analyses of reasonable progress goals apply to States State, and private wildlands and its long-term strategy emission submitting plans under this section, farmlands. reduction obligation so that information with respect to subsequent progress and recommendations provided by the * * * * * reports due after 2013. Federal Land Manager can meaningfully (d) * * * (iv) The requirements of § 51.308(h) inform the State’s decisions on the long- (4) * * * regarding determinations of the term strategy. The opportunity for (v) Market trading program. The adequacy of existing implementation consultation will be deemed to have implementation plan must include plans apply to States submitting plans been early enough if the consultation requirements for a market trading under this section, with respect to has taken place at least 120 days prior program to be implemented in the event subsequent progress reports due after to holding any public hearing or other that a milestone is not achieved. The 2013. plan shall require that the market public comment opportunity on an * * * * * trading program be activated beginning implementation plan (or plan revision) (g) * * * no later than 15 months after the end of for regional haze required by this (2) * * * subpart. The opportunity for the first year in which the milestone is (iii) The Transport Region State may consultation on an implementation plan not achieved. The plan shall also consider whether any strategies (or plan revision) or on a progress report require that sources comply, as soon as necessary to achieve the reasonable must be provided no less than 60 days practicable, with the requirement to progress goals required by paragraph prior to said public hearing or public hold allowances covering their (g)(2) of this section are incompatible comment opportunity. This consultation emissions. Such market trading program with the strategies implemented under must include the opportunity for the must be sufficient to achieve the paragraph (d) of this section to the affected Federal Land Managers to milestones in paragraph (d)(4)(i) of this extent the State adequately discuss their: section, and must be consistent with the demonstrates that the incompatibility is elements for such programs outlined in * * * * * related to the costs of the compliance, § 51.308(e)(2)(vi). Such a program may the time necessary for compliance, the (ii) Recommendations on the include a geographic enhancement to development and implementation of energy and nonair quality the program to address the requirement environmental impacts of compliance, strategies to address visibility under § 51.302(b) related to reasonably impairment. or the remaining useful life of any attributable impairment from the existing source subject to such (3) In developing any implementation pollutants covered under the program. plan (or plan revision) or progress requirements. * * * * * report, the State must include a (10) Periodic implementation plan PART 52—APPROVAL AND description of how it addressed any revisions and progress reports. Each PROMULGATION OF comments provided by the Federal Land Transport Region State must submit to IMPLEMENTATION PLANS Managers. the Administrator periodic reports in (4) The plan (or plan revision) must the years 2013 and as specified for ■ 12. The authority citation for part 52 provide procedures for continuing subsequent progress reports in continues to read as follows: consultation between the State and § 51.308(g). The progress report due in Authority: 42 U.S.C. 7401 et seq. Federal Land Manager on the 2013 must be in the form of an implementation of the visibility implementation plan revision that § 52.26 [Removed and Reserved] protection program required by this complies with the procedural ■ subpart, including development and 13. Section 52.26 is removed and requirements of §§ 51.102 and 51.103. reserved. review of implementation plan revisions (i) The report due in 2013 will assess and progress reports, and on the the area for reasonable progress as § 52.29 [Removed and Reserved] implementation of other programs provided in this section for mandatory ■ having the potential to contribute to 14. Section 52.29 is removed and Class I Federal area(s) located within the reserved. impairment of visibility in mandatory State and for mandatory Class I Federal Class I Federal areas. area(s) located outside the State that § 52.61 [Amended] ■ 11. Section 51.309 is amended by: may be affected by emissions from ■ 15. Section 52.61 is amended by ■ a. Revising paragraph (b)(4); within the State. This demonstration removing and reserving paragraph (b). ■ b. Removing and reserving paragraph may be based on assessments conducted ■ 16. Section 52.145 is amended by (b)(8); by the States and/or a regional planning revising paragraph (b) and removing and ■ c. Revising paragraphs (d)(4)(v), body. The progress report due in 2013 reserving paragraph (c). (d)(10) introductory text, (d)(10)(i) must contain at a minimum the The revision reads as follows: introductory text, and (d)(10)(ii) following elements: introductory text; * * * * * § 52.145 Visibility protection. ■ d. Adding paragraphs (d)(10)(iii) and (ii) At the same time the State is * * * * * (iv); and required to submit the 5-year progress (b) Regulations for visibility ■ e. Revising paragraph (g)(2)(iii). report due in 2013 to EPA in accordance monitoring and new source review. The The revisions and additions read as with paragraph (d)(10)(i) of this section, provisions of §§ 52.27 and 52.28 are follows: the State must also take one of the hereby incorporated and made part of

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the applicable plan for the State of ■ 23. Section 52.1236 is amended by provisions of § 52.28 are hereby Arizona. revising paragraph (b) and removing and incorporated and made a part of the * * * * * reserving paragraph (c). applicable plan for the State of South The revision reads as follows: Dakota. § 52.281 [Amended] § 52.1236 Visibility protection. * * * * * ■ 17. Section 52.281 is amended by * * * * * § 52.2304 [Amended] removing and reserving paragraphs (b) (b) Regulation for visibility and (e). monitoring and new source review. The ■ 30. Section 52.2304 is amended by ■ 18. Section 52.344 is amended by provisions of § 52.28 are hereby removing and reserving paragraph (b). revising paragraph (b) to read as follows: incorporated and made a part of the ■ 31. Section 52.2383 is amended by applicable plan for the State of revising paragraph (b) to read as follows: § 52.344 Visibility protection. Minnesota. § 52.2383 Visibility protection. * * * * * * * * * * (b) The Visibility NSR regulations are * * * * * approved for industrial source § 52.1339 [Amended] (b) Regulations for visibility categories regulated by the NSR and ■ 24. Section 52.1339 is amended by monitoring and new source review. The PSD regulations which have previously removing and reserving paragraph (b). provisions of § 52.27 are hereby been approved by EPA. However, incorporated and made part of the Colorado’s NSR and PSD regulations § 52.1387 [Amended] applicable plan for the State of Vermont. have been disapproved for certain ■ 25. Section 52.1387 is amended by ■ 32. Section 52.2452 is amended by sources as listed in 40 CFR 52.343(a)(1). removing and reserving paragraph (b). revising paragraph (a) and removing and The provisions of 40 CFR 52.28 are ■ 26. Section 52.1488 is amended by reserving paragraphs (b) and (c). hereby incorporated and made a part of revising paragraph (b) and removing and The revision reads as follows: the applicable plan for the State of reserving paragraph (c). Colorado for these sources. The revision reads as follows. § 52.2452 Visibility protection. ■ 19. Section 52.633 is amended by § 52.1488 Visibility protection. (a) Reasonably Attributable Visibility revising paragraph (b) and removing and Impairment. The requirements of * * * * * section 169A of the Clean Air Act are reserving paragraph (c). (b) Regulation for visibility not met because the plan does not The revision reads as follows. monitoring and new source review. The include approvable measures for provisions of § 52.28 are hereby § 52.633 Visibility protection. meeting the requirements of 40 CFR incorporated and made a part of the 51.305 for protection of visibility in * * * * * applicable plan for the State of Nevada mandatory Class I Federal areas. (b) Regulations for visibility except for that portion applicable to the monitoring and new source review. The Clark County Department of Air Quality * * * * * provisions of §§ 52.27 and 52.28 are and Environmental Management. ■ 33. Section 52.2533 is amended by hereby incorporated and made part of * * * * * revising paragraphs (a) and (b) and the applicable plan for the State of ■ removing and reserving paragraph (c). Hawaii. 27. Section 52.1531 is amended by revising paragraph (b) and removing and The revision reads as follows: * * * * * reserving paragraph (c). § 52.2533 Visibility protection. § 52.690 [Amended] The revision reads as follows. (a) Reasonably Attributable Visibility ■ 20. Section 52.690 is amended by § 52.1531 Visibility protection. Impairment. The requirements of removing and reserving paragraphs (b) * * * * * section 169A of the Clean Air Act are and (c). (b) Regulation for visibility not met because the plan does not monitoring and new source review. The include approvable measures for § 52.1033 [Amended] provisions of § 52.28 are hereby meeting the requirements of 40 CFR ■ 21. Section 52.1033 is amended by incorporated and made a part of the 51.305 and 51.307 for protection of removing and reserving paragraphs (a) applicable plan for the State of New visibility in mandatory Class I Federal and (c). Hampshire. areas. ■ 22. Section 52.1183 is amended by * * * * * (b) Regulation for visibility monitoring and new source review. The revising paragraph (b) and removing and § 52.2132 [Amended] reserving paragraphs (a) and (c). provisions of § 52.28 are hereby ■ 28. Section 52.2132 is amended by incorporated and made a part of the The revision reads as follows. removing and reserving paragraphs (b) applicable plan for the State of West § 52.1183 Visibility protection. and (c). Virginia. * * * * * ■ 29. Section 52.2179 is amended by * * * * * revising paragraph (b) and removing and (b) Regulation for visibility § 52.2781 [Amended] monitoring and new source review. The reserving paragraph (c). The revision reads as follows: provisions of § 52.28 are hereby ■ 34. Section 52.2781 is amended by incorporated and made a part of the § 52.2179 Visibility protection. removing and reserving paragraphs (b) applicable plan for the State of * * * * * and (c). Michigan. (b) Regulation for visibility [FR Doc. 2017–00268 Filed 1–9–17; 8:45 am] * * * * * monitoring and new source review. The BILLING CODE 6560–50–P

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Reader Aids Federal Register Vol. 82, No. 6 Tuesday, January 10, 2017

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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. 1593, 1595 Presidential Documents 3 CFR 61...... 2193 Executive orders and proclamations 741–6000 Proclamations: 71 ...... 720, 1181, 2868, 2870, The United States Government Manual 741–6000 9558...... 1139 2871, 2873 9559...... 1149 Other Services 91...... 2193 9560...... 1157 121...... 2193 Electronic and on-line services (voice) 741–6020 9561...... 1159 125...... 2193 Privacy Act Compilation 741–6050 9562...... 1161 135...... 2193 Public Laws Update Service (numbers, dates, etc.) 741–6043 Executive Orders: Proposed Rules: 13694 (amended by 39...... 48, 50, 52, 54, 734, 737, ELECTRONIC RESEARCH 13757) ...... 1 1252, 1254, 1258, 1260, 13757...... 1 1262, 1265, 1267, 1269, World Wide Web 1621, 1623, 1627 5 CFR 71...... 1276, 1279 Full text of the daily Federal Register, CFR and other publications 2411...... 2849 is located at: www.fdsys.gov. 9301...... 711 15 CFR Federal Register information and research tools, including Public Proposed Rules: 740...... 2875 Inspection List, indexes, and Code of Federal Regulations are 9401...... 2921 742...... 2875 located at: www.ofr.gov. 744...... 722, 2883 7 CFR 750...... 2875 E-mail 210...... 2193 774...... 2875 FEDREGTOC (Daily Federal Register Table of Contents Electronic 220...... 2193 Proposed Rules: Mailing List) is an open e-mail service that provides subscribers 271...... 2010 4...... 56 with a digital form of the Federal Register Table of Contents. The 272...... 2010 922...... 2254, 2269 digital form of the Federal Register Table of Contents includes 273...... 2010 HTML and PDF links to the full text of each document. 274...... 2010 16 CFR 275...... 2010 1500...... 2193 To join or leave, go to https://public.govdelivery.com/accounts/ 276...... 2010 USGPOOFR/subscriber/new, enter your email address, then Proposed Rules: 277...... 2010 follow the instructions to join, leave, or manage your 1015...... 59 278...... 2010 subscription. 279...... 2010 18 CFR PENS (Public Law Electronic Notification Service) is an e-mail 280...... 2010 375...... 1183 service that notifies subscribers of recently enacted laws. 281...... 2010 388...... 1183 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 282...... 2010 and select Join or leave the list (or change settings); then follow 283...... 2010 19 CFR the instructions. 285...... 2010 360...... 1183 FEDREGTOC and PENS are mailing lists only. We cannot Proposed Rules: 20 CFR respond to specific inquiries. 250...... 1231 Proposed Rules: Reference questions. Send questions and comments about the 9 CFR 725...... 739 Federal Register system to: [email protected] 201...... 2193 The Federal Register staff cannot interpret specific documents or 21 CFR regulations. 10 CFR 201...... 2193 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 429...... 1052, 1426 801...... 2193 longer appears in the Federal Register. This information can be 430...... 1426, 1786 884...... 1598 found online at http://bookstore.gpo.gov/. 431...... 1052 888...... 2217 435...... 2857 1100...... 2193 Proposed Rules: 1308...... 2218 FEDERAL REGISTER PAGES AND DATE, JANUARY 430...... 1608 Proposed Rules: 1–710...... 3 1308...... 2280 12 CFR 711–1138...... 4 22 CFR 1139–1592...... 5 Proposed Rules: 1805...... 2251 120...... 15 1593–2192...... 6 121...... 2889 2193–2848...... 9 14 CFR 123...... 15 2849–3130...... 10 1...... 2193 126...... 15 23...... 1163, 2193 241...... 2218 25...... 2193 305...... 1185 27...... 2193 29...... 2193 23 CFR 39...5, 7, 10, 12, 712, 716, 718, Proposed Rules: 1170, 1172, 1175, 1179, 655...... 770

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26 CFR 547...... 2221 Proposed Rules: 482...... 24 1...... 1647 1...... 2046, 2124 549...... 2221 486...... 24 553...... 2221 488...... 24 31...... 2046 38 CFR 301...... 2046, 2124 570...... 2221 495...... 24, 37 575...... 2221 Proposed Rules: 510...... 180 Proposed Rules: 578...... 2221 17...... 1288 512...... 180 1...... 1629, 1645 580...... 2221 39 CFR 27 CFR 801...... 2221 43 CFR 825...... 2221 20...... 1206 16...... 2892 3160...... 2906 1614...... 654 265...... 2896 18...... 1108 1910...... 2470 Proposed Rules: 19...... 1108 44 CFR 1915...... 2470 111...... 2293 24...... 1108 204...... 40 1926...... 2470 501...... 1294 25...... 1108 206...... 40 26...... 1108 30 CFR 40 CFR 207...... 40 27...... 1108 Proposed Rules: 22...... 2230 28...... 1108 51...... 3078 45 CFR 30...... 1108 57...... 2284 70...... 2284 52 .....22, 792, 912, 1206, 1603, 1171...... 44 Proposed Rules: 72...... 2284 2237, 2239, 3078 1230...... 1606 18...... 780 75...... 2284, 2285 81...... 1603, 2239 2554...... 1606 19...... 780 250...... 1284 124...... 2230 24...... 780 171...... 952 46 CFR 25...... 780 31 CFR 180 ...... 1208, 2897, 2900 502...... 46 26...... 780 300...... 2760 503...... 2248 27...... 780 Proposed Rules: 40...... 67 Proposed Rules: 28...... 780 7...... 2294 48 CFR 30...... 780 32 CFR 9...... 2294 504...... 46 35...... 2933 28 CFR 154...... 1192 516...... 2249 52 ...... 792, 1296, 2295, 2305, 286...... 1192 552...... 2249 16...... 725 2308 33 CFR 81...... 792, 2308 49 CFR 29 CFR 372...... 1651 1...... 2221 110...... 2893 721...... 80 383...... 2915 3...... 2221 165...... 20 384...... 2915 4...... 2221 Ch. II ...... 1860 42 CFR Proposed Rules: 5...... 2221 Proposed Rules: 10...... 1210 1300...... 805 6...... 2221 100...... 2291, 2930 414...... 24 500...... 2221 117...... 787 416...... 24 50 CFR 505...... 2221 165...... 789 419...... 24 Proposed Rules: 516...... 2221 401...... 1285 431...... 24, 37 17 ...... 1296, 1657, 1665, 1677 519...... 2221 402...... 1287 433...... 24, 37 217...... 684 520...... 2221 438...... 24, 37 622...... 810, 1308 525...... 2221 36 CFR 440...... 24, 37 660...... 812 530...... 2221 1195...... 2810 457...... 24, 37 679...... 2916

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